AMY BERMAN JACKSON, United States District Judge.
Three organizations, Citizens for Responsibility and Ethics in Washington ("CREW"), the National Security Archive ("NSA"), and the Society for Historians of American Foreign Relations ("SHAFR"), have brought this lawsuit against President Donald J. Trump, in his official capacity, and the Executive Office of the President ("EOP"). The complaint alleges that the defendants violated the Presidential Records Act ("PRA"), the Federal Records Act ("FRA"), and the Take Care Clause of the Constitution when the President and his staffers failed to create, maintain, and properly dispose of records of interactions with foreign leaders. Compl. [Dkt. # 1] at 1-2. Plaintiffs seek relief in the form of a writ of mandamus and an injunction compelling defendants to comply with their duties under the PRA, as well as a declaration
On August 9, 2019, defendants moved to dismiss the complaint for lack of jurisdiction and for failure to state a claim. Since the Court is bound by Circuit precedent to find that it lacks authority to oversee the President's day-to-day compliance with the statutory provisions involved in this case, the motion to dismiss will be granted. Thus, this opinion will not address, and should not be interpreted to endorse, the challenged practices; nor does it include any finding that the Executive Office is in compliance with its obligations.
The creation, maintenance, and disposal of records created by the federal government are controlled by two key statutes: The Presidential Records Act ("PRA") and the Federal Records Act ("FRA").
The PRA governs the management of "presidential records." 44 U.S.C. § 2201 et seq.; see Armstrong v. Bush ("Armstrong I"), 924 F.2d 282, 285-86 (D.C. Cir. 1991). The statute defines "presidential records" as:
§ 2201(2). The Act expressly excludes two sets of materials from the definition of Presidential records: any materials that qualify as "official records of an agency (as defined in [the Freedom of Information Act, 5 U.S.C. § 552(f)]
With respect to the records that are covered, the Presidential Records Act provides:
§ 2203(a). During a President's term, "the President may dispose of those Presidential records of such President that no longer have administrative, historical, informational, or evidentiary value...." § 2203(c). Prior to doing so, though, the President must obtain the views of the Archivist of the United States concerning the records the President proposes to destroy. § 2203(c)(1). The Archivist may, and in some situations shall, notify Congress of the intended destruction, and the President must wait at least sixty days after such notification to destroy the records. §§ 2203(d), (e). But "[t]he PRA gives neither the Archivist nor the Congress the authority to veto the President's decision to destroy the records." Armstrong I, 924 F.2d at 286. The PRA permits the Archivist to maintain and preserve Presidential
The Federal Records Act, by contrast, governs the management of agency records. 44 U.S.C. § 2101 et seq.; Armstrong I, 924 F.2d at 284. The FRA defines "records" as materials "made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government...." § 3301(a)(1)(A).
The FRA directs the head of every federal agency to "make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency...." § 3101. Each agency head must also "establish and maintain an active, continuing program for the economical and efficient management of the records of the agency" and must "establish safeguards against the removal or loss of records...." §§ 3102, 3105. Agency records may not be destroyed except as outlined in the FRA. § 3314.
Plaintiffs filed their complaint on May 7, 2019, alleging that the President and the Executive Office of the President have violated the PRA and the FRA by failing to create, preserve, and properly dispose of records of meetings and discussions with foreign leaders. See Compl. at 1-2. The complaint seeks the following relief:
Compl. ¶¶ 72-106.
On August 9, 2019, defendants moved to dismiss the complaint for lack of subject matter jurisdiction under Federal Rule of
In evaluating a motion to dismiss under Rule 12(b)(1), the Court must "treat the complaint's factual allegations as true and must grant plaintiff `the benefit of all inferences that can be derived from the facts alleged.'" Sparrow v. United Air Lines, Inc., 216 F.3d 1111, 1113 (D.C. Cir. 2000) (internal citation omitted), quoting Schuler v. United States, 617 F.2d 605, 608 (D.C. Cir. 1979); see also Am. Nat'l Ins. Co. v. FDIC, 642 F.3d 1137, 1139 (D.C. Cir. 2011), quoting Thomas v. Principi, 394 F.3d 970, 972 (D.C. Cir. 2005). Nevertheless, the Court need not accept inferences drawn by the plaintiff if those inferences are unsupported by facts alleged in the complaint, nor must the Court accept plaintiff's legal conclusions. Browning v. Clinton, 292 F.3d 235, 242 (D.C. Cir. 2002).
