4 Part III: When Governments Hack People 4 Part III: When Governments Hack People
Weeks 7 through 8
Week 7 (Nov. 9, 2022): Encryption & Technical Assistance
This week, we’ll discuss the legal framework in the United States for the encryption technologies you studied with Prof. Stamos. We’ll go over the government’s past efforts to use ECPA and other laws to try to compel the providers of encrypted devices and communications services to decrypt customer data for law enforcement. We’ll also examine the policy debate over whether to change existing law to constrain online service providers’ and device manufacturers’ ability to provide their users (i.e., you) with strong encryption that does not include a mechanism for the provider or law enforcement to access to the plaintext of the encrypted data.
Week 8 (Nov. 16, 2022): Government Hacking
In week 7, we discussed U.S. government proposals to compel electronic device manufacturers and online communications service providers to build in a mechanism for law enforcement to access the plaintext of encrypted data - that is, to compel the intentional addition of new vulnerabilities to those devices and services. This week, we’ll study how the U.S. and other governments, and their private-sector contractors, exploit existing and unintentional vulnerabilities in order to hack people whom the governments wish to surveil or apprehend.
4.1 Encryption & Technical Assistance 4.1 Encryption & Technical Assistance
Week 7
This week, we're turning back to the ECPA. We'll study part of the Wiretap Act we didn't read earlier in the quarter, as well as parts of the other two titles of ECPA, the Stored Communications Act (SCA) and Pen Register Statute.
We’ll discuss the legal framework in the United States for the encryption technologies you studied with Prof. Stamos. We’ll go over the government’s past efforts to use ECPA and other laws to try to compel the providers of encrypted devices and communications services to decrypt customer data for law enforcement. We’ll also examine the policy debate over whether to change existing law to constrain online service providers’ and device manufacturers’ ability to provide their users (i.e., you) with strong encryption that does not include a mechanism for the provider or law enforcement to access to the plaintext of the encrypted data.
If you’d like to learn more about ECPA and how the government surveils people, but you can’t take the law school’s Modern Surveillance Law class (autumn quarter), Princeton professor Jonathan Mayer has an excellent (though by now out-of-date) course from 2014 on YouTube.
4.1.1 Wiretap Act, Section 2518: Procedure for interception of wire, oral, or electronic communications 4.1.1 Wiretap Act, Section 2518: Procedure for interception of wire, oral, or electronic communications
18 U.S.C. § 2518
United States Code, 2018 Edition
Title 18 - CRIMES AND CRIMINAL PROCEDURE
PART I - CRIMES
CHAPTER 119 - WIRE AND ELECTRONIC COMMUNICATIONS INTERCEPTION AND INTERCEPTION OF ORAL COMMUNICATIONS
Sec. 2518 - Procedure for interception of wire, oral, or electronic communications
From the U.S. Government Publishing Office,
(1) Each application for an order authorizing or approving the interception of a wire, oral, or electronic communication under this chapter shall be made in writing upon oath or affirmation to a judge of competent jurisdiction and shall state the applicant's authority to make such application. Each application shall include the following information:
(a) the identity of the investigative or law enforcement officer making the application, and the officer authorizing the application;
(b) a full and complete statement of the facts and circumstances relied upon by the applicant, to justify his belief that an order should be issued, including (i) details as to the particular offense that has been, is being, or is about to be committed, (ii) except as provided in subsection (11), a particular description of the nature and location of the facilities from which or the place where the communication is to be intercepted, (iii) a particular description of the type of communications sought to be intercepted, (iv) the identity of the person, if known, committing the offense and whose communications are to be intercepted;
(c) a full and complete statement as to whether or not other investigative procedures have been tried and failed or why they reasonably appear to be unlikely to succeed if tried or to be too dangerous;
(d) a statement of the period of time for which the interception is required to be maintained. If the nature of the investigation is such that the authorization for interception should not automatically terminate when the described type of communication has been first obtained, a particular description of facts establishing probable cause to believe that additional communications of the same type will occur thereafter;
(e) a full and complete statement of the facts concerning all previous applications known to the individual authorizing and making the application, made to any judge for authorization to intercept, or for approval of interceptions of, wire, oral, or electronic communications involving any of the same persons, facilities or places specified in the application, and the action taken by the judge on each such application; and
(f) where the application is for the extension of an order, a statement setting forth the results thus far obtained from the interception, or a reasonable explanation of the failure to obtain such results.
(2) The judge may require the applicant to furnish additional testimony or documentary evidence in support of the application.
(3) Upon such application the judge may enter an ex parte order, as requested or as modified, authorizing or approving interception of wire, oral, or electronic communications within the territorial jurisdiction of the court in which the judge is sitting (and outside that jurisdiction but within the United States in the case of a mobile interception device authorized by a Federal court within such jurisdiction), if the judge determines on the basis of the facts submitted by the applicant that—
(a) there is probable cause for belief that an individual is committing, has committed, or is about to commit a particular offense enumerated in section 2516 of this chapter;
(b) there is probable cause for belief that particular communications concerning that offense will be obtained through such interception;
(c) normal investigative procedures have been tried and have failed or reasonably appear to be unlikely to succeed if tried or to be too dangerous;
(d) except as provided in subsection (11), there is probable cause for belief that the facilities from which, or the place where, the wire, oral, or electronic communications are to be intercepted are being used, or are about to be used, in connection with the commission of such offense, or are leased to, listed in the name of, or commonly used by such person.
(4) Each order authorizing or approving the interception of any wire, oral, or electronic communication under this chapter shall specify—
(a) the identity of the person, if known, whose communications are to be intercepted;
(b) the nature and location of the communications facilities as to which, or the place where, authority to intercept is granted;
(c) a particular description of the type of communication sought to be intercepted, and a statement of the particular offense to which it relates;
(d) the identity of the agency authorized to intercept the communications, and of the person authorizing the application; and
(e) the period of time during which such interception is authorized, including a statement as to whether or not the interception shall automatically terminate when the described communication has been first obtained.
An order authorizing the interception of a wire, oral, or electronic communication under this chapter shall, upon request of the applicant, direct that a provider of wire or electronic communication service, landlord, custodian or other person shall furnish the applicant forthwith all information, facilities, and technical assistance necessary to accomplish the interception unobtrusively and with a minimum of interference with the services that such service provider, landlord, custodian, or person is according the person whose communications are to be intercepted. Any provider of wire or electronic communication service, landlord, custodian or other person furnishing such facilities or technical assistance shall be compensated therefor by the applicant for reasonable expenses incurred in providing such facilities or assistance. Pursuant to section 2522 of this chapter, an order may also be issued to enforce the assistance capability and capacity requirements under the Communications Assistance for Law Enforcement Act.
(5) No order entered under this section may authorize or approve the interception of any wire, oral, or electronic communication for any period longer than is necessary to achieve the objective of the authorization, nor in any event longer than thirty days. Such thirty-day period begins on the earlier of the day on which the investigative or law enforcement officer first begins to conduct an interception under the order or ten days after the order is entered. Extensions of an order may be granted, but only upon application for an extension made in accordance with subsection (1) of this section and the court making the findings required by subsection (3) of this section. The period of extension shall be no longer than the authorizing judge deems necessary to achieve the purposes for which it was granted and in no event for longer than thirty days. Every order and extension thereof shall contain a provision that the authorization to intercept shall be executed as soon as practicable, shall be conducted in such a way as to minimize the interception of communications not otherwise subject to interception under this chapter, and must terminate upon attainment of the authorized objective, or in any event in thirty days. In the event the intercepted communication is in a code or foreign language, and an expert in that foreign language or code is not reasonably available during the interception period, minimization may be accomplished as soon as practicable after such interception. An interception under this chapter may be conducted in whole or in part by Government personnel, or by an individual operating under a contract with the Government, acting under the supervision of an investigative or law enforcement officer authorized to conduct the interception.
