IN RE: APPLICATION FOR EXEMPTION FROM ELECTRONIC PUBLIC ACCESS FEES BY JENNIFER GOLLAN AND SHANE SHIFFLETT, JENNIFER GOLLAN; SHANE SHIFFLETT, Applicants-Appellants.
No. 12-16373
UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
August 29, 2013
D.C. No. 3:12-mc-80113-JW
OPINION
Appeal from the United States District Court for the Northern District of California James Ware, District Judge, Presiding
Argued and Submitted June 10, 2013—San Francisco, California
Filed August 29, 2013
Before: Diarmuid F. O’Scannlain and Andrew D. Hurwitz, Circuit Judges, and Lawrence L. Piersol, Senior District Judge.*
Opinion by Judge O’Scannlain; Concurrence by Judge O’Scannlain
SUMMARY**
Appellate Jurisdiction
The panel dismissed for lack of jurisdiction an appeal from the district court’s order denying an ex parte application for an exemption from the fees associated with electrоnic access to court records.
As authorized by Congress, the fee protocol for users of the Public Access to Court Electronic Records system was set by the Judicial Conference of the United States, in cooperation with the Administrative Office of the Courts. The PACER fee waiver was sought by two journalists who were employed by a not-for-profit organization and wished to conduct a research project.
The panel held that it did not have jurisdiction under
Concurring specially, Judge O’Scannlain wrote that, assuming ordinary PACER-fee determinations are not
COUNSEL
Rochelle L. Wilcox, Davis Wright Tremaine LLP, San Francisco, CA, argued the cause and filed the briefs for the applicants-appellants. With her on the briefs was Thomas R. Burke, Davis Wright Tremaine LLP, San Francisco, CA.
H. Thomas Byron III, United States Department of Justice, Civil Appellate Division, Washington, DC, argued the cause and filed the brief for the Administrative Office of the United States Courts as amicus curiae. With him on the brief were Stuart F. Delery, Principal Deputy Assistant Attorney General, United States Department of Justice, Washington, DC, Melinda L. Haag, United States Attorney for the Northern District of California, Matthew M. Collette, Attorney, United States Department of Justice, Civil Appellate Division, Washington, DC, Robert K. Loesche, General Counsel, Administrative Office of United States Courts, Washington, DC, and Sigmund Adams, Attorney, Administrative Officе of United States Courts, Washington, DC.
OPINION
O’SCANNLAIN, Circuit Judge:
We must consider our power to review a district court’s administrative order denying an exemption from the fees associated with electronic access to court records.
I
A
With the Public Access to Court Electronic Records (“PACER“) system users can view and print case filings, judicial opinions, and other docket information from the federal trial, bankruptcy, and appellate courts. Congress has authorized the Judicial Conference of the United States1 to raise funds to support PACER by setting appropriate user fees. In order to ensure the fees do not impair public access to the courts, Congress directed the Judicial Conference to “provide for exempting persons or classes of persons” for whom fees would be an unreasonable burden. Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies Appropriations Act, Pub. L. No. 102-140, Title III § 303, 105 Stat. 782 (1992).
In cooperation with the Administrative Office of the Courts, the Judicial Conference has dеvised a fee protocol for PACER. Anyone may use the terminals in the nation’s federal courthouses to view court documents at no charge. However, non-litigants who want access to documents
B
Jennifer Gollan and Shane Shifflett are journalists with the Center for Investigative Reporting (“CIR“), a section 501(c)(3) not-for-profit organization that reports on “contemporary social, political, and economic issues” across traditional and new media. In March 2012, Gollan and Shifflett applied in the district court for a four-month exemption from the per page PACER fee. At the time, they were employees of The Bay Citizen—another 501(c)(3) organization involved in journalism. Gollan and Shifflett wanted to comb court filings in order to analyze “the effectiveness of the court’s conflict-checking software and hardware to help federal judges identify situations requiring their recusal.” They planned to publish their findings on The Bay Citizen’s website.
At an April 30 hearing, Gollan and Shifflett informed the court that The Bay Citizen had merged into the CIR. The judge explained that although the fee schedule gave him the discretion to exempt 501(c)(3) groups, he interpreted the accompanying policy notes as directing him not to еxempt members of the media. Thus, even presuming their research project would impose the same financial hardship on the CIR as The Bay Citizen, CIR’s status as “501(c)(3) Media” meant that it likely was not qualified for the exemption. Rather than definitively ruling at the hearing, however, the judge invited Gollan and Shifflett to submit a renewed application. In it, they argued that when (1) parsed carefully, and (2) read in tandem with the exemption language, the policy notes did allow exemptions for media members who worked for a 501(c)(3) organization. The judge denied the new application in a May 16, 2012 order, stating that he would not adopt Gollan and Shifflett’s interpretation in the absence of authority supporting it. They filed a timely notice of appeal seeking review of the denial of their application for exemption.