Under Rule 12(b)(1), the plaintiff bears the burden of establishing jurisdiction by a preponderance of the evidence. See Lujan v. Defs. of Wildlife, 504 U.S. 555, 561, 112 S.Ct. 2130, 119 L.Ed.2d 351 (1992); Shekoyan v. Sibley Int'l Corp., 217 F.Supp.2d 59, 63 (D.D.C. 2002). Federal courts are courts of limited jurisdiction and the law presumes that "a cause lies outside this limited jurisdiction." Kokkonen v. Guardian Life Ins. Co. of Am., 511 U.S. 375, 377, 114 S.Ct. 1673, 128 L.Ed.2d 391 (1994); see also Gen. Motors Corp. v. EPA, 363 F.3d 442, 448 (D.C. Cir. 2004) ("As a court of limited jurisdiction, we begin, and end, with an examination of our jurisdiction."). "[B]ecause subject-matter jurisdiction is `an Art[icle] III as well as a statutory requirement ... no action of the parties can confer subject-matter jurisdiction upon a federal court.'" Akinseye v. District of Columbia, 339 F.3d 970, 971 (D.C. Cir. 2003), quoting Ins. Corp. of Ir., Ltd. v. Compagnie des Bauxites de Guinee, 456 U.S. 694, 702, 102 S.Ct. 2099, 72 L.Ed.2d 492 (1982).
When considering a motion to dismiss for lack of jurisdiction, unlike when deciding a motion to dismiss under Rule 12(b)(6), the court "is not limited to the allegations of the complaint." Hohri v. United States, 782 F.2d 227, 241 (D.C. Cir. 1986), vacated on other grounds, 482 U.S. 64, 107 S.Ct. 2246, 96 L.Ed.2d 51 (1987).
The defendants have moved to dismiss the entire complaint based on the holding in Armstrong v. Bush ("Armstrong I"), 924 F.2d 282, 291 (D.C. Cir. 1991), that "the PRA precludes judicial review of the President's recordkeeping practices and decisions." While ordinarily there is a presumption favoring judicial review of executive action under a statute, that presumption may be overcome by an express prohibition in the legislation, or, if a court finds based on an analysis of the statute's structure, objectives, legislative history, and the nature of the administrative action involved, that such a bar was implied. Id. at 290. Considering those factors, the D.C. Circuit held in 1991 that the Presidential Records Act is "one of the rare statutes that ... impliedly precludes judicial review." Id.
The Armstrong I opinion reviews the legislative history of the PRA and reports that the purpose of the statute was to ensure that presidential records would be preserved so that the public could have access to them after the President left office. Id. At the same time, the Court observed, Congress "sought assiduously to minimize outside interference with the day-to-day operations of the President and his closest advisors and to ensure executive branch control over presidential records during the President's term in office." Id. And the Court concluded that the absence of any language creating a private right of action was consistent with that aim. Id. The opinion reasoned that "permitting judicial review of the President's compliance with the PRA would upset the intricate statutory scheme Congress carefully drafted to keep in equipoise important competing political and constitutional concerns." Id.
Since the "PRA accords the President virtually complete control over his records during his term of office," id., and it grants neither the Archivist nor Congress any authority to interfere with the executive's recordkeeping activities, the Armstrong I Court found that Congress did not intend to allow courts, "at the behest of private citizens, to rule on the adequacy of the President's records management practices or overrule his records creation, management, and disposal decisions." Id.