(6) Whenever an order authorizing interception is entered pursuant to this chapter, the order may require reports to be made to the judge who issued the order showing what progress has been made toward achievement of the authorized objective and the need for continued interception. Such reports shall be made at such intervals as the judge may require.
(7) Notwithstanding any other provision of this chapter, any investigative or law enforcement officer, specially designated by the Attorney General, the Deputy Attorney General, the Associate Attorney General, or by the principal prosecuting attorney of any State or subdivision thereof acting pursuant to a statute of that State, who reasonably determines that—
(a) an emergency situation exists that involves—
(i) immediate danger of death or serious physical injury to any person,
(ii) conspiratorial activities threatening the national security interest, or
(iii) conspiratorial activities characteristic of organized crime,
that requires a wire, oral, or electronic communication to be intercepted before an order authorizing such interception can, with due diligence, be obtained, and
(b) there are grounds upon which an order could be entered under this chapter to authorize such interception,
may intercept such wire, oral, or electronic communication if an application for an order approving the interception is made in accordance with this section within forty-eight hours after the interception has occurred, or begins to occur. In the absence of an order, such interception shall immediately terminate when the communication sought is obtained or when the application for the order is denied, whichever is earlier. In the event such application for approval is denied, or in any other case where the interception is terminated without an order having been issued, the contents of any wire, oral, or electronic communication intercepted shall be treated as having been obtained in violation of this chapter, and an inventory shall be served as provided for in subsection (d) of this section on the person named in the application.
(8)(a) The contents of any wire, oral, or electronic communication intercepted by any means authorized by this chapter shall, if possible, be recorded on tape or wire or other comparable device. The recording of the contents of any wire, oral, or electronic communication under this subsection shall be done in such a way as will protect the recording from editing or other alterations. Immediately upon the expiration of the period of the order, or extensions thereof, such recordings shall be made available to the judge issuing such order and sealed under his directions. Custody of the recordings shall be wherever the judge orders. They shall not be destroyed except upon an order of the issuing or denying judge and in any event shall be kept for ten years. Duplicate recordings may be made for use or disclosure pursuant to the provisions of subsections (1) and (2) of section 2517 of this chapter for investigations. The presence of the seal provided for by this subsection, or a satisfactory explanation for the absence thereof, shall be a prerequisite for the use or disclosure of the contents of any wire, oral, or electronic communication or evidence derived therefrom under subsection (3) of section 2517.
(b) Applications made and orders granted under this chapter shall be sealed by the judge. Custody of the applications and orders shall be wherever the judge directs. Such applications and orders shall be disclosed only upon a showing of good cause before a judge of competent jurisdiction and shall not be destroyed except on order of the issuing or denying judge, and in any event shall be kept for ten years.
(c) Any violation of the provisions of this subsection may be punished as contempt of the issuing or denying judge.
(d) Within a reasonable time but not later than ninety days after the filing of an application for an order of approval under section 2518(7)(b) which is denied or the termination of the period of an order or extensions thereof, the issuing or denying judge shall cause to be served, on the persons named in the order or the application, and such other parties to intercepted communications as the judge may determine in his discretion that is in the interest of justice, an inventory which shall include notice of—
(1) the fact of the entry of the order or the application;
(2) the date of the entry and the period of authorized, approved or disapproved interception, or the denial of the application; and
(3) the fact that during the period wire, oral, or electronic communications were or were not intercepted.
The judge, upon the filing of a motion, may in his discretion make available to such person or his counsel for inspection such portions of the intercepted communications, applications and orders as the judge determines to be in the interest of justice. On an ex parte showing of good cause to a judge of competent jurisdiction the serving of the inventory required by this subsection may be postponed.
(9) The contents of any wire, oral, or electronic communication intercepted pursuant to this chapter or evidence derived therefrom shall not be received in evidence or otherwise disclosed in any trial, hearing, or other proceeding in a Federal or State court unless each party, not less than ten days before the trial, hearing, or proceeding, has been furnished with a copy of the court order, and accompanying application, under which the interception was authorized or approved. This ten-day period may be waived by the judge if he finds that it was not possible to furnish the party with the above information ten days before the trial, hearing, or proceeding and that the party will not be prejudiced by the delay in receiving such information.
(10)(a) Any aggrieved person in any trial, hearing, or proceeding in or before any court, department, officer, agency, regulatory body, or other authority of the United States, a State, or a political subdivision thereof, may move to suppress the contents of any wire or oral communication intercepted pursuant to this chapter, or evidence derived therefrom, on the grounds that—
(i) the communication was unlawfully intercepted;
(ii) the order of authorization or approval under which it was intercepted is insufficient on its face; or
(iii) the interception was not made in conformity with the order of authorization or approval.
Such motion shall be made before the trial, hearing, or proceeding unless there was no opportunity to make such motion or the person was not aware of the grounds of the motion. If the motion is granted, the contents of the intercepted wire or oral communication, or evidence derived therefrom, shall be treated as having been obtained in violation of this chapter. The judge, upon the filing of such motion by the aggrieved person, may in his discretion make available to the aggrieved person or his counsel for inspection such portions of the intercepted communication or evidence derived therefrom as the judge determines to be in the interests of justice.
(b) In addition to any other right to appeal, the United States shall have the right to appeal from an order granting a motion to suppress made under paragraph (a) of this subsection, or the denial of an application for an order of approval, if the United States attorney shall certify to the judge or other official granting such motion or denying such application that the appeal is not taken for purposes of delay. Such appeal shall be taken within thirty days after the date the order was entered and shall be diligently prosecuted.
(c) The remedies and sanctions described in this chapter with respect to the interception of electronic communications are the only judicial remedies and sanctions for nonconstitutional violations of this chapter involving such communications.
(11) The requirements of subsections (1)(b)(ii) and (3)(d) of this section relating to the specification of the facilities from which, or the place where, the communication is to be intercepted do not apply if—
(a) in the case of an application with respect to the interception of an oral communication—
(i) the application is by a Federal investigative or law enforcement officer and is approved by the Attorney General, the Deputy Attorney General, the Associate Attorney General, an Assistant Attorney General, or an acting Assistant Attorney General;
(ii) the application contains a full and complete statement as to why such specification is not practical and identifies the person committing the offense and whose communications are to be intercepted; and
(iii) the judge finds that such specification is not practical; and
(b) in the case of an application with respect to a wire or electronic communication—
(i) the application is by a Federal investigative or law enforcement officer and is approved by the Attorney General, the Deputy Attorney General, the Associate Attorney General, an Assistant Attorney General, or an acting Assistant Attorney General;
(ii) the application identifies the person believed to be committing the offense and whose communications are to be intercepted and the applicant makes a showing that there is probable cause to believe that the person's actions could have the effect of thwarting interception from a specified facility;
(iii) the judge finds that such showing has been adequately made; and
(iv) the order authorizing or approving the interception is limited to interception only for such time as it is reasonable to presume that the person identified in the application is or was reasonably proximate to the instrument through which such communication will be or was transmitted.
(12) An interception of a communication under an order with respect to which the requirements of subsections (1)(b)(ii) and (3)(d) of this section do not apply by reason of subsection (11)(a) shall not begin until the place where the communication is to be intercepted is ascertained by the person implementing the interception order. A provider of wire or electronic communications service that has received an order as provided for in subsection (11)(b) may move the court to modify or quash the order on the ground that its assistance with respect to the interception cannot be performed in a timely or reasonable fashion. The court, upon notice to the government, shall decide such a motion expeditiously.
