Lead Opinion
Opinion for the Court filed by Circuit Judge WALD.
Dissenting opinion filed by Circuit Judge SENTELLE.
Thomas Powell appeals from a district court decision granting the Bureau of Prisons’ motion for summary judgment and adopting a magistrate’s recommendation that Powell’s Freedom of Information Act request for disclosure of the “Central Inmate Monitoring Manual” be denied. Events subsequent to the district court's decision cast doubt on that court’s finding concerning the “segregability” of the requested document. Accordingly, we remand this matter to the district court for further consideration in light of these new developments.
I. Background
The Bureau of Prisons (“Bureau”) maintains a “Central Inmate Monitoring” (“CIM”) program which establishes special procedures designed, in the words of a Bureau official, “to monitor and control the transfer, temporary release and community-based activities of certain inmates who present special concerns for management.” These inmates include persons who due to “their prior record, previous community oc
Powell subsequently filed suit pro se and in forma pauperis in the District Court for the District of Columbia, seeking review of the Bureau’s decision. The matter was referred to a federal magistrate, who reviewed the Bureau’s motion for summary judgment and filed a report and recommem dation. Based on the Katsel Declaration, which addressed the function of the CIM program and the contents of the Manual, the magistrate concluded that the material was exempt under Exemption 2. More precisely, she found that the Manual passed the 2-prong test set forth in Crooker v. Bureau of Alcohol, Tobacco & Firearms,
Powell then filed an objection to the magistrate’s report, stating only that he “objects to the entire Report and Recomendation [sic] of the Magistrate and requests the District Judge to conduct a de novo review of the proceedings.” The district court noted that Powell’s objection had not complied with Local Rule 504(b), which requires that “objections shall specifically identify the portions of the proposed findings and recommendations to which objection is made,” and accordingly reviewed the magistrate’s report only for clear error. Finding no such error, the district court issued an order adopting the Magistrate’s recommendation.
Powell appealed, and this court subsequently appointed an amicus curiae to prepare briefs and to argue in support of Powell.
II. Analysis
Powell first argues that the district court erred in employing a clear-error standard to review the magistrate’s report and contends that the court should have reviewed that report de novo. The district court used a clear-error standard because it found that Powell had failed to comply with Local Rule 504(b),
The amicus emphasizes three conditions militating in favor of a de novo standard of review by the district court. First, he notes that the magistrate’s report was brief (five pages) and focused on a single issue — the wholly exempt status of one 119-page document. Given the narrow focus of the report, he contends, the use of a general objection in no way undermines the purpose of the local rule in focusing the district court’s attention on the core of the dispute. Moreover, the amicus reminds us, the pleadings of a pro se petitioner (here a prisoner at the time) are to be read with generosity. See Estelle v. Gamble,
Powell’s excuse has some appeal, but we need not decide at this time the merits of this claim (or even Powell’s ultimate challenge to the magistrate’s application of the Crooker test). Instead, because the release of portions of the Manual after the docketing of this appeal has called into serious question the adequacy of the magistrate’s findings (as adopted by the district court) about the segregability of the Manual, we remand this case to the district court for further findings on that issue.
The FOIA requires that “[a]ny reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt.” 5 U.S.C. § 552(b) (emphasis supplied). Accordingly, this court has long recognized that agencies and courts are obliged to determine whether nonexempt material can reasonably be segregated from exempt material. See, e.g., Mead Data Central, Inc. v. Department of the Air Force,
The Katsel declaration is infirm in at least two ways. First, although in this action the Bureau contends that the entire Manual is exempt from FOIA disclosure, the Bureau has, in earlier litigation, “conceded that Chapter 2 [of the Manual] does not qualify for exemption from disclosure.” Oliva,
We recognize, of course, that this court is not required to consider evidence not contained in the record. See Goland v. Central Intelligence Agency,
It is so ordered.
Notes
. The court thanks Mr. Penniman for his able assistance as amicus curiae in this appeal.
. In Oliva, the district court ordered the Bureau to release Chapter 2, most of Chapter 3, and section 1000 of the Manual. In this case, the Bureau has released the first two items, but refused to release section 1000.
. Local Rule 504(b) provides:
Any party may file written objections to the magistrate's proposed findings and recommendations issued under paragraph (a) within ten days after being served with a copy thereof. The objections shall specifically identify the portions of the proposed findings and recommendations to which objection is made and the basis for the objection.
Cf. 28 U.S.C. § 636(b)(1). ("A judge of the court shall make a de novo determination of those portions of the [magistrate’s] report or specified proposed findings or recommendations to which objection is made.”).
. Cf. Church of Scientology v. Department of the Army,
. Cf. Military Audit Project v. Casey,
[I]t is now well established that summary judgment on the basis of such agency affidavits is warranted if the affidavits describe the documents and the justifications ... with reasonably specific detail, demonstrate that the information ... logically falls within the claimed exemption and are not controverted by either contrary evidence in the record nor by evidence of agency bad faith.