As plaintiffs point out, though, the D.C. Circuit carved out an exception to the holding in Armstrong I when it announced in a subsequent opinion that "courts are accorded the power to review guidelines outlining what is, and what is not, a `presidential record' under the terms of the PRA." Armstrong v. Exec. Office of the President ("Armstrong II"), 1 F.3d 1274, 1290 (D.C. Cir. 1993); Compl. at 30. In Armstrong II, the Court reversed a district court decision "declining to review the EOP guidelines defining Presidential records," and it ruled that a court may do so "for the limited purpose" of ensuring that the rules did not encompass materials that would otherwise be subject to the Freedom of Information Act. Armstrong II, 1
In reaching this decision, the Court confirmed its clear holding in Armstrong I that "[t]he PRA delineates those records over which the President may exercise `virtually complete control' ..., and the courts may not restrict that control by reviewing the President's recordkeeping practices and decisions." Id. But it explained that the bar on judicial review shields only the "creation, management, and disposal decisions" of the President and not "the initial classification of existing materials." Id. at 1294.
The D.C. Circuit has continued to adhere to this distinction. In Citizens for Responsibility & Ethics in Wash. v. Trump ("CREW v. Trump"), the Court again differentiated the review of Presidential guidelines governing the implementation of PRA — in particular, the classification of records as "presidential" — from the review of executive practices or actions that may have contravened either the PRA or those guidelines. 924 F.3d 602 (D.C. Cir. 2019).
The Court ruled that under Armstrong I and Armstrong II, it lacked jurisdiction to order the executive to take corrective action, and therefore, the plaintiff could not show the clear and indisputable right to relief that is the prerequisite for a writ of mandamus. Id. at 608-10. The Court also took judicial notice of a 2017 White House Memorandum that reminded all personnel of their obligations under the PRA. Id. at 607-08. The Court held that the Memorandum itself was consistent with the PRA, and that it could not police whether the White House was complying with its own policy, id. at 608; determining whether White House personnel were "in fact complying with the directive to conduct all work-related communication on official email would require just the kind of micromanaging proscribed by Armstrong I." Id. at 609.
CREW v. Trump did reiterate that the courts have "authority to `review guidelines outlining what is, and what is not, a `presidential record.'" Id., quoting Armstrong II, 1 F.3d at 1294. But the opinion makes clear that when applying the Armstrong precedents, a district judge must steer clear of efforts to supervise day-to-day operations within the White House, id., even when a complaint presents legitimate concerns about an ongoing practice that threatens the preservation of, and public access to, presidential records.
Citing those principles, defendants have moved to dismiss all of plaintiffs' claims for lack of jurisdiction. Defs.'
In their complaint, plaintiffs emphasize the particular importance of the creation and retention of records of the Chief Executive's meetings with foreign leaders, see, e.g., Compl. ¶¶ 6, 39, 53, and they point to a number of news accounts that give rise to concerns that those records are not being generated or are being destroyed. See id. ¶ 7. They also allege that these "recordkeeping failures apparently extend to other White House officials." Id. ¶ 8.
In particular, plaintiffs allege:
Plaintiffs also assert that "[t]his policy and practice by President Trump and other top White House officials like Jared Kushner of failing and/or refusing to create or preventing others from creating records of their meeting with foreign leaders ... deviates sharply from the protocols and practices of prior administrations." Compl. ¶ 62; see id. ¶¶ 63-67.
All of the claims incorporate these facts, and on that basis, Claim One seeks a writ of mandamus compelling compliance with the PRA. Compl. ¶¶ 72, 78. It alleges that President Trump, personally and through his staff, has violated his statutory obligations
Compl. ¶ 76. Claim Two similarly alleges that the President and his staff "have a policy and practice of repeatedly failing and/or affirmatively refusing to create records of their meetings and conversations with foreign leaders in violation of their mandatory, non-discretionary legal obligations to create records ...," id. ¶ 81, and it seeks declaratory and injunctive relief.
The language used in both claims, and the nature of the factual allegations they incorporate, make it plain that plaintiffs are challenging this administration's recordkeeping practices — its operational decisions concerning the creation and maintenance of records. The gravamen of
Claim Three asserts that "[t]he classification by the President (or his staff and the EOP) of records created by employees of the Department of State as presidential records contravenes both the PRA and FRA." Compl. ¶ 86. It maintains that "the President's assertion of unilateral and exclusive control over the contents of meetings... with foreign leaders" — as opposed to the records of those meetings — violates the PRA and the FRA. Id. ¶ 87. The claim alleges, upon information and belief, that individuals who provide interpretation or translation services at the President's bilateral meetings with heads of state are State Department employees. Id. ¶ 89. It asserts that State Department officials are not only bound to preserve agency records, but that they "are charged with creating and transmitting records of the meetings and conversations the President and his staff have with foreign heads of state." Id. ¶ 90. "Accordingly," plaintiffs reason, "the records that those State Department
At first blush, it would appear that Claim Three comes closer to articulating a claim that survives Armstrong I, but a careful reading reveals that what differentiates the claim from the others is merely the addition of a number of legal or summary assertions; in the end, Claim Three is based on the same set of facts, and the conclusions a party advances based on those facts cannot supply the missing basis for a claim.
