Court Opinion

ID: 9466159
Source: CourtListenerOpinion
Date Created: 2023-08-05 01:07:09.997213+00
Date Added: 2024-06-11T17:39:34.062525
License: Public Domain

BAZELON, Circuit Judge,
dissenting from the denial of the motion to vacate, the denial of rehearing, and the denial of rehearing en banc.
In November or December, 1977, while this case was pending before our panel, the General Counsel of the CIA learned that documents known to be relevant to plaintiffs’ POIA request had been discovered within the agency. Not until May 30, 1978, one week after our opinion issued, and some six months after the documents were “discovered,” did the General Counsel inform the Justice Department that these documents had been found.1 We must now determine the effect of these events on our previous disposition of this case. I believe that both the disclosure of 321 additional documents and the circumstances surrounding their discovery cast serious doubt on the original disposition of this case. I therefore dissent from the majority’s decision to leave that opinion undisturbed.2 I concur, however, in the decision to remand for consideration of plaintiffs’ right to attorney fees.
I.
I begin my examination with a simple question — had the CIA seasonably revealed to us, prior to our decision, that it had “discovered” 321 documents arguably within the scope of plaintiffs’ request, would we nonetheless have issued the opinion of May 23? I have no difficulty in concluding that we would not.3
*376The jurisdiction of the federal courts is limited to cases or controversies.4 Central to that provision is the requirement that the federal courts do not sit to give advisory opinions,5 nor to render decisions which can offer no relief to any party.6 Here the plaintiffs sought all CIA records concerning the legislative history of the agency’s governing statute. As a result of the belated release of some 321 documents to plaintiffs by the CIA, it may well be that plaintiffs are fully satisfied that their request has been honored7 and no longer require further relief from this court on that issue.
If the plaintiffs are in fact satisfied, then any appeal from the denial of discovery is clearly moot. Because mootness would deprive this court of jurisdiction, we would be obliged to note it, regardless of when during the course of the litigation the controversy became moot.8 I therefore find it difficult to believe that we would not have inquired further into the issue of mootness, either by remanding to the district court for a determination of that issue,9 or at least requiring further submission from the parties.
II.
Even assuming that there remained a live controversy between the parties over the existence of additional documents, it is inconceivable to me that we would have been indifferent to the significance of the CIA’s admissions in assessing the adequacy of the original search. The majority rests its decision on the observation that “the mere fact that additional documents have been discovered does not impugn the accuracy of the Wilson affidavits.” Maj. op. at-of 197 U.S.App.D.C., at 369 of 607 F.2d. To my mind, this is a question of fact that cannot possibly be decided on the record before us. The majority notes, “[ajccording to CIA, the discovery of these documents was entirely adventitious. They were found . only after extraordinary effort . . . .” Id. at — of 197 U.S.App.D.C., at 370 of 607 F.2d. These representations may well be true. But the fact is that at this stage of the litigation they are simply ex parte representations. Plaintiffs have had no opportunity to test these assertions under circumstances that would admit of appropriate findings of fact.
The majority’s extreme reluctance to permit plaintiffs to explore the factual basis of the CIA’s assertions thus repeats the basic error of the original panel opinion. The majority again prematurely forecloses plaintiffs’ inquiry into the nature of the CIA’s search in response to the FOIA re*377quest.10 But the error is even more serious in this case, for we do not have the benefit of a trial court judgment, entered after appropriate inquiry, that these revelations do not undermine the validity of the CIA’s original affidavits. The majority correctly notes that “[a]n appellate court has no fact-finding function.” Maj. op. at - of 197 U.S.App.D.C., at 371 of 607 F.2d. I submit that the majority denies the motion to vacate precisely because it has found the facts against plaintiffs.
Both the volume of documents discovered by the CIA and the circumstances surrounding the initial withholding and later disclosure of the documents raise serious questions that can only be resolved by a full factual inquiry. The majority finds the “original failure to uncover the documents was wholly understandable.” Perhaps I would too, on a proper record. Under our supervisory power, invested in this court by virtue of 28 U.S.C. § 2106 (1976), I would remand this case to the district court to determine the effect of these disclosures on the district court’s prior decision upholding the adequacy of the CIA’s initial search.11
III.
I wish to make explicit the seriousness with which I regard the CIA’s dereliction in this case. I do not suggest that the CIA failed to inform this court that it had discovered the documents simply to procure a favorable decision (though this possibility certainly cannot be rejected without a fuller factual inquiry into the circumstances surrounding these events). I do believe firmly, however, that the CIA had a strict obligation to report this information to the court at the moment its arguable relevance became known.12 This is central to the “unqualified duty of scrupulous candor that rests upon government counsel in all dealings” with the courts.13 The CIA's “excuse” for this delay, that the matter was *378given “insufficient priority,”14 is nothing short of a confession that it has been derelict in its duty to this court. Such behavior is worthy only of censure.15

