Lead Opinion
OPINION OF THE COURT
This case implicates the Speech or Debate Clause of the United States Constitution.
1. Factual and Procedural Background
A. The Search Warrant
Fattah is the subject of a federal grand jury investigation pending in the Eastern District of Pennsylvania.
Fattah maintains an email account hosted by Google, Inc., known as “Gmail.” Google acts as a repository, collecting emails sent and received by Gmail account holders like Fattah. Fattah uses this Gmail account for personal matters, but he also uses it for official business relating to his congressional duties.
In February 2014, the Government served Fattah with a grand jury subpoena seeking various documents, including electronic data from his Gmail account. In response, Fattah turned over some emails but objected to others on the bases of the Speech or Debate Clause, overbreadth, and relevance. Several months later, a magistrate judge issued a search warrant authorizing the FBI to search Fattah’s Gmail account. The warrant sought essentially the same information as the grand jury subpoena. Specifically, the search warrant requested: “For the period of January 1, 2008, through the present, concerning Google account [Chaka Fattah@gmail.com], all items which constitute evidence of a criminal violation of 18 U.S.C. §§ 1343,1344,1951, and 201.”
Pursuant to Google policy, Fattah received an email from Google on June 18, 2014, stating that it had received a search warrant from the Government seeking
B. The District Court Opinion
The District Court granted Fattah’s motion to intervene but denied his motion to quash the search warrant. The Court held that the execution of the warrant would not imperil the attorney-client privilege or the protection afforded by the work-product doctrine because the Government had suggested adequate review procedures, which entailed the use of a “taint team” to review for privileged documents.
Fattah argued that the warrant and affidavit did not make out probable cause and that the warrant was general and over-broad. The Court disagreed and additionally noted the odd procedural posture of the case, observing that Fattah “ha[dj cited no reported decision” supporting his contention that he may raise a Fourth Amendment challenge to a warrant prior to its execution.
Likewise, the District Court rejected Fattah’s argument that the warrant would violate the Speech or Debate Clause. The Court reiterated this Circuit’s standard that the Speech or Debate Clause secures a privilege of non-use, rather than of nondisclosure. The Court explained that “even if [Fattah’s] private, emails include a number of privileged documents, the mere disclosure of those documents [would] not impugn the Speech or Debate * Clause.”
In the alternative to quashing the search warrant, the House requested that the Court modify the warrant and allow Fat-tah access to the requested records. Denying the House’s request, the Court opined that “creating special protections for a Congressman’s private email account would encourage corrupt legislators and their aides to make incriminating communications through private emails, knowing that they will be disclosed only with the author’s approval.”
Fattah also fashioned his motion as a Federal Rule of Criminal Procedure 41(g) motion, a request for return of property. Fattah argued that the Government was in “constructive possession” of his property. The District Court denied this motion as well, explaining that because the Government has neither actual nor constructive possession, Rule 41(g) affords him no legitimate basis for relief.
Following the District Court’s rulings, Fattah filed a notice of appeal to this Court from the District Court’s order denying the motion to quash the unexecuted search warrant. On the same day, Fattah filed a motion to stay the order pending appeal. The District Court held a hearing on the motion to stay and subsequently denied the motion. Thereafter, we granted Fattah’s motion for a status quo order and for a stay of the District Court’s order pending appeal.
II. Discussion
Although Fattah presents several issues on appeal, we limit our discussion solely to jurisdiction and the proposed fil
A. The Collateral Order Doctrine
Fattah first contends that under the collateral order doctrine, we have appellate jurisdiction. Under 28 U.S.C. § 1291, an immediate appeal may be taken from any final decision of the district court. “Although ‘final decisions’ typically are ones that trigger the entry of judgment, they also include a small set of prejudgment orders that are ‘collateral to’ the merits of an action and ‘too important’ to be denied immediate review.”
Furthermore, the Supreme Court has noted that application of the collateral order doctrine involves a categorical inquiry and “[a]s long as the class of claims, taken as a whole, can be adequately vindicated by other means, the chance that the litigation at hand might be speeded, or a particular injustice averted, does not provide a basis for jurisdiction under § 1291.”
Fattah appeals from the District Court’s order denying a motion to quash an unexe-cuted search warrant on Speech or Debate Clause grounds. He relies on our decision
1. The first prong of the collateral order doctrine requires us to determine whether the District Court’s order conclusively determines the disputed issue. Fat-tah satisfies the first prong of the test. His motion to quash raised the issue of whether the search warrant could be executed, and the District Court conclusively answered that question in the affirmative. Thus, the order conclusively determined the disputed issue. Fattah, however, fails to satisfy either the second or third prongs, dooming his argument.