There is no factual allegation in the complaint that anyone in the White House has actually "classified" a record of a meeting with a foreign leader as a presidential record, much less, that there is a general classification guideline or policy concerning records of meetings with heads of state in place for the Court to review.
Claim Four, like Claim Three, addresses interpreters' notes, and it alleges that "President Trump has disposed of presidential records without first obtaining the views of the Archivist in writing and transmitting a disposal schedule to Congress prior to disposing of the record." Compl. ¶ 97. This count — based on the single incident described in the complaint concerning an interpreter's notes, id. ¶ 42
Claim Five is brought against the President alone. It is nominally predicated on the Take Care Clause of the Constitution, but it specifically alleges that "[t]he failure of President Trump, his staff, and the EOP to create and maintain records ... contravenes Congress' core purposes in enacting the PRA...." Compl. ¶ 100. It alleges that the President violated his duty to take care that laws be faithfully executed "by directing or causing violations of the PRA and FRA." Id. ¶ 102. The claim seeks a declaratory judgment that his failure to "create and preserve records" in accordance with these statutes has been unlawful, as well as an injunction compelling him to comply with those particular laws in the future. Id. ¶¶ 105-06.
In other words, Claim Five simply repeats the statutory violations alleged in Claims One through Four, but it repackages them as a constitutional claim in an apparent effort to avoid the strictures of Armstrong I. But "clever drafting of a complaint" or "artful pleading" is not a means to circumvent the preclusion of judicial review. See Steadman v. Governor, U.S. Soldiers' & Airmen's Home, 918 F.2d 963, 967-68 (D.C. Cir. 1990) (finding that the plaintiffs could not bypass the administrative exhaustion requirements of the Civil Service Reform Act of 1978 ("CSRA") by merely recasting prohibited personnel actions that fall under CSRA as constitutional violations).
In sum, the complaint as a whole asks the Court to do precisely what it is precluded from doing: to review the "day-to-day operations" of the White House concerning presidential records, including "the adequacy of the President's records management practices or ... his records creation, management, and disposal decisions." Armstrong I, 924 F.2d at 290; see also Armstrong II, 1 F.3d at 1294 ("[C]ourts may not review any decisions regarding whether to create a documentary presidential record[,] ... the day-to-day process by which presidential records are maintained[, or the] dispos[al] of presidential records.") (emphasis in original). Therefore, the complaint will be dismissed.
To the extent that any claims touch upon practices or decisions that arguably fall outside of the boundaries of the Armstrong I decision, there is another fundamental flaw with plaintiffs' request that the Court enjoin the President to perform his legal obligations: the law is clear that the Court cannot order the President to perform discretionary duties.
While the question of whether the Court has the power to compel the President to perform a purely ministerial duty may remain unsettled, see Franklin v. Massachusetts, 505 U.S. 788, 802, 112 S.Ct. 2767, 120 L.Ed.2d 636 (1992),
In Swan v. Clinton, 100 F.3d 973, 977 (D.C. Cir. 1996), the D.C. Circuit cited the plurality opinion in Franklin and reiterated that a court does not have jurisdiction to enjoin the President in his discretionary duties. It also observed that "similar considerations... apply to [a] request for a declaratory judgment." Id. at 976 n.1; see also Newdow v. Roberts, 603 F.3d 1002, 1013 (D.C. Cir. 2010) (stating, in dicta, that "courts do not have jurisdiction to enjoin" the President, and "have never submitted the President to declaratory relief").
