Golden v. N.J. Inst. of Tech.
Opinion of the Court
In 2015, Pulitzer Prize-winning journalist Daniel Golden and publicist Tracy Locke were conducting research for Golden's then-forthcoming book, Spy Schools: How the CIA, FBI, and Foreign Intelligence Secretly Exploit America's Universities .
After removal of this case to federal court, NJIT and the FBI agreed to reexamine the previously withheld records. As a result of that review, NJIT produced thousands of pages of documents it had formerly deemed exempt. Golden and *305Locke then moved for attorneys' fees under OPRA, which mandates a fee award for prevailing plaintiffs. See
We disagree with both the District Court's conclusion and its misplaced focus on reasonableness. Under the catalyst theory, as adopted by the Supreme Court of New Jersey, plaintiffs are entitled to attorneys' fees if there exists "a factual causal nexus between [the] litigation and the relief ultimately achieved" and if "the relief ultimately secured by plaintiffs had a basis in law." Mason v. City of Hoboken ,
I.
A.
Enacted in 2002, the purpose of OPRA is "to maximize public knowledge about public affairs in order to ensure an informed citizenry and to minimize the evils inherent in a secluded process." Id. at 1025 (quoting Asbury Park Press v. Ocean Cty. Prosecutor's Office ,
A person seeking government records must submit to the records custodian a written request for access that is "hand-delivered, mailed, transmitted electronically, or otherwise conveyed."
*306The agency may charge a nominal fee for the cost of duplicating records,
Absent any applicable exemptions,
If the records custodian denies access to a government record, the requestor has two options: file a lawsuit in the New Jersey Superior Court, Law Division, or a complaint with the Government Records Council.
"OPRA provides for attorney's fees and civil penalties in certain circumstances." Mason ,
B.
In 2015, Golden and Locke were conducting research for a book Golden was writing that would examine foreign and domestic intelligence activities at United States universities. On April 8, 2015, Golden submitted the first OPRA request to Williams, NJIT's records custodian. The first request sought
(1) "all e-mail communications since January 1, 2010, between the Central Intelligence Agency or its representatives using the email domains @ucia.gov, @cia.gov, or any other address, and the following people at the New Jersey Institute of Technology: the president, chancellor(s), *307provost(s), vice provost(s), vice presidents, deans, general counsel, assistant general counsel, outside counsel, and campus police chief"; and
(2) "all e-mail communications since January 1, 2010, between the Federal Bureau of Investigation or its representatives using the email domains @ic.fbi.gov, @fbi.gov, or any other email address, and the same people at NJIT."
App. 58. NJIT staff accessed the computer system to search for the email extensions contained in Golden's request. NJIT located over 1,400 emails, which Williams began to review and print. Due to the volume of emails, Williams asked for and received from Golden an extension of the seven-day OPRA deadline to turn over records covered by the request.
During Williams's review, she discovered that many of the emails-which were mostly from the FBI to NJIT-contained dissemination controls.
In May 2015, FBI agents visited NJIT to review the emails Williams had compiled. The FBI advised Williams "that any emails directed to and received from the FBI are deemed FBI records and, as such, are the property of the United States Government." App. 214, ¶ 31. The FBI also told Williams that it, not NJIT, "is cloaked with full and exclusive authority to determine whether or not any such email is subject to disclosure." App. 214, ¶ 31. The FBI redacted some emails and marked others as classified. The FBI instructed Williams to produce certain records and to withhold others.
On May 29, 2015, Williams responded to Golden's first request. NJIT produced approximately 540 pages of records, many of which were redacted. NJIT also withheld 3,949 pages, citing several OPRA exemptions. See App. 61-62 (citing, inter alia , exemptions for domestic security and documents that would be exempt under federal law, including the federal Freedom of Information Act ("FOIA")). Williams's response included a letter from the FBI memorializing its directive to withhold the records.
Approximately two months later, on July 28, 2015, Locke submitted to NJIT a second OPRA request, which was identical to the first request. The following day, Williams contacted the FBI to advise it of the second request and to confirm her understanding that NJIT was prohibited from releasing any additional records. Williams then denied Locke's request; citing many of the same OPRA exemptions as before, Williams advised that NJIT would not produce any additional records and enclosed the FBI's May 2015 letter prohibiting disclosure.
Just a few weeks later, on August 13, 2015, Golden submitted a third OPRA request. The third request mirrored the first and second requests. Noticing this duplication, Williams asked Golden if he had submitted the request in error; he responded that the third request was broader than the first two because it sought records through the date of the most recent request. After again consulting with the FBI, Williams denied the third request pursuant *308to the same OPRA exemptions and enclosed the FBI's May 2015 letter.
