Chiron Corp. v. National Transportation Safety BoardChiron Corp. v. National Transportation Safety Board
Opinion for the Court filed by Chief Judge EDWARDS.
The National Transportation Safety Board (“NTSB” or “Board”) is an independent federal agency charged with investigating airplane accidents. The agency does not function as a traditional regulatory or adjudicatory body; rather, its principal missions are to determine the probable cause of accidents and make recommendations that will help prevent future accidents. Private parties who are involved in an accident (other than just as victims) may be designated to participate in an NTSB investigation, but their involvement is voluntary and it does not include an adjudication of individual claims.
In the instant case, petitioners, Chiron Corporation (“Chiron”) and PerSeptive Biosystems, Inc. (“PerSeptive”), participated as parties in an NTSB investigation of an accident involving Federal Express Flight 1406. Concerned that they might be found responsible for the accident and eventually face claims of liability in a civil suit, petitioners asked NTSB for a copy of the cargo list for Flight 1406. The Board
Petitioners first argue that NTSB’s denial of information injures them, because it may disadvantage them as defendants in a civil suit that Federal Express has filed against them. However, any possible injury to petitioners as defendants in a civil law suit is not legally cognizable here, because it is not an injury that petitioners will suffer as a consequence of their participation in the NTSB investigation. In other words, in order to have standing to bring this law suit, petitioners must have suffered an injury related to their involvement as parties to the NTSB investigation. They cannot show this.
Furthermore, there is little likelihood that petitioners will suffer any injury of the sort that they claim. Petitioners are concerned that NTSB’s report may be admitted as evidence in a lawsuit that Federal Express has filed against them. They hope that the information they seek will reveal new evidence that they can use to convince NTSB to change its report so that it will not adversely affect them in the pending lawsuit. This is an idle concern, for Congress has made it clear that NTSB reports, including probable cause determinations, are not admissible as evidence in a civil lawsuit. Thus, the Board’s report will not control the results in any civil litigation over Flight 1406.
Petitioners also argue that, as parties to the investigation, they have a legal right to the plane’s cargo information. Petitioners contend that such a right may be found in the Board’s regulations and in a written Guidance given to them as parties to the investigation. Thus, according to petitioners, NTSB’s denial of their request for the cargo list caused them an informational injury. This claim fails, however, because there is no statute, regulation, or any other source of law that secures for parties to an NTSB investigation unfettered access to all information garnered by the Board. In short, petitioners have no legal basis for the alleged rights that they seek to enforce.
Because petitioners lack standing to bring this suit, their petition for review is dismissed.
I. Background
A. NTSB Investigations
NTSB is a uniquely independent federal agency responsible for investigating airplane accidents, determining the probable cause of accidents, and making recommendations to help protect against future accidents.
See
Congress has endowed NTSB with broad powers to accomplish its missions, because the work of the agency is viewed as extremely important.
See
S.Rep. No. 101-150, at 2 (1990), U.S. Code Cong. & Admin. News at 6376, 6377 (“The NTSB’s mission ... is critical.”). An officer or employee of the Board can enter a site where an accident has occurred and “do anything necessary to conduct an investigation.”
Although NTSB investigations are conducted by agency staff, outside individuals may be designated to participate as well. Only the Federal Aviation Administration (“FAA”) has a right to participate in an investigation; however, the Board’s regulations allow the individual in charge of an investigation to designate private parties to participate if their involvement would assist the investigation.
See
It is often the case that corporations or individuals suspected of causing an accident will be invited to participate in an investigation, whereas victims of the accident will not. The rationale for this approach is that parties who may have caused an accident will provide investigators with valuable information; they may also learn how to improve the safety of their products or activities to avoid future accidents. The same cannot be said of accident victims. See John W. Simpson, Use of Aircraft Accident Investigation Information in Actions for Damages, 17 J. Air L. & Com. 283, 290 (1950) (“[Representatives of industry and employee groups are often permitted to participate in the investigation and thus have access to much information, while the representatives of the victims seldom participate in the investigation. These procedures are absolutely necessary in order to determine the probable cause of an accident.”).
Moreover, an NTSB investigation is a “fact-finding proceeding[] with no formal issues and no adverse parties. [It is] ... not conducted for the purpose of determining the rights or liabilities of any person.”
Parties assist the investigation in a variety of ways. See “Information for the Guidance of Parties to Safety Board Investigations of Accidents” (“Guidance”), reprinted in Br. for Respondents at lc; see also “Guidance for Party Coordinators and Other Participants in the Investigation of Aircraft Accidents,” 2 National Transportation Safety Board Aviation Investigation Manual, app. D (containing much of the same information). They provide information about their products or activities. They may also join various groups organized for the investigation, such as a group organized to investigate hazardous materials. They report to the investigator in charge, who, in turn, provides the groups and parties with information about any developments in the investigation. These groups may then write a report at the end of the investigation detailing their findings and suggestions. Parties may also submit their own report at the end of the investigation suggesting the probable cause of the accident.