. The Justice Department, acting with commendable dispatch, appears to have informed both plaintiffs and this court of the existence of additional documents on the same day that the CIA informed Justice. There is thus no suggestion that the attorneys for the Justice Department departed in any way from their duties as officers of this court.

. I express no opinion herein concerning the significance of these disclosures on the “hearing transcript,” the “Hillenkoetter statement” and the definition of agency records. I adhere to the views expressed in my dissenting opinion. See Goland v. CIA, 197 U.S.App.D.C. -, 607 F.2d 339 (D.C.Cir. 1978) (Bazelon, J., dissenting) at -— of 197 U.S.App.D.C., at 358-362 of 607 F.2d (hearing transcript), -- - of 197 U.S.App.D.C., 362-365 of 607 F.2d (Hillenkoetter statement).
For the purposes of this discussion I confine my remarks to the impact of these disclosures on the majority’s previous discussion of the adequacy of the CIA’s search.

. We may assume, arguendo that an appellate court would be more reluctant to consider new evidence brought to its attention after its opinion issued rather than before. Compare Standard Oil Co. of California v. United States, 429 U.S. 17, 97 S.Ct. 31, 50 L.Ed.2d 21 (1976) (denying motion to recall mandate after decision on the basis of alleged misconduct by government counsel and new evidence) with United States v. Shotwell (I), 355 U.S. 233, 241, 78 S.Ct. 245, 251, 2 L.Ed.2d 234 (1957) (remanding for consideration of a “challenge to the integrity of the record based on newly discovered evidence”). But where, as here, the evidence was withheld by the agency with full knowledge of its relevance, the concern for finality is overridden by a need to prevent the agency from profitting by its misdeed. Therefore, I believe it is appropriate to analyze the motion to vacate in terms of the effect that the CIA’s revelations would have had on this court, had that information been seasonably tendered before our decision.
Accordingly, this case comes in a different posture than Realty Acceptance Corp. v. Mont*376gomery, 284 U.S. 547, 52 S.Ct. 215, 76 L.Ed. 476 (1932), where the Court of Appeals’ order remanding to the District Court to consider new evidence was entered after the Court of Appeals lost jurisdiction of the case (by virtue of its earlier order dismissing the appeal). See id. at 551-52, 52 S.Ct. 215.

. U.S.Const., Art. Ill, Sec. 2.

. See e. g., Golden v. Zwickler, 394 U. S. 103, 108, 89 S.Ct. 956, 22 L.Ed.2d 113 (1969).

. See, e. g., Preiser v. Newkirk, 422 U.S. 395, 401, 95 S.Ct. 2330, 2334, 45 L.Ed.2d 272 (1975).
[A] federal court has neither the power to render advisory opinions nor “to decide questions that cannot affect the rights of litigants in the case before them.” Its judgments must resolve “ ‘a real and substantial controversy admitting of specific relief through a decree of a conclusive character, as distinguished from an opinion advising what the law would be upon a hypothetical state of facts.’ ” (Citations omitted.)

. Of course, plaintiffs have not conceded the propriety of the CIA’s decision to withhold certain documents or portions of documents pursuant to FOIA. See note 2, supra.

. See, e. g. Allee v. Medrano, 416 U.S. 802, 818 n.12, 94 S.Ct. 2191, 2202, 40 L.Ed.2d 566 (1974): “In the federal system an appellate court determines mootness as of the time it considers the case, not as of the time it was filed.” See also Steffel v. Thompson, 415 U.S. 452, 459-60 & n.10, 94 S.Ct. 1209, 39 L.Ed.2d 505 (1974).