C.
Roughly a month later, in September 2015, Golden and Locke sued NJIT and Williams under OPRA and New Jersey's common law right of access in the Superior Court of New Jersey Law Division, Essex County.
In December 2015, the FBI removed the case to the United States District Court for the District of New Jersey pursuant to
Beginning in January 2016, the Magistrate Judge to whom the case was referred held a series of status conferences with the parties. As of February 2016, NJIT and the FBI possessed approximately 6,000 pages of undisclosed documents responsive to the OPRA requests. Of the 6,000 pages, the Bureau claimed that 4,000 were federal records that were purportedly exempt from disclosure under OPRA. The FBI agreed to treat the remaining 2,000 pages as a request from NJIT to consult, and the Bureau would review the documents at a rate of 500 pages per month. Although Golden and Locke did not agree with the FBI's position as to the 4,000 purportedly exempt pages, all parties agreed to the consultation procedure. Given the progress, the Magistrate Judge stayed the case.
In June 2016, the FBI reported that it had reviewed approximately 2,000 pages of responsive records. The FBI redacted and returned the documents to NJIT, "which in turn produced the redacted documents to Plaintiffs in accordance with FBI protocols for consultation requests." App. 143. The FBI also undertook "a further cursory review" of the remaining purportedly exempt pages and agreed to review them at a rate of 500 pages per month. App. 143.
In October 2016, the FBI finished its review of the 6,000 pages. NJIT produced 3,445 unredacted pages and 379 partially redacted pages.
In January 2017, the parties reported that they had "made substantial progress in narrowing the issues to be litigated." App. 151. Golden and Locke agreed not to challenge a substantial number of the withheld documents. They also provided NJIT and the FBI with a list of specific withheld documents that they wanted the Bureau to revisit. In February 2017, the FBI produced additional records. In light of upcoming publication deadlines for *309Golden's book, he and Locke opted not to challenge the remainder of the withheld documents. The parties advised the Magistrate Judge that the only issue that remained to be resolved was Golden and Locke's forthcoming motion for attorneys' fees as prevailing parties under OPRA.
Golden and Locke filed a motion for attorneys' fees in November 2017, seeking $197,829.50. NJIT opposed the motion. In April 2018, the Magistrate Judge issued a Report and Recommendation ("R&R") recommending that the District Court deny the fee motion. The Magistrate Judge believed that no causal nexus existed between Golden and Locke's lawsuit and the production of records. The Magistrate Judge reasoned that because the FBI-not NJIT-asserted and then abandoned OPRA exemptions, NJIT's conduct was "unaffected and unchanged" by the filing of the lawsuit. App. 23. The Magistrate Judge also ruled that NJIT's conduct was reasonable. Golden and Locke objected to the R&R.
On August 2, 2018, the District Court adopted the R&R and denied Golden and Locke's fee motion. Like the Magistrate Judge, the District Court considered NJIT's conduct to be "reasonable in light of the FBI's repeated demand that NJIT not release records without its approval, NJIT's consistent position to Plaintiffs that it would not do so, and its attempts to facilitate a resolution for Plaintiffs." App. 7. The District Court also agreed with the Magistrate Judge that, while the FBI's conduct had changed because of the lawsuit, NJIT had not altered its position.
Golden and Locke timely appealed.
II.
Neither of the parties questioned the District Court's jurisdiction, nor did the Court raise the issue sua sponte . We, however, must fulfill our "independent obligation" to ensure that jurisdiction exists.
The FBI's notice of removal cites only the applicable statute, § 1442(a)(1), and concludes that the action is removable "because it involves a civil action against the FBI-an agency of the United States." Notice of Removal at 3, ¶ 8, *310Golden v. N.J. Inst. of Tech. , No. 2:15-cv-08559 (D.N.J. Dec. 11, 2015), ECF No. 1. Although the notice of removal is facially inadequate,
The FBI is a federal agency, which fulfills the first requirement. See
The second requirement, that NJIT's claims be based upon the FBI's "conduct acting under the United States, its agencies, or its officers," is "liberally construed to cover actions that involve an effort to assist, or to help carry out, the federal supervisor's duties or tasks." Papp ,
The third requirement is that "the plaintiff's claims against the defendant [be] for, or relating to an act under color of federal office." Papp ,
Finally, jurisdiction can exist under § 1442(a)(1) only if "the defendant raises a colorable federal defense to the plaintiff's claims." Papp ,
*311The FBI alleges that the disputed records are federal records within the meaning of
The District Court had jurisdiction pursuant to
III.