B. The Investigation of Flight 1106
On September 5, 1996, Federal Express Flight 1406’s cargo caught fire. Unable to control it, the crew made an emergency landing, but smoke and fire destroyed the plane and most of its cargo. NTSB immediately began an investigation, which quickly focused on a DNA synthesizer as the possible source of the fire’s ignition. Chiron, who owns the synthesizer, and PerSeptive, who manufactures it, were invited to participate in the investigation. Both Chiron and PerSeptive were actively involved in the investigation, but neither was happy with its progress.
Chiron and PerSeptive have maintained that something other than the DNA synthesizer may have started the fire on Flight 1406. When they were unable to convince NTSB investigators to focus on other possibilities, Chiron and PerSeptive resolved to explore these possibilities on their own. To that end, they sought to discover what else Federal Express was carrying on Flight 1406. NTSB, however, refused to disclose the cargo list. Chiron and PerSeptive then filed formal petitions requesting the cargo information. Their petitions were denied. The Board explained that party status did not grant parties a right to information and that it was withholding the information because Federal Express considered the information to be a trade secret. See Letter from Daniel D. Campbell, General Counsel, National Transportation Safety Board, to Jay E. Grover, Director, Environmental Health and Safety, Chiron Corp. (Oct. 31, 1997), reprinted in Respondent’s Appendix at 139-40; Letter from Daniel D. Campbell, General Counsel, National Transportation Safety Board, to Jerry W. Cox (May 4, 1998), reprinted in Respondent’s Appendix at 151. This petition for review followed.
II. Analysis
The first and, as it turns out here, only issue before the court is a question of standing. If, as we hold, petitioners lack standing, then this court is without jurisdiction to decide the merits of their claims.
See Steel Co. v. Citizens for a Better Env't,
Petitioners argue that they are injured in two ways by the Board’s refusal to give them a copy of the cargo list. First, they argue that the denial of information injures them, because they need the information to correct the Board’s faulty report, which may be used against them in a civil suit. Second, they contend that they have suffered an informational injury, because, they claim, they have a legal right to obtain the cargo list. These arguments are meritless.
A. Injury By Virtue of Civil Litigation
Petitioners apparently are afraid that the factual portion of NTSB’s report may be admitted as evidence in a lawsuit that Federal Express has filed against them.
See
Joint Br. for Petitioners at 21 (“[S]ome day a judge and/or a jury may be asked to rely on supposedly ‘factual’ evidence from an NTSB investigation that did not include all pertinent material.”). Petitioners object to the report as written, and
As an initial matter, we reject the premise that NTSB’s report itself is admissible in a civil lawsuit. Congress has quite explicitly provided that,
[n]o part of a report of the Board, related to an accident or an investigation of an accident, may be admitted into evidence or used in a civil action for damages resulting from a matter mentioned in the report.
Petitioners point out that, despite the statute’s clear language, some early circuit court opinions held that NTSB “factual findings” were admissible in civil litigation. Joint Br. for Petitioners at 20 (citing authority). A careful review of these opinions, however, shows that these early cases actually focused only on the admissibility of
investigators’
reports which were mislabeled by the courts as “report[s] of the Board.”
See, e.g., American Airlines, Inc. v. United States,
When faced with the judiciary’s literal distortion of the statute, the Board, in 1975, responded by amending its regulations to make clear that investigators’ report® — the very reports that some courts were already admitting — are not “reports of the Board” for the purpose of
Our research indicates that, since the promulgation of the Board’s 1975 rule, only two circuit court opinions have failed to recognize that the admissibility of investigators’ reports obviates the need for a judicial exception to the statute.
See Mullan v. Quickie Aircraft Corp.,
Federal law flatly prohibits the NTSB accident report from being admitted into evidence in any suit for damages arising out of accidents investigated by the NTSB.
Campbell v. Keystone Aerial Surveys, Inc.,
We agree with these recent decisions from the Fifth and Tenth Circuits, and also a decision from the Ninth Circuit,
see Benna v. Reeder Flying Serv., Inc.,
Moreover, as this case demonstrates, admitting Board reports into civil litigation can have the unsavory affect of embroiling NTSB in the interests of civil litigants. Thus, the statute means what it says: No part of the Board’s actual report is admissible as evidence in a civil suit.
See Universal Airline, Inc. v. Eastern Air Lines, Inc.,
Even if the report were admissible, however, petitioners’ injury as civil litigants is simply not cognizable in this case. Petitioners bring this suit as parties to an NTSB investigation. As parties, they signed a statement agreeing that their participation would be for the purpose of assisting NTSB’s investigation and would not be for the purpose of preparing for litigation.