Understanding the principle that a ministerial duty must be involved, plaintiffs characterize the statutory duties underlying this case as "mandatory" and "non-discretionary." See Compl. ¶¶ 74, 76, 80, 95, 105. The D.C. Circuit has explained that "[a] ministerial duty is one that admits of no discretion, so that the official in question has no authority to determine whether to perform the duty." Swan, 100 F.3d at 977, citing Mississippi, 71 U.S. (4 Wall.) at 498 ("[A] ministerial duty ... is one in respect to which nothing is left up to discretion.") "Generally speaking, a duty is discretionary if it involves judgment, planning, or policy decisions. It is not discretionary [i.e., ministerial] if it involves enforcement or administration of a mandatory duty at the operational level." Beatty v. Wash. Metro. Area Transit Auth., 860 F.2d 1117, 1127 (D.C. Cir. 1988) (emphasis in original), quoting Jackson v. Kelly, 557 F.2d 735, 737 (10th Cir. 1977). A ministerial duty has been described as "simple," "definite," and as leaving "no room for the exercise of judgment[.]" NTEU, 492 F.2d at 607-08. It must be "so plainly prescribed as to be free from doubt and equivalent to a positive command.... [W]here the duty is not thus plainly prescribed, but depends on a statute or statutes the construction or application of which is not free from doubt, it is regarded
Plaintiffs' attempt to liken the statutory obligations here to a purely ministerial duty is inconsistent with the language of the provisions themselves and the decisions of this Circuit interpreting the PRA. Section 2203(a) of the PRA states:
44 U.S.C. § 2203(a).
The use of the word "shall" often denotes a mandatory obligation, but what the President must do is exercise his discretion, and the rest of the text calls for the exercise of considerable judgment. The PRA directs the President to take steps "as may be necessary," through "implementation of records management controls and other necessary actions[,]" to assure "adequate" documentation of Presidential activities. Id. This duty necessarily involves the application of judgment and the formation of policy. Indeed, the D.C. Circuit has observed that the PRA "accords the President virtually complete control over his records during his term of office." Armstrong I, 924 F.2d at 290; Armstrong II, 1 F.3d at 1291.
Any attempt to craft an injunction or declaratory judgment against the President or his staff based on the Federal Records Act would be even more problematical. See Compl. ¶¶ 87-88; id. ¶¶ 101-02. The FRA directs the head of each federal agency to "make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency[,]" that are "designed to furnish the information necessary to protect the legal and financial rights of the Government...." 44 U.S.C. § 3101. The statute leaves open the question of what constitutes complete performance, and it cannot be described as an assignment of "simple" and "definite" duties that are "free from doubt and equivalent to a positive command." More important, plaintiffs do not point to any language in the FRA that imposes a clear duty on the President, or the Executive Office of the President, and the complaint does not allege that any of the defendants violated such a duty. Claim Three alleges that the defendants' conduct "denies agencies access to and control of information needed to ... comply with their obligations under the FRA[,]" Compl. ¶ 92 (emphasis added), and Claim Five seeks to address Presidential "interference with the State Department's compliance." Id. ¶ 105 (emphasis added).
Since the duties set forth in these statutes are not purely ministerial obligations imposed on the defendants, plaintiffs have not established the clear duty to act necessary to support the request for mandamus in Claim One, CREW v. Trump, 924 F.3d at 606, and the Court does not have jurisdiction to issue the declaratory and injunctive relief that plaintiffs have requested in Claims Two through Five. Therefore, pursuant to Federal Rule of Civil Procedure 12(b)(1), the
A separate order will issue.
The Armstrong II exception does permit a court to "review guidelines outlining what is, and what is not, a `presidential record' under the terms of the PRA," 1 F.3d at 1290 (emphasis added), and the D.C. Circuit acknowledged that such a guideline may be oral and not reduced to writing. Id. But the complaint does not allege that the President has made any pronouncements on this issue, or that he has directed that other notes be seized or that they be treated as records under the PRA. Standing alone, plaintiffs' conclusory allegation that a policy exists is not enough to overcome a motion to dismiss. See Ashcroft v. Iqbal, 556 U.S. 662, 678, 129 S.Ct. 1937, 173 L.Ed.2d 868 (2009).