Because Gollan and Shifflett are challenging an order arising out of an ex parte application, we asked the Administrative Office to appear as amicus to address (1)
II
The Administrative Office argues we lack jurisdiction because the denial of the PACER fee waiver is not an appealable order. The question of appellate jurisdiction “must always be resolved before the merits of an appeal are examined or addressed.” Williamson v. UNUM Life Ins. Co. of Am., 160 F.3d 1247, 1250 (9th Cir. 1998); see also Terenkian v. Republic of Iraq, 694 F.3d 1122, 1130–31 (9th Cir. 2012) (analyzing appellate jurisdiction before determining whethеr the district court had subject matter jurisdiction).
Our court’s authority, indeed, its very existence is pursuant to legislation enacted by Congress. See
A
Like most parties who appear before us, Gollan and Shifflett identify
[t]he courts of appеals . . . shall have jurisdiction of appeals from all final decisions of the district courts of the United States, the United States District Court for the District of the Canal Zone, the District Court of Guam, and the District Court of the Virgin Islands, except where a direct review may be had in the Supreme Court.
Gollan and Shifflett argue that when the judge denied their PACER exemption he made a “decision,” that decision was “final,” and thus it neatly fits within section 1291‘s terms. Finality is not at issue here because the matter of Gollan and Shifflett’s eligibility for a fee waiver was nоt “open, unfinished, or inconclusive.” Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 546 (1949).
Instead, the dispute in this appeal is whether the order insisting that Gollan and Shifflett pay PACER fees ranks “as a ‘decision’ of the district court within the meaning of
There are two, interrelated, clues about 1291‘s meaning: one constitutional and one rooted in the statute’s history. To start, it stands to reason that Congress wanted the definition of our jurisdiction to be construed in the context of the usual work of courts, which is the adjudication of “cases” and “controversies.”
The amendment history of section 1291 further illuminates its meaning. See Bailey, 516 U.S. at 507. Its predecessor section provided that
[t]he circuit courts of appeal shall have appellate jurisdiction to review by appeal final decisions—
First. In the district courts, in all cases save where a direct review of the decision may be had in the Supreme Court under section 345 of this title.
Second. In thе United States District Courts for Hawaii and for Puerto Rico, in all cases.
Third. In the District Court for the District of Alaska, or any division thereof, and in the District of the Virgin Islands, in all
cases; and in the United States District Court for the District of the Canal Zone in the cases and modes prescribed in sections 61 and 62, Title 7, Canal Zone Code (48 Stat. 1122).
Fourth. In the Supreme Courts of the Territory of Hawaii and of Puerto Rico, in all cases, civil or criminal . . . .
Fifth. In the United States Court of China, in all cases.
With the enactment of section 1291, the references to “cases” in each of section 225‘s original five paragraphs were eliminated. Although the omission of this word, which facially “seems to bear upon the courts of appeals’ power to review administrative actions of district courts,” is not specifically explained in the drafting history there is also no
On the basis of its statutory and constitutional moorings, we hold that section 1291 “necessarily refers to final decisions of a judicial character, not to administrative actions . . . outside the scope of the litigative function.” In re Baker, 693 F.2d at 927; see also Brooks, 208 F.2d at 29 (explaining that “if every act performed by virtue of judicial power were deemed a ‘decision’ [under section 1291], there would be no
B
1
Although distinguishing a “judicial decision” from an “an administrative or ministerial order from which appeal is not available” is not always simple, two characteristics of the order denying Gollan and Shifflett’s fee waiver put it squarely on the administrative side of the line. United States v. Ray, 375 F.3d 980, 986 n.7 (9th Cir. 2004). First, it arises from a non-adversarial proceeding. See Massachusetts, 549 U.S. at 516. There was no party to oppose their request below, and we have no appellee before us. See In re Carlyle, 644 F.3d 694 (8th Cir. 2011) (Riley, J., in chambers) (concluding that “the non-adversarial nature of the [Criminal Justice Act] voucher process, which is wholly ex рarte, evidences an administrative act not a judicial decision.“). Second, and what makes this appeal easy to resolve, is that the application for exemption is wholly unconnected to pending litigation. See In re Long, 475 F.3d 880 (7th Cir. 2007) (“The order excluding Long from the library is an administrative rather than a judicial order. No proceeding has been instituted against Long. . . . Such an action is not judicial; rather it is the kind of action that the person against whom it was taken might seek judicial redress for.“); Bense v. Starling, 719 F.2d 241, 244 (7th Cir. 1983) (no appeal from rejection of pro hac vice application because without the filing of a complaint under Federal Rule of Civil Procedure 3 there was no “case” or true “‘parties’ before the Court“). Gollan and Shifflett have not filed a civil action, nor do they