Id. at 738 (emphasis supplied).
.The Bureau’s discretionary disclosure of excerpts of Chapter 3 of the Manual, see Oliva,
. See In re AOV Industries, Inc., 797 F.2d 1004, 1013 (D.C.Cir.1986) ("[DJetermining the significance of the new evidence requires factual inquiries, a duty strictly within the province of the district court.”).
. That rule provides, in relevant part:
On motion and upon such terms as are just, the court may relieve a party ... from a final judgment ... for the following reasons ... (2) newly discovered evidence which by due diligence could not have been discovered in time to move for a new trial.... [Such] motion shall be made ... not more than one year after the judgment, order or proceeding was entered or taken.
Fed.R.Civ.P. 60(b) (emphasis supplied).
. Thus this case differs from Goland v. Central Intelligence Agency,
Our dissenting colleague’s reliance on Center for Auto Safety v. EPA,
Moreover, in both Goland and Center for Auto Safety the "new evidence” was reconcilable with the district court’s findings — that, in Goland, the CIA had conducted a thorough search, and that, in Center for Auto Safety, the trial court did not abuse its discretion. In this case, the intervening events directly contradict the Bureau’s affidavit: if the Manual is not segregable, how did the Bureau segregate it?
.“[Any] court of appellate jurisdiction may affirm, modify, vacate, set aside or reverse any judgment ... and may remand the cause ... as may be just under the circumstances.” 28 U.S.C. § 2106.
Dissenting Opinion
dissenting:
While I agree with the majority that the Bureau of Prison’s recent release of chapters two and three of the CIM Manual is relevant to a factual evaluation of the veracity of the Katsel affidavit on which the magistrate’s report relies, I believe that it is inappropriate for this Court to make such a factual determination. The majority appears to disregard the fact that appellate courts do not generally consider new evidence in reviewing a lower court’s determination. The majority recognizes that determining the significance of the new evidence is “ ‘strictly within the province of the district court,’ ” Maj.Op. at 1243 n. 7 (quoting In re AOV Industries, Inc.,
It is true that this Court has previously remanded a case to the district court where equitable circumstances required that new evidence be taken into account. In In re AOV Industries, Inc., supra, a creditor objected to fees awarded to the law firm of a Chapter 11 debtor, arguing that the law firm had ineffectively represented the debt- or’s interests due to a conflict of interests. Between the time of the district court fee award and the appeal, time sheets had been discovered that reflected the “true scope of the overlapping representation.” Id. at 1012. Faced with this new information, this Court remanded the case to the district court for reconsideration of the fee award in light of these new time sheets. The Court noted that “[njormally, ... we are not required to consider evidence presented for the first time on appeal.” Id. (citation omitted). It also noted, however, that courts of appeal have limited discretion to make exceptions to that rule when “ ‘injustice might otherwise result.’ ” Id. (quoting Singleton v. Wulff,
In the present case, however, we lack the equitable context that required resolution in AOV Industries. Instead, we are dealing with a single individual’s request for documents; one that has no effects on third parties, and that has statutory, rather than equitable, origins. Unlike the majority in this case, I believe the equitable context to be the critical factor in AOV Industries. It is not dispositive under AOV Industries that the new evidence in this case was arguably inconsistent with the BOP’s original claim. This Court addressed that issue in Center for Auto Safety v. Environmental Protection Agency,
Evidence that became available after the district court’s decision can of course have no bearing upon whether that decision was an abuse of discretion. The latter determination must be made on the basis of the data then before the court. The new material which appellant presses upon our attention is, therefore, irrelevant to the issues presented in this appeal.