Notes
References in Text
The Communications Assistance for Law Enforcement Act, referred to in par. (4), is title I of Pub. L. 103–414, Oct. 25, 1994, 108 Stat. 4279, which is classified generally to subchapter I (§1001 et seq.) of chapter 9 of Title 47, Telecommunications. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of Title 47 and Tables.
Amendments
1998—Par. (11)(b)(ii). Pub. L. 105–272, §604(a)(1), substituted "that there is probable cause to believe that the person's actions could have the effect of thwarting interception from a specified facility;" for "of a purpose, on the part of that person, to thwart interception by changing facilities; and".
Par. (11)(b)(iii). Pub. L. 105–272, §604(a)(2), substituted "such showing has been adequately made; and" for "such purpose has been adequately shown."
Par. (11)(b)(iv). Pub. L. 105–272, §604(a)(3), added cl. (iv).
Par. (12). Pub. L. 105–272, §604(b), substituted "by reason of subsection (11)(a)" for "by reason of subsection (11)", struck out "the facilities from which, or" after "shall not begin until", and struck out comma after "the place where".
1994—Par. (4). Pub. L. 103–414 inserted at end of concluding provisions "Pursuant to section 2522 of this chapter, an order may also be issued to enforce the assistance capability and capacity requirements under the Communications Assistance for Law Enforcement Act."
1986—Pub. L. 99–508, §101(c)(1)(A), substituted "wire, oral, or electronic" for "wire or oral" in section catchline.
Par. (1). Pub. L. 99–508, §101(c)(1)(A), substituted "wire, oral, or electronic" for "wire or oral" in introductory provisions.
Par. (1)(b)(ii). Pub. L. 99–508, §106(d)(1), inserted "except as provided in subsection (11),".
Par. (1)(e). Pub. L. 99–508, §101(c)(1)(A), substituted "wire, oral, or electronic" for "wire or oral".
Par. (3). Pub. L. 99–508, §§101(c)(1)(A), 106(a), in introductory provisions, substituted "wire, oral, or electronic" for "wire or oral" and inserted "(and outside that jurisdiction but within the United States in the case of a mobile interception device authorized by a Federal court within such jurisdiction)".
Par. (3)(d). Pub. L. 99–508, §§101(c)(1)(A), 106(d)(2), inserted "except as provided in subsection (11)," and substituted "wire, oral, or electronic" for "wire or oral".
Par. (4). Pub. L. 99–508, §§101(c)(1)(A), (8), 106(b), substituted "wire, oral, or electronic" for "wire or oral" wherever appearing and, in closing provisions, substituted "provider of wire or electronic communication service" for "communication common carrier" wherever appearing, "such service provider" for "such carrier", and "for reasonable expenses incurred in providing such facilities or assistance" for "at the prevailing rates".
Par. (5). Pub. L. 99–508, §§101(c)(1)(A), 106(c), substituted "wire, oral, or electronic" for "wire or oral" and inserted provisions which related to beginning of thirty-day period, minimization where intercepted communication is in code or foreign language and expert in that code or foreign language is not immediately available, and conduct of interception by Government personnel or by individual operating under Government contract, acting under supervision of investigative or law enforcement officer authorized to conduct interception.
Pars. (7), (8)(a), (d)(3), (9). Pub. L. 99–508, §101(c)(1)(A), substituted "wire, oral, or electronic" for "wire or oral" wherever appearing.
Par. (10)(c). Pub. L. 99–508, §101(e), added subpar. (c).
Pars. (11), (12). Pub. L. 99–508, §106(d)(3), added pars. (11) and (12).
1984—Par. (7). Pub. L. 98–473, §1203(a), inserted ", the Deputy Attorney General, the Associate Attorney General," after "Attorney General" in provisions preceding subpar. (a).
Par. (7)(a). Pub. L. 98–473, §1203(b), amended subpar. (a) generally, adding cl. (i) and designated existing provisions as cls. (ii) and (iii).
1978—Par. (1). Pub. L. 95–511, §201(d), inserted "under this chapter" after "communication".
Par. (4). Pub. L. 95–511, §201(e), inserted "under this chapter" after "wire or oral communication" wherever appearing.
Par. (9). Pub. L. 95–511, §201(e), substituted "any wire or oral communication intercepted pursuant to this chapter" for "any intercepted wire or oral communication".
Par. (10). Pub. L. 95–511, §201(g), substituted "any wire or oral communication intercepted pursuant to this chapter," for "any intercepted wire or oral communication,".
1970—Par. (4). Pub. L. 91–358 inserted the provision that, upon the request of the applicant, an order authorizing the interception of a wire or oral communication direct that a communication common carrier, landlord, custodian, or other person furnish the applicant with all information, facilities, and technical assistance necessary to accomplish the interception unobtrusively and with a minimum of interference with the services provided.
Effective Date of 1986 Amendment
Amendment by Pub. L. 99–508 effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 111 of Pub. L. 99–508, set out as a note under section 2510 of this title.
Effective Date of 1978 Amendment
Amendment by Pub. L. 95–511 effective Oct. 25, 1978, except as specifically provided, see section 401 of Pub. L. 95–511, formerly set out as an Effective Date note under section 1801 of Title 50, War and National Defense.
Effective Date of 1970 Amendment
Amendment by Pub. L. 91–358 effective on first day of seventh calendar month which begins after July 29, 1970, see section 901(a) of Pub. L. 91–358.
4.1.2 Stored Communications Act, Section 2703: Required disclosure of customer communications or records 4.1.2 Stored Communications Act, Section 2703: Required disclosure of customer communications or records
18 U.S.C. § 2703
United States Code, 2018 Edition
Title 18 - CRIMES AND CRIMINAL PROCEDURE
PART I - CRIMES
CHAPTER 121 - STORED WIRE AND ELECTRONIC COMMUNICATIONS AND TRANSACTIONAL RECORDS ACCESS
Sec. 2703 - Required disclosure of customer communications or records
From the U.S. Government Publishing Office,
(a)
(b)
(A) without required notice to the subscriber or customer, if the governmental entity obtains a warrant issued using the procedures described in the Federal Rules of Criminal Procedure (or, in the case of a State court, issued using State warrant procedures and, in the case of a court-martial or other proceeding under chapter 47 of title 10 (the Uniform Code of Military Justice), issued under section 846 of that title, in accordance with regulations prescribed by the President) by a court of competent jurisdiction; or
(B) with prior notice from the governmental entity to the subscriber or customer if the governmental entity—
(i) uses an administrative subpoena authorized by a Federal or State statute or a Federal or State grand jury or trial subpoena; or
(ii) obtains a court order for such disclosure under subsection (d) of this section;
except that delayed notice may be given pursuant to section 2705 of this title.
(2) Paragraph (1) is applicable with respect to any wire or electronic communication that is held or maintained on that service—
(A) on behalf of, and received by means of electronic transmission from (or created by means of computer processing of communications received by means of electronic transmission from), a subscriber or customer of such remote computing service; and
(B) solely for the purpose of providing storage or computer processing services to such subscriber or customer, if the provider is not authorized to access the contents of any such communications for purposes of providing any services other than storage or computer processing.
(c)
(A) obtains a warrant issued using the procedures described in the Federal Rules of Criminal Procedure (or, in the case of a State court, issued using State warrant procedures and, in the case of a court-martial or other proceeding under chapter 47 of title 10 (the Uniform Code of Military Justice), issued under section 846 of that title, in accordance with regulations prescribed by the President) by a court of competent jurisdiction;
(B) obtains a court order for such disclosure under subsection (d) of this section;
(C) has the consent of the subscriber or customer to such disclosure;
(D) submits a formal written request relevant to a law enforcement investigation concerning telemarketing fraud for the name, address, and place of business of a subscriber or customer of such provider, which subscriber or customer is engaged in telemarketing (as such term is defined in section 2325 of this title); or
(E) seeks information under paragraph (2).