See Statement of Party Representatives to NTSB Investigation, reprinted in
1 Deferred Appendix at 435. Furthermore, NTSB’s investigations are fact-finding proceedings; they are
not
conducted for the purpose of determining the rights or liabilities of any party. Therefore, the injuries petitioners might suffer as civil defendants are not relevant to their status as parties. Accordingly, because petitioners bring this suit as parties to an NTSB investigation, their injuries as civil
B. Informational Injury
Petitioners also argue that NTSB’s denial of information has caused them an informational injury. . Petitioners rely principally on
Cummock v. Gore,
Unlike FACA, NTSB’s organic statute does not grant parties to an NTSB investigation rights of participation. FACA provides that federal advisory committees are “to be fairly balanced” and structured to insure that the advice of the committee reflects its “independent judgment.” 5 U.S.C.A. app. 2 § 5(b)(2) (1996);
id.
at § (b)(3). In
Cummock,
this court held that, “to give meaning to FACA’s fair balance and independent judgment provisions, the Act must be read to confer on a committee member the right to fully participate in the work of the committee to which he or she is appointed.”
Id.
at 291. The right of participation, the court held, endowed committee members with a right to information.
See id.
at 292. NTSB’s statute does not confer any such rights on a party to an investigation. Congress, quite simply, provided that “[t]he National Transportation Safety Board shall investigate or have investigated (in detail the Board prescribes) and establish the facts, circumstances, and cause or probable cause of — (A) an aircraft accident....”
In addition, there is legislative history showing that Congress did not want the interests of private parties to constrain an NTSB investigation. The Senate Committee on Commerce, Science, and Transportation noted that “[cjourts typically have recognized and appreciated the important public purpose served by the NTSB’s ability to conduct prompt investigations without the burdens and interference that would stem from injecting the civil litigation interests into the NTSB’s accident investigation process.” S.Rep. No. 101-450, at 5, 1990 U.S. Code Cong. & Admin. News at 6380. The Committee continued, adding that
[t]he time devoted by NTSB investigations in defending their decisions diverts the energies that they should be directing to investigating the accidents____ [T]he committee strongly believes that the ability of the NTSB to conduct investigations independently, thoroughly, and in a timely manner for the benefit of the public, should not be compromised.
Id.
Equipping parties with a
right
to information would “inject[] the civil litigation interests into the NTSB investigation process” and compromise the investigation, a prospect against which Congress admonished. Thus, not only does the statute fail to endow parties with a right to informa
Neither can the right be found, as petitioners argue, in either NTSB’s regulations or a Guidance that NTSB gave petitioners as parties to the investigation. Nothing in the regulations speaks to the rights petitioners seek to enforce, and the Guidance is not a source of law enforceable against NTSB. Petitioners point to a handful of regulations that they argue create a right to information, but they are grabbing at straws.
Petitioners’ most noteworthy argument rests on part four of the NTSB Guidance that is given to all parties to an investigation. The Guidance says that “[a]U factual information and developments of the investigation that are made known to the [Investigator in Charge] will be passed to each party spokesman.” Guidance, reprinted in Br. for Respondents at 2c. Petitioners maintain that, pursuant to this statement in the agency’s Guidance, they have a legal right to information. Petitioners’ problem, however, is that the Guidance does not establish a binding legal norm.
Petitioners argue that the Guidance is binding on the Board, because it is incorporated into the Board’s regulations. Petitioners’ attempt to demonstrate this incorporation at oral argument was, as they acknowledged, convoluted. Counsel argued that
The Party Statement gives petitioners no rights. It is a one-page document that discusses their duties as parties and requires them to waive their right to assert privilege in litigation with respect to information or documents obtained during the course of the investigation. It does not discuss their rights as parties, let alone “promise! ] Petitioners full participation and sharing in all pertinent factual developments.” It entitles petitioners to nothing. Neither does the Party Statement incorporate the Guidance. The Party Statement makes no reference — either explicitly or implicitly — to the Guidance. Thus, there is no link between the Board’s regulations and the Guidance.
Without that link, the Guidance is not a source of law; rather it is exactly what it appears to be, a hand-out that gives information, not rights, to parties in an NTSB investigation. While some unpublished agency pronouncements can be binding, not every “piece of paper emanating from a Department or Independent Agency is a regulation.”
Piccone v. Unit
NTSB certainly never has stated an intention to be bound by the Guidance.
See Service v. Dulles,
Manuals or procedures may be binding on an agency when they affect individuals’ rights.
See Morton v. Ruiz,
In sum, because NTSB has never indicated an intention to be bound by the Guidance and because the investigation does not affect petitioners’ rights, the Guidance does not endow petitioners with any rights to seek the information at issue. Accordingly, they have not suffered any informational injury.
III. Conclusion
Petitioners cannot demonstrate that NTSB’s denial of the information they seek has injured them. Without injury, petitioners have no standing to bring this suit. Therefore, the petition for review is dismissed.