Lopez v. Nat'l Archives & Records Admin.
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Opinion of the Court
Plaintiff Edwin Lopez brought this action under three statutes: the Freedom of Information Act ("FOIA"),
*82Pending before the Court is defendants' renewed motion for judgment on the pleadings and plaintiff's cross-motion for summary judgment. For the reasons that follow, the Court will grant defendants' motion for judgment on the pleadings and deny plaintiff's motion.
BACKGROUND
The Court accepts as true the following facts set out in plaintiff's amended complaint for the purposes of resolving the pending motion for judgment on the pleadings.
Plaintiff sought production of the following four items:
1. The 40-page document which is described by RIF #104-10175-10085 (hereafter referred to as "the Ed Lopez file." [sic ];
2. Any record reflecting a vote by the Assassination Records Review Board (ARRB) to designating [sic ] the Lopez file as "NBR" ("Not Believed Relevant") or similar status or determining that its disclosure should be withheld for a particular period of time, including until 2017;
3. Any record of the CIA or any other agency reflecting the belief that the Lopez file should or might be given "NBR" status or that its disclosure should be postponed for any period of time, including until the year 2017; and
4. Any record reflecting that the disclosure of the Lopez file should be postponed in whole or in part for any period of time, including until 2017, was transmitted to, and published in, the Federal Register in accordance with the procedures of the JFK Act.
Request; see also Am. Compl. ¶ 8.
On January 7, 2015, NARA sent plaintiff a letter acknowledging that it had received the request on December 23, 2014, and assigned it the request reference number NW 44935. Am. Compl. ¶ 9; Ex. 2 to Am. Compl. [Dkt. # 25-1]. On January 26, 2015, Martha Wagner Murphy, Chief of the Special Access and FOIA staff to NARA, informed Joseph W. Lambert, Director of the Information Management Services at CIA, of the request and forwarded a copy. Am. Compl. ¶ 10; Ex. 3 to Am. Compl. [Dkt. # 25-1] ("Ex. 3"). She asked that he inform NARA of the CIA's determination and any "sanitizing instructions" since "a full-text copy of the requested *83document is in [CIA's] files." Am. Compl. ¶ 10; Ex. 3.
On May 27, 2015, Michael Lavergne of the CIA responded to Murphy, and he advised her that CIA had located and reviewed the Lopez File and had determined that "it is currently and properly classified and must be denied in its entirety on the basis of FOIA exemptions (b)(1) [classified records] and (b)(3) [records exempted by other statutes]." Am. Compl. ¶ 11; Ex. 4 to Am. Compl. [Dkt. # 25-1] ("Ex. 4"). The CIA cited to section 6 of the Central Intelligence Agency Act of 1949, and section 102A(i)(1) of the National Security Act of 1947 to support the use of the exemptions. Am. Compl. ¶ 11; Ex. 4.
By letter dated June 9, 2015, NARA informed plaintiff of the CIA determination to withhold the Lopez File in full pursuant to the two FOIA exemptions. Am. Compl. ¶ 12; Ex. 5 to Am. Compl. [Dkt. # 25-1] ("Ex. 5"). NARA also advised plaintiff that a search of the closed records of the Assassination Records Review Board had been made "and no information was found" responsive to the remainder of his request. Am. Compl. ¶¶ 12-13; Ex. 5. Finally, NARA advised plaintiff that he had the right to administratively appeal the decision within sixty days of the date of the letter. See Ex. 5.
On June 1, 2017, plaintiff filed an amended complaint asserting claims under FOIA (Count I), the Privacy Act (Count II), and the JFK Records Act (Count III). Am. Compl. On June 12, 2017, defendants renewed their motion for judgment on the pleadings under Federal Rule of Civil Procedure 12(c). Renewed Mot. for J. on the Pleadings [Dkt. # 19] ("Defs.' Mot."); Mem. of P. & A. in Supp. of Defs.' Mot. [Dkt. # 19] ("Defs.' Mem."). Plaintiff opposed the motion and also filed a cross-motion for summary judgment on July 3, 2017. Pl.'s Resp. to Defs.' Mot. & Pl.'s Renewed Cross-Mot. for Summ. J. [Dkt. ## 20-21] ("Pl.'s Opp. & Cross-Mot."); Mem. of Opposing P. & A. in Resp. to Defs.' Mot. & in Supp. of Pl.'s Opp. & Cross-Mot.) [Dkt. ## 20-21] ("Pl.'s Opp. & Cross-Mem.).