2. The second inquiry of the collateral order doctrine asks whether the District Court’s order resolves an important question completely separate from the merits. Fattah argues that the Speech or Debate Clause issues are “extremely important issues” that are separate from the merits of the case. He contends that because no indictment has been returned, the issue is separate from the merits because there is no “underlying action.” He is incorrect.
The Supreme Court has defined an “important issue” as “one involving interests that are ‘weightier than the societal interests advanced by the ordinary operation of final judgment principles’ or one that is ‘serious and unsettled.’ ”
Fattah’s argument, however, misconstrues the term “important.” We have held that, “[t]he type of ‘important issuefs]’ that the ‘completely separate from the merits’ requirement encompasses are those that are important in a jurisprudential sense.’ ”
Second, in addition to failing to raise an important issue, we believe Fat-tah’s claim is not completely separate from the merits. The requirements for collateral appeal are particularly “stringent” in the criminal context because “ ‘the delays and disruptions attendant upon intermediate appeal,’ which the rule is designed to avoid, ‘are especially inimical to the effective and fair administration of the criminal law.’ ”
Unlike these orders, which “finally resolve issues that are separate from guilt or innocence,”
. 3. The third prong of the collateral order doctrine focuses on whether the District Court’s order is effectively unre-viewable on appeal. Fattah asserts that the District Court’s order leaves him with no remedy since it does not limit the Government’s access to or use of Speech or Debate Clause documents. First, this argument relies on Fattah’s misconception that the Speech or Debate Clause provides
Our binding precedent requires us to narrowly circumscribe the contours of the collateral order doctrine. And, as the Supreme Court has emphasized, “although the Court has been asked many times to expand the ‘small class’ of collaterally ap-pealable orders, we have instead kept it narrow and selective in its membership.”
B. The Perlman Doctrine
1. The Perlman Doctrine Does Not Provide Jurisdiction for Fattah’s Speech or Debate Clause Claims.
Fattah’s claims regarding the Speech or Debate Clause fare no better under the so-called Perlman doctrine. The Perlman doctrine refers to the legal principle that a discovery order aimed at a third party may be immediately appealed on the theory that the third party will not risk contempt by refusing to comply.
Fattah argues that the Speech or Debate Clause precludes execution of the search warrant. He contends that the privilege is one of non-disclosure and that the search warrant was served on Google, which “is a disinterested third party which is not likely to permit itself to be placed in contempt” on his behalf.
Fattah urges that our decision in In re Grand Jury is instructive.
In this case, there is an important distinction to be drawn: Fattah fails to cite a legally cognizable privilege. Indeed, Fattah relies heavily on our case law discussing the Perlman doctrine in the attorney-client privilege context.
While courts have recognized that the bounds of these protections vary, they are all rooted in the notion that, “to the extent that the Speech or Debate Clause creates a Testimonial privilege as well as a Use immunity, it does so only for the purpose of protecting the legislator and those intimately associated with him in the legislative process from the harassment of hostile questioning.”
It cannot be, however, that the privilege prohibits disclosure of evidentiary records to the Government during the course of an investigation. In re Grand Jury (Eilberg) provides a good example. There we held that the disclosure of telephone records containing Speech or Debate Clause privileged documents was permissible.
This makes good sense. If it were any other way, investigations into corrupt Members could be easily avoided by mere assertion of this privilege. Members could, in effect, shield themselves fully from criminal investigations by simply citing to the Speech or Debate Clause. We do not believe the Speech or Debate Clause was meant to effectuate such deception. Rather, the “purpose of the Speech or Debate Clause is to protect the individual legislator, not simply for his own sake, but to preserve the independence and thereby the integrity of the legislative process.”
Any other reading of this privilege would eradicate the integrity of the legislative process and unduly amplify the protections to the individual Member. Indeed, “financial abuses by way of bribes, perhaps even more than Executive power, would gravely undermine legislative integrity and defeat the right of the public to honest representation. Depriving the Executive of the power to investigate and prosecute and the Judiciary of the power to punish bribery of Members of Congress is unlikely to enhance legislative independence.”
Accordingly, while the Speech or Debate Clause prohibits hostile questioning regarding legislative acts in the form of testimony to a jury, it does not prohibit disclosure of Speech or Debate Clause privileged documents to the Government. Instead, as we have held before, it merely prohibits the evidentiary submission and use of those documents.