(2) A provider of electronic communication service or remote computing service shall disclose to a governmental entity the—
(A) name;
(B) address;
(C) local and long distance telephone connection records, or records of session times and durations;
(D) length of service (including start date) and types of service utilized;
(E) telephone or instrument number or other subscriber number or identity, including any temporarily assigned network address; and
(F) means and source of payment for such service (including any credit card or bank account number),
of a subscriber to or customer of such service when the governmental entity uses an administrative subpoena authorized by a Federal or State statute or a Federal or State grand jury or trial subpoena or any means available under paragraph (1).
(3) A governmental entity receiving records or information under this subsection is not required to provide notice to a subscriber or customer.
(d)
(e)
(f)
(1)
(2)
(g)
(h)
(1)
(A) the term "qualifying foreign government" means a foreign government—
(i) with which the United States has an executive agreement that has entered into force under section 2523; and
(ii) the laws of which provide to electronic communication service providers and remote computing service providers substantive and procedural opportunities similar to those provided under paragraphs (2) and (5); and
(B) the term "United States person" has the meaning given the term in section 2523.
(2)
(i) that the customer or subscriber is not a United States person and does not reside in the United States; and
(ii) that the required disclosure would create a material risk that the provider would violate the laws of a qualifying foreign government.
Such a motion shall be filed not later than 14 days after the date on which the provider was served with the legal process, absent agreement with the government or permission from the court to extend the deadline based on an application made within the 14 days. The right to move to quash is without prejudice to any other grounds to move to quash or defenses thereto, but it shall be the sole basis for moving to quash on the grounds of a conflict of law related to a qualifying foreign government.
(B) Upon receipt of a motion filed pursuant to subparagraph (A), the court shall afford the governmental entity that applied for or issued the legal process under this section the opportunity to respond. The court may modify or quash the legal process, as appropriate, only if the court finds that—
(i) the required disclosure would cause the provider to violate the laws of a qualifying foreign government;
(ii) based on the totality of the circumstances, the interests of justice dictate that the legal process should be modified or quashed; and
(iii) the customer or subscriber is not a United States person and does not reside in the United States.
(3)
(A) the interests of the United States, including the investigative interests of the governmental entity seeking to require the disclosure;
(B) the interests of the qualifying foreign government in preventing any prohibited disclosure;
(C) the likelihood, extent, and nature of penalties to the provider or any employees of the provider as a result of inconsistent legal requirements imposed on the provider;
(D) the location and nationality of the subscriber or customer whose communications are being sought, if known, and the nature and extent of the subscriber or customer's connection to the United States, or if the legal process has been sought on behalf of a foreign authority pursuant to section 3512, the nature and extent of the subscriber or customer's connection to the foreign authority's country;
(E) the nature and extent of the provider's ties to and presence in the United States;
(F) the importance to the investigation of the information required to be disclosed;
(G) the likelihood of timely and effective access to the information required to be disclosed through means that would cause less serious negative consequences; and
(H) if the legal process has been sought on behalf of a foreign authority pursuant to section 3512, the investigative interests of the foreign authority making the request for assistance.
(4)
(5)
(B) Nothing in this paragraph shall be construed to modify or otherwise affect any other authority to make a motion to modify or quash a protective order issued under section 2705.
Notes
References in Text
The Federal Rules of Criminal Procedure, referred to in subsecs. (a), (b)(1)(A), and (c)(1)(B)(i), are set out in the Appendix to this title.
Amendments
2018—Subsec. (h). Pub. L. 115–141 added subsec. (h).
2016—Subsecs. (a), (b)(1)(A), (c)(1)(A). Pub. L. 114–328 inserted "and, in the case of a court-martial or other proceeding under chapter 47 of title 10 (the Uniform Code of Military Justice), issued under section 846 of that title, in accordance with regulations prescribed by the President" after "warrant procedures".
2009—Subsecs. (a), (b)(1)(A), (c)(1)(A). Pub. L. 111–79, which directed substitution of "(or, in the case of a State court, issued using State warrant procedures) by a court of competent jurisdiction" for "by a court with jurisdiction over the offense under investigation or an equivalent State warrant", was executed by making the substitution for "by a court with jurisdiction over the offense under investigation or equivalent State warrant" to reflect the probable intent of Congress.
2006—Subsec. (c)(1)(C). Pub. L. 109–162 struck out "or" at end.
2002—Subsec. (c)(1)(E). Pub. L. 107–273, §4005(a)(2), realigned margins.
Subsec. (e). Pub. L. 107–296 inserted ", statutory authorization" after "subpoena".
Subsec. (g). Pub. L. 107–273, §11010, added subsec. (g).
2001—Pub. L. 107–56, §212(b)(1)(A), substituted "Required disclosure of customer communications or records" for "Requirements for governmental access" in section catchline.
Subsec. (a). Pub. L. 107–56, §§209(2)(A), (B), 220(a)(1), substituted "Contents of Wire or Electronic" for "Contents of Electronic" in heading and "contents of a wire or electronic" for "contents of an electronic" in two places and "using the procedures described in the Federal Rules of Criminal Procedure by a court with jurisdiction over the offense under investigation" for "under the Federal Rules of Criminal Procedure" in text.
Subsec. (b). Pub. L. 107–56, §209(2)(A), substituted "Contents of Wire or Electronic" for "Contents of Electronic" in heading.
Subsec. (b)(1). Pub. L. 107–56, §§209(2)(C), 220(a)(1), substituted "any wire or electronic communication" for "any electronic communication" in introductory provisions and "using the procedures described in the Federal Rules of Criminal Procedure by a court with jurisdiction over the offense under investigation" for "under the Federal Rules of Criminal Procedure" in subpar. (A).
Subsec. (b)(2). Pub. L. 107–56, §209(2)(C), substituted "any wire or electronic communication" for "any electronic communication" in introductory provisions.
Subsec. (c)(1). Pub. L. 107–56, §§212(b)(1)(C), 220(a)(1), designated subpar. (A) and introductory provisions of subpar. (B) as par. (1), substituted "A governmental entity may require a provider of electronic communication service or remote computing service to" for "(A) Except as provided in subparagraph (B), a provider of electronic communication service or remote computing service may" and a closing parenthesis for provisions which began with "covered by subsection (a) or (b) of this section) to any person other than a governmental entity." in former subpar. (A) and ended with "(B) A provider of electronic communication service or remote computing service shall disclose a record or other information pertaining to a subscriber to or customer of such service (not including the contents of communications covered by subsection (a) or (b) of this section) to a governmental entity", redesignated clauses (i) to (iv) of former subpar. (B) as subpars. (A) to (D), respectively, substituted "using the procedures described in the Federal Rules of Criminal Procedure by a court with jurisdiction over the offense under investigation" for "under the Federal Rules of Criminal Procedure" in subpar. (A) and "; or" for period at end of subpar. (D), added subpar. (E), and redesignated former subpar. (C) as par. (2).
Subsec. (c)(2). Pub. L. 107–56, §210, amended par. (2), as redesignated by section 212 of Pub. L. 107–56, by substituting "entity the—" for "entity the name, address, local and long distance telephone toll billing records, telephone number or other subscriber number or identity, and length of service of a subscriber" in introductory provisions, inserting subpars. (A) to (F), striking out "and the types of services the subscriber or customer utilized," before "when the governmental entity uses an administrative subpoena", inserting "of a subscriber" at beginning of concluding provisions and designating "to or customer of such service when the governmental entity uses an administrative subpoena authorized by a Federal or State statute or a Federal or State grand jury or trial subpoena or any means available under paragraph (1)." as remainder of concluding provisions.