One of Gollan and Shifflett’s contentions on appeal is that if the fee schedule does require courts categorically to exclude media members from fee waivеrs, it is an unconstitutional discrimination against the press. See Minneapolis Star & Tribune Co. v. Minn. Comm’r of Revenue, 460 U.S. 575, 582–83 (1983) (explaining that the First Amendment prohibits certain regulations that single out the media for “differential treatment“). If they initiate a civil action seeking to enjoin the fee schedule and policy notes under the Constitution, then that may well lead to a decision that we have the power to review. See, e.g., Russell v. Hug, 275 F.3d 812, 819–23 (9th Cir. 2002) (entertaining an appeal from a judgment dismissing a complaint alleging a Criminal Justice Act Plan for the Northern District of California violated the Constitution, whilе declining to review the substance of the plan because our power “to review final judgments of the district courts, conferred by
2
We recognize that one of our sister circuits allowed an appeal from the denial of PACER fees. See Zied-Campbell v. Richman, 317 F. App’x 247 (3d. Cir. 2009) (unpublished per curiam). That appeal, however, was taken by a civil plaintiff who had named the Secretary of the Pennsylvania Department of Welfare as a defendant in a lawsuit. See id. at 248. As opposed to Gollan and Shifflett who seek to conduct research unconnected to a case, Zied-Campbell wanted to use PACER as a substitute for Westlaw (a commercial legal research application) so she could retrieve legal authorities relevant to her pending litigation. Id. at 249.
Pоinting to an authority from our circuit, Gollan and Shifflett also claim that they may appeal on the basis of United States v. Poland (In re Derickson), 640 F.2d 946. The appellant was an attorney appointed under the Criminal Justice Act (“CJA“) “to represent defendant Michael Kent Poland, who was charged with murder and bank robbery.” Id. at 947. The attorney had represented Poland at a four-week jury trial, and fifteen
Electronic Public Access Fee Schedule of April 1, 2013 (reprinted at
The Administrative Office has no objection to Gollan and Shifflett’s reapplying in the district cоurts now that the fee schedule and policy notes have been revised.
There are two other critical reasons why In re Derickson is not the ticket to appellate jurisdiction that Gollan and Shifflett hope to obtain. First, as later cases have noted, In re Derickson was unique in that the lawyer sought to appeal from a “district court’s decision that it lacked jurisdiction under the CJA to award fees at all.” United States v. Ray, 375 F.3d 980, 986 n.7 (9th Cir. 2004) (emphasis added); see also United States v. French, 556 F.3d 1091, 1094–95 (10th Cir. 2009) (identifying the jurisdictional limit as Derickson’s key feature). By contrast, the judge did not articulate any jurisdictional limit on his power to entertain an application for exemption such as Gollan and Shifflett’s; rather he simply interpreted the fee schedule in a fashion that would have excluded them. Second, Derickson does not analyze the principle at the heart of today’s appeal—the notion that section 1291 only embraces decisions of a judicial, as
III
For the foregoing reasons, Gollan and Shifflett’s appeal is DISMISSED for lack of appellate jurisdiction.7
O’SCANNLAIN, Circuit Judge, concurring specially:
I write individually to acknowledge “the elephant in the room“: to whom does one go for review when an application for an exemption from PACER fees has been denied?
PACER fee determinations are just one of the “increasing numbers of administrative responsibilities” being assigned to district courts “that are not subject to review by appeal.” 15A Charles Alan Wright & Arthur R. Miller, Federal Practice and Procedure § 3903 (2d. ed. 1992). The authors of a leаding treatise on federal procedure argue that perhaps “control may be exercised by the Judicial Council of the Circuit.” Wright & Miller, supra, at § 3903. Comprised of district and circuit judges, but not vested with “traditional judicial powers,” the Circuit Council has been described as a “‘board of directors’ for the circuit.” Chandler v. Judicial Council of the Tenth Circuit of the United States, 398 U.S. 74, 86 n.7 (1970); see also
Because (as the opinion discusses) there is “no right of formal appeal” to contest the amount of a Criminal Justice Act fee award, Congress decided to create an administrative “review process separate from the traditional right of appeal.” In re Smith, 586 F.3d 1169, 1173 (9th Cir. 2009) (explaining that “excess fees must be approved both by the presiding judge and the chief circuit judge or his delegate“).
Assuming ordinary PACER-fee determinations are not reviewable by the judiciary’s administrative apрaratus, it will be up to Congress to decide whether to fashion an appellate-review mechanism, or whether to leave the fee determinations within the exclusive purview of district courts.