Thus, based on these distinctions, we hold that the Perlman doctrine does not apply to the Speech or Debate Clause with respect to records disclosed to the Government in the course of an investigation. The Speech or Debate Clause does not prohibit the disclosure of privileged documents. Rather, it forbids the eviden-tiary use of such documents. As such, there is no “mischief’ for Fattah to stymy as there is no privilege in danger of destruction. Fattah is unable to challenge the disclosure regardless of to whom the request is made. This differs from a challenge to a subpoena requesting attorney-client privileged documents, where, as the saying goes, you cannot “unring the bell.” In that scenario, no remedy assuages disclosure and the privilege may very well be destroyed. Fattah’s challenge is far less serious and therefore should not receive such protections. There is no bell to unr-ing here — the privileged documents may be disclosed without violating the privilege, and Fattah may avail himself of several remedies to any alleged illegal search or seizure.
The impetus of the Perlman doctrine is to protect privilege holders from the disclosure of privileged materials by a disinterested third-party. Here, Fattah fails to cite a legally cognizable privilege to support his claim. Accordingly, Perlman is inapplicable, and we hold that we lack jurisdiction to entertain this appeal under this ground as well.
2. The Perlman Doctrine Provides Jurisdiction to Review Fattah’s Claims Under the Attorney-Client Privilege and Work-Product Doctrine.
Fattah contends that the Perlman doctrine provides appellate jurisdiction for this Court to review the merits of his attorney-client privilege and work-product doctrine claims regarding inadequate filtering procedures. We agree. Unlike Fattah’s Speech or Debate Clause claim, this claim succeeds because it is predicated on legally cognizable privileges continuously recognized under the Perlman Doctrine,
Fattah maintains that only attorneys should be involved in this type of privilege review and that the District Court did not realize a non-attorney agent would be the first line review.
C. Fattah’s Federal Rule of Criminal Procedure 41(g) Motion
Fattah also styled his pre-indictment motion as a request for relief under Federal Rule of Criminal Procedure 41(g) and contends that under this rule we have appellate jurisdiction. The Rule sets out the procedures criminal defendants should employ for the return of property, providing:
*531 (g) Motion to Return Property. A person aggrieved by an unlawful search and seizure of property or by the deprivation of property may move for the property’s return. The motion must be filed in the district where the property was seized. The court must receive evidence on any factual issue necessary to decide the motion. If it grants the motion, the- court must return the property to the movant, but may impose reasonable conditions to protect access to the property and its use in later proceedings.
Denial of a pre-indictment Rule 41(g) motion is immediately appealable, only if the motion is: (1) solely for the return of property and (2) is in no way tied to an existing-criminal prosecution against the movant.
III. Conclusion
We take seriously the sentiments and concerns of the Supreme Court that Members are not to be “super-citizens” immune from criminal liability or process.
Notes
. The Speech or Debate Clause provides that, "for any Speech or Debate in either House,
.' Fattah was indicted by a grand jury on July 29, 2015.
. Each Member of the House of Representatives has an official email account. Presently, there is no policy in place mandating that Members solely utilize the official account to conduct business. [Tr. 28: 18-22].
. Gov't Supp.App. 15.
. Gov't Supp.App .11.
. App. 12.
. App. 14.
. App. 16.
.The House also suggests that jurisdiction to hear Fattah's claims may lie under the All Writs Act, as a petition for mandamus. Fat-tah, however, has not sought mandamus relief. Furthermore, mandamus is an extraordinary remedy, available only where (1) there is " 'no other adequate means to attain the relief sought;' " (2) the right to issuance of the writ is " 'clear and indisputable;' ” and (3) the issuing court is "satisfied that 'the writ is appropriate under the circumstances.' ” In re Pressman-Gutman Co., Inc.,
. Mohawk Indus., Inc. v. Carpenter,
. Digital Equip. Corp. v. Desktop Direct, Inc.,
. Id. at 868,
. Mohawk Indus., Inc.,
. Id. at 108,
.
. Id. at 288.
. Id.
. United States v. Wecht,
. Pierce v. Blaine,
. Appellant’s Br. 25 (quoting In re Grand Jury (Eilberg),
. Praxis Props., Inc. v. Colonial Sav. Bank, S.L.A.,
. See United States v. Helstoski,
. Abney v. United States,
. See Stack v. Boyle,
. Flanagan v. United States,
. United States v. Williams,
. See, e.g., Abney,
.
. Id. at 122.