This Court reached a similar conclusion in Goland v. CIA,
The appellants argued that the discovery of new relevant documents impugned the integrity of the CIA affidavits on which the Court had relied to find that the CIA had made reasonable efforts to locate the requested documents. The Court noted that “[ajppellate review is ordinarily unaffected by matters not contained in the record.” Id. at 370 (footnote omitted). The Court recognized that there are exceptions to this rule, including 1) an intervening change in the law; 2) changed circumstances that render the controversy moot; 3) changed circumstances that alter the appropriateness of injunctive relief; and 4) “in limited cases, facts which may be judicially noticed,” id. at 370 n. 7 (citing Landy v. FDIC,
If new evidence is discovered, the Court stated, the appropriate route for the parties would be to move for relief from the judgment of the district court under Fed.R.Civ. Pro. 60(b) (allowing court to relieve party of a final judgment, upon motion of the party, for “newly discovered evidence which by due diligence could not have been discovered in time to move for a new trial under Rule 59(b)”). This procedure allows a party to account for new evidence, but maintains that evidence within the province of the district court. Cf. Standard Oil Co. v. United States,
Like the majority in this case, the Go-land Court also addressed the adequacy of its holding if relief under Rule 60(b) were foreclosed. However, the Goland Court held that, even where Rule 60(b)’s one-year limitation barred its application, it would be inappropriate for the Court to remand the ease for the district court to consider the new evidence absent extraordinary circumstances. Although the Court found that it had fairly broad revisory power under 28 U.S.C. § 2106 (authorizing appellate courts to affirm, modify, vacate, set aside or reverse any judgments lawfully before them), it found that such power should be exercised only in compelling circumstances. Goland,
Here, as in Goland, the new evidence is simply “new evidence;” it does not fit within one of the four exceptions where such evidence warrants appellate consideration. Congress has established Fed.R.Civ.Pro. 60(b) as a means of accommodating new concerns brought forward by new evidence. It is this process, rather than a broad reading of our appellate powers, that should be used when new evidence arises following a district court resolution. See Reuber v. United States,
Nor, in my view, does this case present such extraordinary circumstances as to warrant the necessary extension of the authority granted to this Court under 28 U.S.C. § 2106. The majority finds the situation to be extraordinary due to the unavailability of Rule 60(b) relief and the alleged inconsistency of the new evidence— factors that are insufficient to warrant consideration of new evidence under Goland and Center for Auto Safety. The majority’s other justification — the pro se appellant’s inability to access a computerized legal research service — goes only to the BOP’s position in Oliva v. Bureau of Prisons, No. 84 Civ. 5741 (JFK) (S.D.N.Y.1986),
Having set aside the information outside of the trial record on which the majority bases its opinion, I find that the trial judge acted appropriately in reviewing the magis
In the present case, Powell made a general objection to the entire magistrate’s report, stating simply that “[t]he plaintiff hereby objects to the entire Report and Recomendation [sic] of the Magistrate and requests the District Judge to conduct a de novo review of the proceedings.” The district court determined that this “omnibus objection” was insufficiently specific to trigger de novo review under 28 U.S.C. § 636(b)(1), which requires a judge to “make a de novo determination of those portions of the report or specified proposed findings or recommendations to which objection is made.” This decision is consistent with the majority of the courts of appeal, which have held that de novo review is triggered only where the party has made timely and specific objections to the magistrate’s report. See, e.g., Thompson v. Nix,
The Ninth Circuit has reached a different conclusion, holding that failure to file timely objections relieves the trial court only of the obligation to review de novo questions of fact, while “conclusions of law must still be reviewed de novo.” Barilla v. Ervin,
While this Court has never directly addressed the issue, I find the view espoused by the majority of circuits — that a failure to object to an issue ends entitlement to de novo review of that issue — to be more persuasive. One of the leading cases in this area is Nettles v. Wainwright,
It is reasonable to place upon the parties the duty to pinpoint those portions of the magistrate’s report that the district court must specially consider. This rule facilitates the opportunity for district judges to spend more time on matters actually contested and produces a result compatible with the purposes of the Magistrates Act.
Id. at 410 (citations omitted). See also Park Motor Mart, Inc. v. Ford Motor Co.,
Thus, the Magistrates Act’s concern with judicial efficiency indicates that the procedural requirements that attend the use of magistrates should be construed narrowly. Indeed, the Supreme Court has held that appellate courts are free to promulgate rules under which a failure to object to the magistrate’s report may waive appellate
Thus, where Powell failed to make specific objections to the magistrate’s report, it is appropriate for the trial judge to review the report under a clear-error, rather than a de novo, standard. The Third Circuit dealt with a case similar to the present one in Goney v. Clark,
The Third Circuit held that the district court was not required to conduct de novo review of the magistrate’s findings because the petitioner’s objections were not specific; they stated only a general appeal alleging that the magistrate was biased, and objected to no specific portion of the report. Id. at 7. Relying on the fact that a party may waive review through an untimely filing, the court stated, “[w]e are satisfied that providing a complete de novo determination where only a general objection to the report is offered would undermine the efficiency the magistrate system was meant to contribute to the judicial process.” Id. at 7 (citing H.R.Rep. No. 1609, 94th Cong., 2d Sess. 4-8, reprinted in 1976 U.S.Code Cong. & Ad.News 6162, 6164-68). Thus, the court concluded that the prisoner’s objections lacked the specificity necessary to trigger de novo review.
Similarly, in Mira v. Marshall,
These cases indicate that the trial judge acted correctly in reviewing the magistrate’s report under a clear-error standard. Here, the plaintiff made only a cursory objection to the magistrate’s report. It is true that Powell was acting pro se in this case, an excuse for procedural inadequacy that the majority found had “some appeal.” Maj.Op. at 1242. However, as both Goney and Mira make clear, even pro se claimants are subject to procedural requirements, particularly where those requirements are established for reasons of judicial efficiency. Moreover, if Powell’s situation were such that he were unable to meet
In light of the case law, I believe that we should find that the trial judge acted correctly in finding that Powell’s superficial objections were insufficiently specific to trigger de novo review. Given that the magistrate’s report relied on the then un-contradicted Katsel affidavit, I would also affirm the trial court’s conclusion that the magistrate’s report was not clearly erroneous.