Pub. L. 107–56, §212(b)(1)(C)(iii), (D), redesignated subpar. (C) of par. (1) as par. (2) and temporarily substituted "paragraph (1)" for "subparagraph (B)".
Pub. L. 107–56, §212(b)(1)(B), redesignated par. (2) as (3).
Subsec. (c)(3). Pub. L. 107–56, §212(b)(1)(B), redesignated par. (2) as (3).
Subsec. (d). Pub. L. 107–56, §220(b), struck out "described in section 3127(2)(A)" after "court of competent jurisdiction".
1998—Subsec. (c)(1)(B)(iv). Pub. L. 105–184 added cl. (iv).
1996—Subsec. (c)(1)(C). Pub. L. 104–293 inserted "local and long distance" after "address,".
Subsec. (d). Pub. L. 104–294 substituted "in section 3127(2)(A)" for "in section 3126(2)(A)".
Subsec. (f). Pub. L. 104–132 added subsec. (f).
1994—Subsec. (c)(1)(B). Pub. L. 103–414, §207(a)(1)(A), redesignated cls. (ii) to (iv) as (i) to (iii), respectively, and struck out former cl. (i) which read as follows: "uses an administrative subpoena authorized by a Federal or State statute, or a Federal or State grand jury or trial subpoena;".
Subsec. (c)(1)(C). Pub. L. 103–414, §207(a)(1)(B), added subpar. (C).
Subsec. (d). Pub. L. 103–414, §207(a)(2), amended first sentence generally. Prior to amendment, first sentence read as follows: "A court order for disclosure under subsection (b) or (c) of this section may be issued by any court that is a court of competent jurisdiction set forth in section 3127(2)(A) of this title and shall issue only if the governmental entity shows that there is reason to believe the contents of a wire or electronic communication, or the records or other information sought, are relevant to a legitimate law enforcement inquiry."
Pub. L. 103–322 substituted "section 3127(2)(A)" for "section 3126(2)(A)".
1988—Subsecs. (b)(1)(B)(i), (c)(1)(B)(i). Pub. L. 100–690, §7038, inserted "or trial" after "grand jury".
Subsec. (d). Pub. L. 100–690, §7039, inserted "may be issued by any court that is a court of competent jurisdiction set forth in section 3126(2)(A) of this title and" before "shall issue".
Effective Date of 2016 Amendment
Amendment by Pub. L. 114–328 effective on the date designated by the President [Jan. 1, 2019, with certain conditions and exceptions, see Ex. Ord. No. 13825, set out as a note under section 801 of Title 10, Armed Forces], not later than the first day of the first calendar month beginning two years after Dec. 23, 2016, with implementing regulations prescribed by the President not later than one year after Dec. 23, 2016, and with provisions relating to applicability to various situations, see section 5542 of Pub. L. 114–328, set out as a note under section 801 of Title 10, Armed Forces.
Effective Date of 2002 Amendment
Amendment by Pub. L. 107–296 effective 60 days after Nov. 25, 2002, see section 4 of Pub. L. 107–296, set out as an Effective Date note under section 101 of Title 6, Domestic Security.
Effective Date
Section effective 90 days after Oct. 21, 1986, and, in the case of conduct pursuant to a court order or extension, applicable only with respect to court orders or extensions made after such effective date, see section 202 of Pub. L. 99–508, set out as a note under section 2701 of this title.
Rule of Construction
Pub. L. 115–141, div. V, §103(c), Mar. 23, 2018, 132 Stat. 1216, provided that: "Nothing in this section [enacting section 2713 of this title and amending this section], or an amendment made by this section, shall be construed to modify or otherwise affect the common law standards governing the availability or application of comity analysis to other types of compulsory process or to instances of compulsory process issued under section 2703 of title 18, United States Code, as amended by this section, and not covered under subsection (h)(2) of such section 2703."
4.1.3 Pen Register Act, Section 3124: Assistance in installation and use of a pen register or a trap and trace device 4.1.3 Pen Register Act, Section 3124: Assistance in installation and use of a pen register or a trap and trace device
18 U.S.C. § 3124
United States Code, 2018 Edition
Title 18 - CRIMES AND CRIMINAL PROCEDURE
PART II - CRIMINAL PROCEDURE
CHAPTER 206 - PEN REGISTERS AND TRAP AND TRACE DEVICES
Sec. 3124 - Assistance in installation and use of a pen register or a trap and trace device
From the U.S. Government Publishing Office,
(a)
(b)
(c)
(d)
(e)
(f)
Notes
References in Text
The Communications Assistance for Law Enforcement Act, referred to in subsec. (f), is title I of Pub. L. 103–414, Oct. 25, 1994, 108 Stat. 4279, which is classified generally to subchapter I (§1001 et seq.) of chapter 9 of Title 47, Telecommunications. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of Title 47 and Tables.
Amendments
2018—Subsec. (d). Pub. L. 115–141, §104(3)(B)(i), amended subsec. (d) generally. Prior to amendment, text read as follows: "No cause of action shall lie in any court against any provider of a wire or electronic communication service, its officers, employees, agents, or other specified persons for providing information, facilities, or assistance in accordance with a court order under this chapter or request pursuant to section 3125 of this title."
Subsec. (e). Pub. L. 115–141, §104(3)(B)(ii), amended subsec. (e) generally. Prior to amendment, text read as follows: "A good faith reliance on a court order under this chapter, a request pursuant to section 3125 of this title, a legislative authorization, or a statutory authorization is a complete defense against any civil or criminal action brought under this chapter or any other law."
2001—Subsec. (b). Pub. L. 107–56, §216(c)(6), inserted "or other facility" after "the appropriate line".
Subsec. (d). Pub. L. 107–56, §216(c)(5), struck out "the terms of" before "a court order".
1994—Subsec. (f). Pub. L. 103–414 added subsec. (f).
1990—Subsec. (b). Pub. L. 101–647 substituted "section 3123(b)" for "subsection 3123(b)".
1988—Subsec. (b). Pub. L. 100–690, §§7040, 7092(d), inserted ", pursuant to subsection 3123(b) or section 3125 of this title," after "shall be furnished" and "order" after last reference to "court".
Subsec. (d). Pub. L. 100–690, §7092(b)(1), inserted "or request pursuant to section 3125 of this title" after "this chapter".
Subsec. (e). Pub. L. 100–690, §7092(b)(2), inserted "under this chapter, a request pursuant to section 3125 of this title" after "court order".
Effective Date
Section effective 90 days after Oct. 21, 1986, and, in case of conduct pursuant to court order or extension, applicable only with respect to court orders and extensions made after such date, with special rule for State authorizations of interceptions, see section 302 of Pub. L. 99–508, set out as a note under section 3121 of this title.
Assistance to Law Enforcement Agencies
Pub. L. 107–56, title II, §222, Oct. 26, 2001, 115 Stat. 292, provided that: "Nothing in this Act [see Short Title of 2001 Amendment note set out under section 1 of this title] shall impose any additional technical obligation or requirement on a provider of a wire or electronic communication service or other person to furnish facilities or technical assistance. A provider of a wire or electronic communication service, landlord, custodian, or other person who furnishes facilities or technical assistance pursuant to section 216 [amending this section and sections 3121, 3123, and 3127 of this title] shall be reasonably compensated for such reasonable expenditures incurred in providing such facilities or assistance."