. Will v. Hallock,
. As previously noted, Google, as custodian of the records at issue, is the third party in this case.
. In re Grand Jury,
.
. Id. at 13,
. In re Flat Glass Antitrust Litig.,
. Appellant’s Br. at 28-29.
.
. Id. at 149.
. See, e.g., In re Grand Jury Subpoena,
.For its part, the House of Representatives as amicus insists that Gravel v. United States,
. Doe v. McMillan,
. Gravel,
. United States v. Helstoski,
. In re Grand Jury (Eilberg),
. United States v. Renzi,
. In re Grand Jury (Eilberg),
. Id. (citing U.S. Const. art. 1 § 5, cl. 3).
. United States v. Renzi,
. Helstoski,
. Id. at 491,
. Renzi,
. See, e.g., In re Grand Jury Subpoena,
.Certain courts have limited the circumstances in which prosecutors may employ taint teams during criminal investigations. See, e.g., In re Grand Jury Subpoenas,
. Indeed, the District Court held that the use of "taint teams” had been cited with approval in this Circuit. The cases the District Court cited to, however, all involved an attorney at the first level of review. See, e.g., Manno v. Christie, No. 08-cv-3254,
. Fattah Br. 61.
. Di Bella,
. Brewster,
Concurrence Opinion
dissenting in part:
I agree with my colleagues that the Speech or Debate Clause does not confer a privilege of confidentiality. Thus, the motion to quash the search warrant on that basis must be denied. Any other conclusion is foreclosed by a long line of precedent.
“When a district court orders a witness — whether a party to an underlying litigation, a subject or target of a grand jury investigation, or a complete stranger to the proceedings — to testify or produce documents, its order generally is not considered an immediately appealable ‘final decision[]’ under § 1291.” In re Grand Jury,
Where a disclosure order is addressed to a disinterested third party, however, the incentive structure shifts. Unlike the holder of a privilege, a mere custodian of records cannot be “expected to risk a citation for contempt in order to secure [the privilege holder] an opportunity for judicial review.” United States v. Ryan,
The same principle applies here: As the party on which the warrant was served, Google could refuse to comply and’ seek appellate review through a separate proceeding for contempt.
My colleagues of course suggest otherwise. They conclude that we are without jurisdiction because there is no confidentiality privilege under the Speech or Debate Clause. But “[t]he question of the éxistence of a privilege ... pertain[s] to the merits,” Slark v. Broom,
Not only do my colleagues fail to cite any case law for their novel proposition that the Perlman doctrine depends on the
We are not without company; other appellate courts have done the same. See, e.g., In re Grand Jury Proceedings,
The failure to recognize our jurisdiction under Perlman is particularly puzzling given that we have previously relied on that doctrine to review — and reject — indistinguishable attempts to bar disclosure under the Speech or Debate Clause. While my colleagues distinguish one such case, In re Grand Jury Proceedings (Cianfrani),
Finally, that these prior Speech or Debate Clause cases arose in the context of a subpoena duces tecum (rather than search warrant) is also an irrelevant distinction. If the Perlman doctrine did not appiy to search warrants, Fattah would similarly be unable to rely on that doctrine to appeal his attorney-client privilege and work-product claims. "Yet here my colleagues correctly rely on the Perlman doctrine to conclude that “this claim succeeds.” Majority Op. 529. Similarly, other courts have applied Perlman even though a search warrant has been used. ..See, e.g., In re Berkley & Co.,
The Supreme Court has repeatedly admonished appellate courts not to “conflate[e] the jurisdictional question with the merits of the appeal.” Arthur Andersen LLP v. Carlisle,
. Of course, our binding precedent also provides that, while the Government has a right to review the documents and argue privilege, Fattah has an equal right to participate in that process, particularly given "the information as to [what] were legislative acts is in his possession alone.” In re Grand Jury Investigation (Eilberg),
. To the extent the Government argues that even contempt proceedings are unavailable for review of an unexecuted search warrant issued under 18 U.S.C. § 2703(b)(1), this position is directly inconsistent with its position in a pending Second Circuit case. See Brief of the United States of America at 8 n. 5, In re Warrant To Search Certain E-Mail Account Controlled & Maintained by Microsoft Corp., No. 14-2985 (2d Cir. Mar. 9, 2005) (noting that the District Court’s "entry of a contempt order" gave the Second Circuit jurisdiction to review an unexecuted search warrant issued under § 2703); see also In re Warrant To Search a Certain E-Mail Account Controlled & Maintained by Microsoft Corp., No. 13-mj-2814,