On appeal, Golden and Locke argue that, as prevailing plaintiffs, they are entitled to a mandatory award of attorneys' fees under OPRA.
A.
Under OPRA, "[a] requestor who prevails in any proceeding shall be entitled to a reasonable attorney's fee."
*312An OPRA requestor need not secure a judicial order compelling the release of records to be entitled to attorneys' fees. Rather, under the catalyst theory adopted by New Jersey courts, "prevailing plaintiffs" may attain attorneys' fees when, like Golden and Locke, they obtain records "when a government agency voluntarily discloses [them] after a lawsuit is filed." Mason ,
Golden and Locke have proven a factual causal nexus between their lawsuit and the release of records. Before the lawsuit, NJIT refused to release the majority of documents responsive to the first OPRA request and completely denied the second and third requests. After Golden and Locke filed suit, NJIT agreed to the FBI's consultation procedure and subsequently released 3,445 unredacted pages and 379 partially redacted pages. By releasing these previously withheld records, NJIT abandoned any reliance on the OPRA exemptions it had formerly asserted. There is no indication in the record that NJIT would have produced the previously withheld documents absent Golden and Locke's lawsuit. On the contrary, NJIT allowed access to the records only after a lengthy, cooperative process overseen by the Magistrate Judge. It is clear, then, that Golden and Locke's lawsuit was the catalyst for the release of records.
B.
That NJIT chose to rely upon the FBI's directives does not change our conclusion. As discussed supra , the catalyst theory focuses on whether there exists "a factual causal nexus between [the] litigation and the relief ultimately achieved" and whether the relief awarded "had a basis in law." Mason ,
*313See Courier News v. Hunterdon Cty. Prosecutor's Office ,
In Courier News , the Superior Court of New Jersey Appellate Division considered a question similar to that presented here-whether a records custodian or a third party with an interest in the disputed records was liable for attorneys' fees under OPRA. See
Similarly, in K.L. v. Evesham Township Board of Education , the father of two elementary school children invoked OPRA in seeking school records about alleged incidents of bullying.
These authorities, taken together, lead us to one conclusion-it is of no moment that the FBI directed NJIT to withhold the disputed records. NJIT, as the records custodian, bore the duty under OPRA to decide whether to release or withhold the records Golden and Locke sought, as well *314as the burden to pay attorneys' fees if it made the wrong decision. In making its decision, NJIT was free to consult with the FBI to determine whether disclosure would impinge upon any of the FBI's interests. See, e.g. , Gannett N.J. Partners, LP v. Cty. of Middlesex ,
C.
In a final attempt to avoid liability, NJIT argues that the New Jersey Supreme Court in Mason imposed a requirement of reasonableness on parties in an OPRA dispute. See Mason ,
NJIT's proffered interpretation of Mason is unpersuasive. There, the Supreme Court rejected the plaintiff's argument that OPRA includes a rebuttable presumption that attorneys' fees are warranted whenever a defendant discloses a record post-lawsuit. Id. at 1032-33. The Court instead adopted the catalyst theory-that a requestor is entitled to attorneys' fees only if he can demonstrate "a factual causal nexus between [the] litigation and the relief ultimately achieved," and "that the relief ultimately secured ... had a basis in law." Id. at 1032. The Supreme Court explained: "[t]rial courts would conduct that fact-sensitive inquiry on a case-by-case basis, evaluating the reasonableness of, and motivations for, an agency's decisions, and viewing each matter on its merits." Id. at 1033.
The Supreme Court's reference to "reasonableness" in Mason is best read in light of its facts. There, the agency had attempted to work with the requestor to produce records well before the requestor filed suit. Id. at 1021-22. In the midst of attempting to fulfill the plaintiff's record request, the records custodian was also caring for his critically ill mother, who died the day before the requestor filed suit. Id. In assessing whether attorneys' fees were warranted, the Supreme Court focused on the reasonableness of the agency's efforts to produce records to the requestor: the agency's immediate response that certain records were temporarily unavailable, the illness and death of the records custodian's mother, and the agency's production of some records around the time the requestor filed suit. Id. at 1034. "Because [the agency] had agreed to plaintiff's request before she even filed suit, she cannot establish that her lawsuit entitles her to fees under the catalyst theory." Id. at 1034-35 ; see also Spectraserv, Inc. ,
The plain language of the statute reinforces our conclusion. OPRA's attorneys' fees provision does not include a reasonableness requirement, except as to the amount of any fee ultimately awarded.