4.1.4 All Writs Act 4.1.4 All Writs Act
28 U.S.C. § 1651
United States Code, 2018 Edition
Title 28 - JUDICIARY AND JUDICIAL PROCEDURE
PART V - PROCEDURE
CHAPTER 111 - GENERAL PROVISIONS
Sec. 1651 - Writs
From the U.S. Government Publishing Office,
(a) The Supreme Court and all courts established by Act of Congress may issue all writs necessary or appropriate in aid of their respective jurisdictions and agreeable to the usages and principles of law.
(b) An alternative writ or rule nisi may be issued by a justice or judge of a court which has jurisdiction.
Notes
Historical and Revision Notes
1948 Act
Based on title 28, U.S.C., 1940 ed., §§342, 376, 377 (Mar. 3, 1911, ch. 231, §§234, 261, 262, 36 Stat. 1156, 1162).
Section consolidates sections 342, 376, and 377 of title 28, U.S.C., 1940 ed., with necessary changes in phraseology.
Such section 342 provided:
"The Supreme Court shall have power to issue writs of prohibition to the district courts, when proceeding as courts of admiralty and maritime jurisdiction; and writs of mandamus, in cases warranted by the principles and usages of law, to any courts appointed under the authority of the United States, or to persons holding office under the authority of the United States, where a State, or an ambassador, or other public minister, or a consul, or vice consul is a party."
Such section 376 provided:
"Writs of ne exeat may be granted by any justice of the Supreme Court, in cases where they might be granted by the Supreme Court; and by any district judge, in cases where they might be granted by the district court of which he is a judge. But no writ of ne exeat shall be granted unless a suit in equity is commenced, and satisfactory proof is made to the court or judge granting the same that the defendant designs quickly to depart from the United States."
Such section 377 provided:
"The Supreme Court and the district courts shall have power to issue writs of scire facias. The Supreme Court, the circuit courts of appeals, and the district courts shall have power to issue all writs not specifically provided for by statute, which may be necessary for the exercise of their respective jurisdictions, and agreeable to the usages and principles of law."
The special provisions of section 342 of title 28, U.S.C., 1940 ed., with reference to writs of prohibition and mandamus, admiralty courts and other courts and officers of the United States were omitted as unnecessary in view of the revised section.
The revised section extends the power to issue writs in aid of jurisdiction, to all courts established by Act of Congress, thus making explicit the right to exercise powers implied from the creation of such courts.
The provisions of section 376 of title 28, U.S.C., 1940 ed., with respect to the powers of a justice or judge in issuing writs of ne exeat were changed and made the basis of subsection (b) of the revised section but the conditions and limitations on the writ of ne exeat were omitted as merely confirmatory of well-settled principles of law.
The provision in section 377 of title 28, U.S.C., 1940 ed., authorizing issuance of writs of scire facias, was omitted in view of rule 81(b) of the Federal Rules of Civil Procedure abolishing such writ. The revised section is expressive of the construction recently placed upon such section by the Supreme Court in U.S. Alkali Export Assn. v. U.S., 65 S.Ct. 1120, 325 U.S. 196, 89 L.Ed. 1554, and De Beers Consol. Mines v. U.S., 65 S.Ct. 1130, 325 U.S. 212, 89 L.Ed. 1566.
1949 Act
This section corrects a grammatical error in subsection (a) of section 1651 of title 28, U.S.C.
Amendments
1949—Subsec. (a). Act May 24, 1949, inserted "and" after "jurisdictions".
Writ of Error
Act Jan. 31, 1928, ch. 14, §2, 45 Stat. 54, as amended Apr. 26, 1928, ch. 440, 45 Stat. 466; June 25, 1948, ch. 646, §23, 62 Stat. 990, provided that: "All Acts of Congress referring to writs of error shall be construed as amended to the extent necessary to substitute appeal for writ of error."
4.1.5 CALEA: Assistance capability requirements 4.1.5 CALEA: Assistance capability requirements
47 U.S.C. § 1002
United States Code, 2018 Edition
Title 47 - TELECOMMUNICATIONS
CHAPTER 9 - INTERCEPTION OF DIGITAL AND OTHER COMMUNICATIONS
SUBCHAPTER I - INTERCEPTION OF DIGITAL AND OTHER COMMUNICATIONS
Sec. 1002 - Assistance capability requirements
From the U.S. Government Publishing Office,
(a) Capability requirements
Except as provided in subsections (b), (c), and (d) of this section and sections 1007(a) and 1008(b) and (d) of this title, a telecommunications carrier shall ensure that its equipment, facilities, or services that provide a customer or subscriber with the ability to originate, terminate, or direct communications are capable of—
(1) expeditiously isolating and enabling the government, pursuant to a court order or other lawful authorization, to intercept, to the exclusion of any other communications, all wire and electronic communications carried by the carrier within a service area to or from equipment, facilities, or services of a subscriber of such carrier concurrently with their transmission to or from the subscriber's equipment, facility, or service, or at such later time as may be acceptable to the government;
(2) expeditiously isolating and enabling the government, pursuant to a court order or other lawful authorization, to access call-identifying information that is reasonably available to the carrier—
(A) before, during, or immediately after the transmission of a wire or electronic communication (or at such later time as may be acceptable to the government); and
(B) in a manner that allows it to be associated with the communication to which it pertains,
except that, with regard to information acquired solely pursuant to the authority for pen registers and trap and trace devices (as defined in section 3127 of title 18), such call-identifying information shall not include any information that may disclose the physical location of the subscriber (except to the extent that the location may be determined from the telephone number);
(3) delivering intercepted communications and call-identifying information to the government, pursuant to a court order or other lawful authorization, in a format such that they may be transmitted by means of equipment, facilities, or services procured by the government to a location other than the premises of the carrier; and
(4) facilitating authorized communications interceptions and access to call-identifying information unobtrusively and with a minimum of interference with any subscriber's telecommunications service and in a manner that protects—
(A) the privacy and security of communications and call-identifying information not authorized to be intercepted; and
(B) information regarding the government's interception of communications and access to call-identifying information.
(b) Limitations
(1) Design of features and systems configurations
This subchapter does not authorize any law enforcement agency or officer—
(A) to require any specific design of equipment, facilities, services, features, or system configurations to be adopted by any provider of a wire or electronic communication service, any manufacturer of telecommunications equipment, or any provider of telecommunications support services; or
(B) to prohibit the adoption of any equipment, facility, service, or feature by any provider of a wire or electronic communication service, any manufacturer of telecommunications equipment, or any provider of telecommunications support services.
(2) Information services; private networks and interconnection services and facilities
The requirements of subsection (a) do not apply to—
(A) information services; or
(B) equipment, facilities, or services that support the transport or switching of communications for private networks or for the sole purpose of interconnecting telecommunications carriers.
(3) Encryption
A telecommunications carrier shall not be responsible for decrypting, or ensuring the government's ability to decrypt, any communication encrypted by a subscriber or customer, unless the encryption was provided by the carrier and the carrier possesses the information necessary to decrypt the communication.
(c) Emergency or exigent circumstances
In emergency or exigent circumstances (including those described in sections 2518(7) or (11)(b) and 3125 of title 18 and section 1805(e) of title 50), a carrier at its discretion may comply with subsection (a)(3) by allowing monitoring at its premises if that is the only means of accomplishing the interception or access.