STANDARD OF REVIEW
Federal Rule of Civil Procedure 12(c) authorizes a party to move for judgment on the pleadings at any time "after the pleadings are closed." Fed. R. Civ. P. 12(c).
While there are opinions in this district that state that the standards of review between a Rule 12(b)(6) motion and a Rule 12(c) motion are "essentially the same" or "virtually identical," see, e.g. , Nat'l Shopmen Pension Fund v. Disa ,
Wright's Federal Practice and Procedure makes the same observation, noting that a 12(c) motion asks the Court to address the merits of the parties' claims and defenses and not procedural barriers or pleading deficiencies. 5C Charles Alan Wright & Arthur R. Miller, Fed. Prac. & Proc. Civ. § 1369 (3d ed. 2017) (commenting that the appropriate standard of review for a Rule 12(c) motion is more similar to a Rule 56 motion for summary judgment, except that the Court may only consider the contents of the pleadings); see also Jones v. Dufek,
*85If on a Rule 12(b)(6) or 12(c) motion, "matters outside the pleadings are presented to and not excluded by the court, the motion must be treated as one for summary judgment under Rule 56." Fed. R. Civ. P. 12(d) ; see Marshall Cnty. Health Care Auth. v. Shalala ,
In this case, the parties have submitted declarations and other exhibits in support of, and in opposition to, the pending motions. The Court may consider certain exhibits, such as the Request itself, without converting the motion for judgment on the pleadings to one for summary judgment since those records either attached to, or incorporated by reference in, the complaint itself. See St. Francis Xavier Parochial Sch. , 117 F.3d at 624. However, since the Court will consider the declarations attached to defendants' motion for judgment on the pleadings, the Court is required to treat the motion as if it were a motion for summary judgment. See Fed. R. Civ. P. 12(d). And because plaintiff had a full opportunity to oppose the motion, and treated it as a Rule 56 motion himself by submitting a cross-motion supported by a statement of facts and a declaration, as well as an opposition, the Court concludes that the parties have had an opportunity to present all the material pertinent to the motion, and that it is fair to both parties to convert defendants' motion to one for summary judgment. See Hollis v. U.S. Dep't of the Army ,
Summary judgment is appropriate "if the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(a). The party seeking summary judgment "bears the initial responsibility of informing the district court of the basis for its motion, and identifying those portions of the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, which it believes demonstrate the absence of a genuine issue of material fact." Celotex Corp. v. Catrett ,
The mere existence of a factual dispute is insufficient to preclude summary *86judgment. Anderson v. Liberty Lobby, Inc. ,
ANALYSIS
I. The Court will grant defendants' motion as to plaintiff's FOIA claims because he has not exhausted his administrative remedies.
"Exhaustion of administrative remedies is generally required before filing suit in federal court so that the agency has an opportunity to exercise its discretion and expertise on the matter and to make a factual record to support its decision." Hidalgo v. FBI ,
It is true that "the exhaustion requirement is not jurisdictional because the FOIA does not unequivocally make it so." Hidalgo ,
Under the statute, the agency has twenty days to determine if it will comply with the request, and it must notify the requestor of this decision.
Importantly, a requestor "shall be deemed to have exhausted his administrative remedies with respect to [a] request if the agency fails to comply with the applicable time limit provisions," and the requestor *87files suit.
A. Plaintiff did not exhaust his administrative remedies as to defendant NARA.
Here, there is no dispute that plaintiff filed this lawsuit after NARA responded to his FOIA request but before he had appealed the agency's determination. Although plaintiff makes the conclusory allegation in his complaint that he has "exhausted his administrative remedies," see Am. Compl. ¶ 15, he also acknowledges that after he received NARA's determination of June 9, 2015, which notified him of his right to appeal, "no further communications have been exchanged." Id. ¶ 14. Further, NARA's declarant averred that "NARA has no record of ever receiving an appeal," see Decl. of Joseph A. Scanlon [Dkt. # 19-2] ¶ 10, and plaintiff has not provided the Court with any other evidence to support his claim that he appealed NARA's determination.