Here, the District Court and the Magistrate Judge incorrectly concluded that, because NJIT had acted reasonably in following the FBI's orders, it was absolved of any responsibility to pay attorneys' fees. This interpretation of reasonableness misreads Mason and conflicts with the plain language of OPRA. But even if Mason did impose the "reasonableness" requirement urged by NJIT, its conduct here was not reasonable. As discussed supra , NJIT-not the FBI-had the responsibility to parse the requested records, decide whether exemptions applied, and withhold documents pursuant to those exemptions. See
IV.
The District Court erred in concluding that Golden and Locke were not prevailing plaintiffs entitled to attorneys' fees under OPRA.
Golden's book was published by Henry Holt and Co. in October 2017. At the time of the events in this case, Locke was a publicist with Henry Holt and Co.
A "[g]overnment record" is broadly defined as "any paper, written or printed book, document, drawing, map, plan, photograph, microfilm, data processed or image processed document, information stored or maintained electronically or by sound-recording or in a similar device, or any copy thereof."
The hours during which the records custodian must make records available are abbreviated for smaller public agencies. See
Under OPRA, exemptions may be contained within OPRA itself, and also incorporated in resolutions of the New Jersey Legislature, Executive Orders, federal laws or regulations, or federal orders.
If the records custodian deems part of a record to be exempt, she must delete or redact that portion and permit access to the remainder of the record.
Certain records, including budgets, bills, vouchers, and contracts, are required to be provided immediately upon request.
NJIT's search failed to turn up any responsive records relating to the CIA.
Golden's common law right of access claim is not at issue in this appeal.
In early December 2015, following oral argument on the order to show cause, Judge Stephanie A. Mitterhoff ruled that the case was not yet ready for adjudication because the FBI needed additional time to review documents. Judge Mitterhoff ordered the FBI to start reviewing documents immediately.
Approximately 362 pages were duplicates.
"We review de novo whether the District Court had subject matter jurisdiction." In re Commonwealth's Motion to Appoint Counsel Against or Directed to Def. Ass'n of Phila. ,
See
The FBI also raises two other potential federal defenses-that portions of the disputed records are exempt from disclosure under the Privacy Act of 1974 and FOIA. We need not decide whether these defenses qualify as colorable federal defenses under § 1442(a)(1).
The FBI's status as a third-party defendant does not affect our conclusion that jurisdiction exists; third-party defendants may remove under § 1442(a)(1). See, e.g. , Johnson v. Showers ,
We exercise plenary review over whether a party is a "prevailing party" under OPRA for purposes of attorneys' fee awards. See Addie v. Kjaer ,
Although, as in this case, the requestor generally bears the burden of establishing the Mason factors, the burden shifts to the agency if it fails to respond to an OPRA request within seven days. Mason v. City of Hoboken ,
NJIT argues that the FBI was "the de facto custodian of records relative to plaintiffs' OPRA requests," Appellees' Br. 28, and that it had physical custody of and "absolute responsibility" for the records, id. at 32. These statements are irreconcilable both with the facts of this case and New Jersey law. Williams herself admitted that she is NJIT's custodian of records. NJIT, acting through Williams, also acted consistently with the role of records custodian: it located the records, printed the records, reviewed the records, asked the FBI to review the records, provided the FBI with physical copies of the records, produced the records after the FBI's review, and asserted OPRA exemptions as to the withheld records. Moreover, OPRA defines a records custodian as an "officer officially designated by formal action of [a public] agency's director or governing body"-a definition that does not include federal agencies such as the FBI.
The District Court's Order could be read to suggest that Golden and Locke should have filed a FOIA request to obtain the disputed records directly from the FBI. As NJIT readily admits, Golden and Locke had no obligation to proceed under FOIA. We therefore reject any argument that Golden and Locke were required to seek from another agency the government records within OPRA's purview.
Golden also contends that the District Court erred by failing to review de novo the Magistrate Judge's R&R. Because we are satisfied that the District Court conducted the required de novo review, we decline to reverse on this ground.
Reference
- Full Case Name
- Daniel GOLDEN Tracy Locke v. NEW JERSEY INSTITUTE OF TECHNOLOGY Clara Williams, in her capacity as Custodian of Records for the New Jersey Institute of Technology v. Federal Bureau of Investigation
- Cited By
- 8 cases
- Status
- Published