(d) Mobile service assistance requirements
A telecommunications carrier that is a provider of commercial mobile service (as defined in section 332(d) of this title) offering a feature or service that allows subscribers to redirect, hand off, or assign their wire or electronic communications to another service area or another service provider or to utilize facilities in another service area or of another service provider shall ensure that, when the carrier that had been providing assistance for the interception of wire or electronic communications or access to call-identifying information pursuant to a court order or lawful authorization no longer has access to the content of such communications or call-identifying information within the service area in which interception has been occurring as a result of the subscriber's use of such a feature or service, information is made available to the government (before, during, or immediately after the transfer of such communications) identifying the provider of a wire or electronic communication service that has acquired access to the communications.
Notes
Effective Date
Section effective on the date that is 4 years after Oct. 25, 1994, see section 111(b) of Pub. L. 103–414, set out as a note under section 1001 of this title.
4.1.6 United States v. Lavabit, LLC (4th Cir. 2014) 4.1.6 United States v. Lavabit, LLC (4th Cir. 2014)
For an explanation of this court opinion that was written for a lay audience, see this article, which discusses the "Apple vs. FBI" court order (also part of your reading) into the context of this Lavabit case. Comparing "Apple vs. FBI" to Lavabit illustrates the FBI's history of going to court to try to force tech companies to circumvent their own encryption in order to enable FBI access to the plaintext of a target individual's encrypted information.
In re UNDER SEAL United States of America, Plaintiff-Appellee, v. Lavabit, LLC.; Ladar Levison, Parties-in-Interest-Appellants. American Civil Liberties Union; American Civil Liberties Union of Virginia; Empeopled, LLC.; Electronic Frontier Foundation, Amici Supporting Appellants. In re Grand Jury Proceedings United States of America, Plaintiff-Appellee, v. Lavabit, LLC.; Ladar Levison, Parties-in-Interest-Appellants. American Civil Liberties Union; American Civil Liberties Union of Virginia; Empeopled, LLC.; Electronic Frontier Foundation, Amici Supporting Appellants.
Nos. 13-4625, 13-4626.
United States Court of Appeals, Fourth Circuit.
Argued: Jan. 28, 2014.
Decided: April 16, 2014.
*278ARGUED: Ian James Samuel, New York, New York, for Appellants. Andrew Peterson, Office of the United States Attorney, Alexandria, Virginia, for Appellee. ON BRIEF: Jesse R. Binnall, Bronley & Binnall, PLLC, Fairfax, Virginia; Marcia Hofmann, Law Office of Marcia Hofmann, San Francisco, California; David Warring-ton, Laurin Mills, LeClairRyan, Alexandria, Virginia, for Appellants. Mythili Ra-man, Acting Assistant Attorney General, Criminal Division, Nathan Judish, Josh Goldfoot, Benjamin Fitzpatrick, Brandon Van Grack, United States Department of *279Justice, Washington, D.C.; Dana J. Boente, Acting United States Attorney, Michael Ben’Ary, James L. Trump, Office of the United States Attorney, Alexandria, Virginia, for Appellee. Alexander A. Abdo, Brian M. Hauss, Catherine Crump, Nathan F. Wessler, Ben Wizner, American Civil Liberties Union Foundation, New York, New York; Rebecca K. Glenberg, American Civil Liberties Union of Virginia Foundation, Inc., Richmond, Virginia, for Amici American Civil Liberties Union and ACLU of Virginia. Kurt Opsahl, Jennifer Lynch, Hanni Fakhoury, Electronic Frontier Foundation, San Francisco, California, for Amicus Electronic Frontier Foundation. Richard M. Martinez, Mahesha P. Subbaraman, Robins, Kaplan, Miller & Ciresi, L.L.P., Minneapolis, Minnesota, for Amicus Empeopled, LLC.
Before NIEMEYER, GREGORY, and AGEE, Circuit Judges.
Affirmed by published opinion. Judge AGEE wrote the opinion, in which Judge NIEMEYER and Judge GREGORY joined.
Lavabit LLC is a limited liability company that provided email service. Ladar Levison is the company’s sole and managing member.1
In 2013, the United States sought to obtain certain information about a target2 in a criminal investigation. To further that goal, the Government obtained court orders under both the Pen/Trap Statute, 18 U.S.C. §§ 3123-27, and the Stored Communications Act, 18 U.S.C. §§ 2701-12, requiring Lavabit to turn over particular information related to the target. When Lavabit and Levison failed to comply with those orders, the district court held them in contempt and imposed monetary sanctions. Lavabit and Levison now appeal the sanctions.
For the reasons below, we affirm the judgment of the district court.
I.
A.
This case concerns the encryption processes that Lavabit used while providing its email service. Encryption describes the process through which readable data, often called “plaintext,” is converted into “ciphertext,” an unreadable jumble of letters and numbers. Decryption describes the reverse process of changing ciphertext back into plaintext. Both processes employ mathematical algorithms involving “keys,” which facilitate the change of plain-text into ciphertext and back again.
Lavabit employed two stages of encryption for its paid subscribers: storage encryption and transport encryption. Storage encryption protects emails and other data that rests on Lavabit’s servers. Theoretically, no person other than the email user could access the data once it was so encrypted. By using storage encryption, Lavabit held a unique market position in the email industry, as many providers do not encrypt stored data.
*280Although Lavabit’s use of storage encryption was novel, this case primarily concerns Lavabit’s second stage of encryption, transport encryption. This more common form of encryption protects data as it moves in transit between the client and the server, creating a protected transmission channel for internet communications. Transport encryption protects not just email contents, but also usernames, passwords, and other sensitive information as it moves. Without this type of encryption, internet communications move exposed en route to their destination, allowing outsiders to “listen in.” Transport encryption also authenticates — that is, it helps ensure that email clients and servers are who they say they are, which in turn prevents unauthorized parties from exploiting the data channel.
Like many online companies, Lavabit used an industry-standard protocol called SSL (short for “Secure Sockets Layer”) to encrypt and decrypt its transmitted data. SSL relies on public-key or asymmetric encryption, in which two separate but related keys are used to encrypt and decrypt the protected data. One key is made public, while the other remains private. In Lavabit’s process, email users would have access to Lavabit’s public keys, but Lava-bit would retain its protected, private keys. This technology relies on complex algorithms, but the basic idea is akin to a self-locking padlock: if Alice wants to send a secured box to Bob, she can lock the box with a padlock (the public key) and Bob will open it with his own key (the private key). Anyone can lock the padlock, but only the key-holder can unlock it.3
The security advantage that SSL offers disappears if a third party comes to possess the private key. For example, a third party holding a private key could read the encrypted communications tied to that key as they were transmitted. In some circumstances, a third party might also use the key to decrypt past communications (although some available technologies can thwart that ability). And, with the private key in hand, the third party could impersonate the server and launch a man-in-the-middle attack.
When a private key becomes anything less than private, more than one user may be compromised. Like some other email providers, Lavabit used a single set of SSL keys for all its various subscribers for technological and financial reasons. Lava-bit in particular employed only five key-pairs, one for each of the mail protocols that it supported.4 As a result, exposing one key-pair could affect all of Lavabit’s estimated 400,000-plus email users.
B.
With this technical background in mind, we turn to the case before us.
1.
On June 28, 2013, the Government sought and obtained an order (“the Pen/ *281Trap Order”) from a magistrate judge authorizing the placement of a pen register and trace-and-trap device on Lavabit’s system. This “pen/trap” device is intended to allow the Government to collect certain information, on a real-time basis, related to the specific investigatory target’s Lavabit email account.5 In accordance with the Pen/Trap Statute, 18 U.S.C. §§ 3121-27, the Pen/Trap Order permitted the Government to “capture all non-content dialing, routing, addressing, and signaling information ... sent from or sent to” the target’s account. (J.A. 10.) In other words, the Pen/Trap Order authorized the Government to collect metadata6 relating to the target’s account, but did not allow the capture of the contents of the target’s emails. The Pen/Trap Order further required Lavabit to “furnish [to the Government] ... all information, facilities, and technical assistance necessary to accomplish the installation and use of the pen/ trap device unobtrusively and with minimum interference.” (J.A. 11.)