Plaintiff argues that he constructively exhausted his administrative remedies since the agency did not respond to his request within the twenty-day statutory period. Pl.'s Opp. & Cross-Mem. at 7-8. However, the special right to immediate judicial review that arises from the lack of a timely response is not available if an agency responds to a request at any time before the requestor files suit. See Oglesby ,
To permit plaintiff to ignore NARA's directive "would cut off the agency's power to correct or rethink initial misjudgments or errors," Oglesby ,
Because plaintiff has failed to exhaust his administrative remedies, NARA is entitled to summary judgment on plaintiff's FOIA claim in Count I.
B. Plaintiff did not exhaust his administrative remedies as to defendant CIA.
The CIA argues that the FOIA claim against it should be dismissed because plaintiff never sent it a request. Defs.' Mem. at 6. The Court agrees.
The Court's jurisdiction under FOIA is dependent upon a showing that an agency improperly withheld agency records.
*88Kissinger v. Reporters Comm. for Freedom of the Press ,
A proper FOIA request must "reasonably describe[ ]" the records sought and must comply with the agency's published procedures, including the agency's schedule of fees.
Here, there is no allegation, let alone evidence, that plaintiff submitted a FOIA request to CIA.
Plaintiff argues that "the CIA had actual notice of the request" after NARA sent it a copy, Pl.'s Opp. & Cross-Mem. at 12, and that because exhaustion "is not jurisdictional," the Court should "either waive the formal requirements in view of the actual facts of the case or remand the request to the CIA for actual exhaustion."
Since it is undisputed that plaintiff's request was not sent through the proper *89channels to CIA, the agency was not required to respond, and plaintiff did not exhaust his administrative remedies as to that agency. See Pickering-George ,
Therefore, CIA is entitled to summary judgment on the FOIA count.
II. The Court does not have jurisdiction over plaintiff's Privacy Act claims because plaintiff has not exhausted his administrative remedies.
"The Privacy Act regulates the 'collection, maintenance, use, and dissemination of information' about individuals by federal agencies." Wilson v. Libby ,
However, this civil remedy is not available unless a plaintiff has exhausted his administrative remedies. See 5 U.S.C. § 552a(g)(1) ; Haase v. Sessions ,
Because the exhaustion requirement under the Privacy Act is jurisdictional, a court may dismiss a claim for failure to exhaust administrative remedies sua sponte . Fed. R. Civ. P. 12(h)(3) ; see Arbaugh v. Y & H Corp. ,
To properly exhaust administrative remedies under the Privacy Act, a plaintiff must submit a Privacy Act request to the agency and seek review within the agency under the agency's promulgated *90procedures. See 5 U.S.C. §§ 552a(d)(1)-(3), (e) - (g)(1). After a review of plaintiff's amended complaint, plaintiff's Privacy Act request, see Request, and NARA's letter dated June 9, 2015, see Ex. 5, and in light of the Court's analysis above, the Court concludes that plaintiff has failed to exhaust his administrative remedies as to each defendant. Plaintiff never internally appealed NARA's determination, and plaintiff never sent a proper request to CIA. Therefore, the Court lacks subject-matter jurisdiction over plaintiff's Privacy Act claims in Count II, and it will dismiss those claims against both defendants.
III. The Court will dismiss plaintiff's claims under the JFK Records Act because it does not provide a private cause of action.
In the complaint, plaintiff alleges that defendants have not followed the procedures established in JFK Records Act, and that "the Lopez file is illegally and improperly withheld under the provisions of the JFK Records Act." Am. Compl. ¶¶ 22-24. Plaintiff then asks the Court to "order the defendants [to] fully comply with the JFK Records Act in regard to the Lopez file." Id. at 6.