. “There would certainly be no doubt of the need for a court remand if the change of circumstances were such as to make the case moot.” Greater Boston Television Corp. v. F. C. C., 149 U.S.App.D.C. 322, 337 n.25, 463 F.2d 268, 283 n.25 (1971), cert. denied, 406 U.S. 950, 92 S.Ct. 2042, 32 L.Ed.2d 338 (1972). Although Judge Leventhal there referred to review of agency proceedings, the same jurisdictional considerations apply to appellate review of a district court decision.

. As I noted in my earlier dissent, “[m]y disagreement, again, concerns not the substance but the timing of the judgment in favor of the agency.” Dissenting op. at - of 197 U.S.App.D.C., at 366 of 607 F.2d.

. I entertain no doubt that we have the power to consider the impact of these disclosures pursuant to § 2106, whether they are characterized as “newly discovered evidence” or “changed circumstances.” See Patterson v. Alabama, 294 U.S. 600, 607, 55 S.Ct. 575, 79 L.Ed. 1082 (1935); Gomez v. Wilson, 155 U.S.App.D.C. 242, 247-248, 477 F.2d 411, 416-17 (1973). Although typically this evidence should be considered through a motion for a new trial, compelling circumstances justify this court considering such developments. Cf. Carr v. District of Columbia, 177 U.S.App.D.C. 432, 444 & n.96, 543 F.2d 917, 929 & n.96 (1976) (where consideration of new evidence time-barred under Rule 60(b) and no other forum available to consider such evidence, court “would consider whether the interests of justice would not require” remand to district court pursuant to 28 U.S.C. § 2106).
The possibility that the CIA has disregarded its responsibilities under the Freedom of Information Act presents a particularly appropriate occasion for the exercise of our § 2106 authority to require further proceedings. Under FOIA, as with any litigation, we adhere to “the fundamental precept that issues on appeal are to be confined to those duly presented to the trial court”, Jordan v. Department of Justice, 192 U.S.App.D.C. 144, 591 F.2d 753 (1978). However, in Jordan we recognized that in unusual circumstances we might remand to the trial court (pursuant to § 2106) to permit consideration of a FOIA exemption raised by the government for the first time on appeal. In so observing, we recognized that the policies of FOIA might outweigh the generalized interest in finality that normally confines our review to the issues as presented in the trial court. If the government, under some circumstances, is to be permitted to expand its arguments on appeal to protect legitimate interests in non-disclosure, surely it is equally consonant with the principles of FOIA to permit one who requests information to enlarge the record, especially where there is disturbing evidence of impropriety by the government.

. Had the CIA mistakenly failed to recognize the relevance of these documents, or had the librarian failed to inform the General Counsel of her discovery, different, and more difficult issues would be posed. Here, however, the three top legal officers of the CIA withheld the fact that documents had been discovered which they knew to be relevant to this litigation. I can imagine no clearer breach of duty to this court.

. Shotwell Mfg. Co. v. United States (Shotwell II), 371 U.S. 341, 358, 83 S.Ct. 448, 459, 9 L.Ed.2d 357 (1963).

. The full text of the CIA’s explanation is as follows:
To be sure, there is one regrettable aspect to the CIA’s recent disclosures. Apparently the Agency became aware of the existence of documents possibly relevant to Goland in the late fall of 1977. See Exhibits C and E. Despite the pendency of this case before this Court and plaintiffs’ outstanding FOIA request, the documents were not compiled speedily, and Justice Department counsel were not informed of their existence. However, this was not a “strategy decision to stand mute,” as claimed in plaintiffs’ motion to vacate. As explained in the attached letter from the CIA’s Office of General Counsel to Justice Department counsel (Exhibit E), insufficient priority was given to these additional documents because there was uncertainty to what extent the documents found by the law librarian were relevant to this litigation and because of the press of other business. Moreover, as is clear from the attached CIA letters (Exhibits C, D, and E), ' the number of additional documents turned out to be very great. The law librarian did not complete her first partial inventory of the additional documents until May 19, 1978. Id.
Opp. to Mot. to Vacate at---of 197 U.S.App.D.C., at 369-370 of 607 F.2d.

. The CIA seeks to refute any suggestion of bad faith by pointing to its disclosure, albeit belated, of the documents after our opinion issued. Opp. to Mot. to Vacate at - n.3 of 197 U.S.App.D.C., at 369 n.3 of 607 F.2d. I confess I am unable to find grounds for applause in the agency’s tardy recognition of long-neglected legal and moral duty.