Congress enacted the JFK Records Act in order to establish a timetable and a procedure for the disclosure of records concerning the assassination of President John F. Kennedy. See President John F. Kennedy Assassination Records Collection Act of 1992, Pub. L. No. 102-526,
This Circuit has made it clear that the JFK Records Act and FOIA are separate statutory schemes with different standards and enforcement mechanisms. Morley ,
*91Nonetheless, plaintiff insists that "[t]his action is not seeking to assert a private cause of action but is seeking review under Section 11(c) of the JFK Act which allows this Court to review final actions taken under the JFK Act" pursuant to the Administrative Procedure Act,
While Section 11(c) of the JFK Act does state that the Act does not "preclude judicial review" under the APA of "final actions taken or required to be taken under th[e] Act," JFK Act § 11(c), plaintiff did not bring a cause of action under the APA. See generally Am. Compl.
Therefore, the Court will grant summary judgment in favor of defendants on Count III.
CONCLUSION
For the foregoing reasons, the Court will grant defendants' motion in its entirety. A separate order will issue.
Plaintiff filed his original complaint on January 19, 2017. Compl. [Dkt. # 1]. Defendants filed an answer on March, 27, 2017, followed by a motion for judgment on the pleadings. Defs.' Answer [Dkt. # 8]; Defs.' Mot. for J. on the Pleadings [Dkt. # 11]. Plaintiff responded to defendants' motion by cross-moving for summary judgment, but he also filed a motion for leave to amend his complaint. Pl.'s Resp. to Defs.' Mot. for J. on the Pleadings & in Supp. of Pl.'s Cross-Mot. for Summ. J. [Dkt. # 14]; Pl.'s Mot. for Leave to File an Am. Compl. for Injunctive Relief [Dkt. # 13]. The Court granted plaintiff's motion for leave to amend. Min. Order (June 1, 2017). In light of the new complaint, the Court denied both parties' pending motions as moot, and ordered defendants to file a renewed motion for judgment on the pleadings.
When analyzing a motion for judgment on the pleadings, the Court must "view the facts presented in the pleadings and the inferences to be drawn therefrom in the light most favorable to the nonmoving party." Peters v. Nat'l R.R. Passenger Corp. ,
Generally, the Court is not to consider matters outside the pleadings, per Rule 12(d), but the letter was attached to the complaint, and the Court may consider any document either attached to or incorporated by reference in the complaint. See EEOC v. St. Francis Xavier Parochial Sch. ,
In his cross-motion for summary judgment, plaintiff argues that defendants' declarations do not support proper withholdings under FOIA Exemptions (b)(1) and (b)(3). Pl.'s Opp. & Cross-Mem. at 14. Because the Court will grant defendants' motion on other grounds, the Court will not reach the merits of plaintiff's cross-motion.
Defendants filed a reply and opposition to plaintiff's cross-motion on July 24, 2017. Defs.' Reply to Pl.'s Opp. & Cross-Mot. & Defs.' Opp. to Pl.'s Cross-Mot. [Dkt. ## 22-23] ("Defs.' Reply"). On August 7, 2017, plaintiff filed a cross-reply. Pl.'s Reply to Defs.' Reply [Dkt. # 24] ("Pl.'s Cross-Reply").
Pleadings are closed for Rule 12(c) purposes when a complaint and an answer have been filed. See Fed. R. Civ. P. 7(a) ; Maniaci v. Georgetown Univ. ,
See also Landmark Am. Ins. Co. v. VO Remarketing Corp. ,
Plaintiff insists that Citizens for Responsibility & Ethics in Wash. v. FEC ,
To submit a proper FOIA request to CIA, one must submit the request to CIA's Information and Privacy Coordinator. See
These sorts of referrals occur often, and are contemplated by the FOIA statute. See
Other Circuits have held that failure to exhaust administrative remedies is a jurisdictional bar to amendment suits under
In his cross-reply, plaintiff contends that he has "pled an APA action under the liberal pleading rules" because he brought a claim "under the JFK Record Act which specifically incorporates the judicial review provisions of the APA." Pl.'s Cross-Reply at 10. However, plaintiff cites no authority for this proposition, and it would be inconsistent with Federal Rule of Civil Procedure 8(a)(1) and (2).
Case-law data current through December 31, 2025. Source: CourtListener bulk data.