On the same day that the Pen/Trap Order issued, FBI agents met with Levison, who indicated that he did not intend to comply with the order. Levison informed the agents that he could not provide the requested information because the target-user “had enabled Lavabit’s encryption services,” presumably referring to Lava-bit’s storage encryption. (J.A. 7.) But, at the same time, Levison led the Government to believe that he “had the technical capability to decrypt the [target’s] information.” (J.A. 6.) Nevertheless, Levison insisted that he would not exercise that ability because “Lavabit did not want to ‘defeat [its] own system.’ ” (J.A. 6.)
In view of Levison’s response, the Government obtained an additional order that day compelling Lavabit to comply with the Pen/Trap Order. This “June 28 Order,” again issued by a magistrate judge, instructed Lavabit to “provide the [FBI] with unencrypted data pursuant to the [Pen/Trap] Order” and reiterated that La-vabit was to provide “any information, facilities, or technical assistance ... under the control of Lavabit ... [that was] needed to provide the FBI with the unencrypted data.” (J.A. 9.) Further, the June 28 Order put Lavabit and Levison on notice that any “[failure to comply” could result in “any penalty within the power of the Court, including the possibility of criminal contempt of Court.” (J.A. 9.)
2.
Over the next eleven days, the Government attempted to talk with Levison about implementing the Pen/Trap Order. Levi-son, however, ignored the FBI’s repeated requests to confer and did not give the Government the unencrypted data that the June 28 Order required. As each day passed, the Government lost forever the ability to collect the target-related data for that day.
Because Lavabit refused to comply with the prior orders, the Government obtained an order to show cause from the district court on July 9. The show cause order directed both Lavabit and Levison, individ*282ually, to appear and “show cause why La-vabit LLC ha[d] failed to comply with the orders entered June 28, 2013[] in this matter and why [the] Court should not hold Mr. Levison and Lavabit LLC in contempt for its disobedience and resistance to these lawful orders.” (J.A. 21.) Entry of the show cause order spurred a conference call between Levison, his counsel, and representatives from the Government on July 10. During that call, the parties discussed how the Government could install the pen/trap device, what information the device could capture, and how the Government could view and preserve that information. In addition, the Government asked whether Levison would provide the keys necessary to decrypt the target’s encrypted information. Although the Government again stressed that it was permitted to collect only non-content data, neither Levison nor his counsel indicated whether Lavabit would allow the Government to install and use the pen/trap device.7
On July 13, 2013, four days after the show cause order issued, Levison contacted the Government with his own proposal as to how he would comply with the court’s orders. In particular, Levison suggested that Lavabit would itself collect the Government’s requested data:
I now believe it would be possible to capture the required data ourselves and provide it to the FBI. Specifically the information we’d collect is the login and subsequent logout date and time, the IP address used to connect to the subject email account and [several] non-content headers ... from any future emails sent or received using the subject account. ... Note that additional header fields could be captured if provided in advance of my implementation effort.
(J.A. 83.) Levison conditioned his proposal with a requirement that the Government pay him $2,000 for his services. More importantly, Levison also intended to provide the data only “at the conclusion of the 60[-]day period required by the [Pen/Trap] Order ... [or] intermittently!,] ... as [his] schedule allow[ed].” (J.A. 83.) If the Government wanted daily updates, Levison demanded an additional $1,500.8
The Government rejected Levison’s proposal, explaining that it needed “real-time transmission of results.” (J.A. 83.) Moreover, the Government would have no means to verify the accuracy of the information that Lavabit proposed to provide— a concerning limit given Lavabit’s apparent hostility toward the Government. Levison responded by insisting that the Pen/Trap Order did not require real-time access, but did not otherwise attempt to comply with the Pen/Trap Order or the June 28 Order.
3.
On July 16, 2013, three days after the Government received Levison’s proposal and the same day as the show cause hearing, the Government obtained a seizure warrant from the district court under the Stored Communications Act (“SCA”). See *28318 U.S.C. §§ 2701-12. The seizure warrant provided that Lavabit was to turn over “[a]ll information necessary to decrypt communications sent to or from [the target’s] Lavabit email account ..., including encryption keys and SSL keys.” (J.A. 27.) In addition, the warrant covered “[a]ll information necessary to decrypt data stored in or otherwise associated with [the target’s] Lavabit account.” (J.A. 27.)
4.
On July 16, Levison appeared before the district court pro se,9 on behalf of himself and Lavabit, for the show cause hearing. When asked whether he planned to comply with the Pen/Trap Order, Levison responded that he had “always agreed to the installation of the pen register device.” (J.A. 42.) Nonetheless, Levison objected to turning over his private SSL encryption keys “because that would compromise all of the secure communications in and out of [his] network, including [his] own administrative traffic.” (J.A. 42.) He also maintained that “[t]here was never an explicit demand [from the Government] that [he] turn over the keys.” (J.A. 45.)
The district court and the parties initially discussed whether the Pen/Trap Order required Lavabit to produce its encryption keys. The district court observed that the Pen/Trap Order’s “technical assistance” provision may or may not encompass the keys, but it declined to reach the issue during the show cause hearing “because [he had] issued a search warrant for that.” (J.A. 43.) The Government agreed that it had sought the seizure warrant to “avoid litigating [the] issue” of whether the Pen/ Trap Order reached the encryption keys (J.A. 43), but contended that the Pen/Trap Order and the June 28 Order “required the encryption keys to be produced” (J.A. 45).
After Levison assured the district court that he would permit the Government to install a pen/trap device on Lavabit’s system, the district court did not inquire further into whether Levison would turn over his encryption keys. The district court concluded that it need not yet resolve the matter because Levison had not been served with the seizure warrant and had not been called before the grand jury (as was anticipated by the then-outstanding grand jury subpoena). The district court then scheduled another hearing for July 26 to confirm that Lavabit had fully complied.
After the show cause hearing, Lavabit did permit the Government to install a pen/trap device. But, without the encryption keys, much of the information transmitted to and from Lavabit’s servers remained encrypted, indecipherable, and useless. The pen/trap device was therefore unable to identify what data within the encrypted data stream was target-related and properly collectable.
5.
Shortly before the scheduled hearing on compliance, Lavabit and Levison, now again represented by counsel, moved to quash the seizure warrant. In relevant part, their motion argued that the warrant (1) amounted to an impermissible general warrant barred by the Fourth Amendment; (2) sought immaterial information; and (3) imposed an undue burden on Lava-bit’s business.
In response, the Government contended that the warrant merely “re-state[d] and clarif[ied] Lavabit’s obligations under the Pen-Trap Act to provide that same infor*284mation.” (J.A. 86.) The Government noted that four different legal obligations, including the Pen/Trap Order and the June 28 Order, required Lavabit to produce the encryption keys. Lavabit’s motion to quash, however, did not mention either the Pen/Trap Order or the June 28 Order.
6.
On August 1, over a month after the Pen/Trap Order first issued, the district court held its second hearing.10 The court remarked that “[t]he difficulty or the ease in obtaining the information [didn’t] have anything to do with whether or not the government’s lawfully entitled to that information.” (J.A. 108.) For that reason, the district court denied the motion to quash the Government’s “very narrow, specific” warrant. (J.A. 108.) The court also found it reasonable that the Government would not collect all users’ data, even if the encryption keys would practically enable the Government to access all that data.
The district court then entered an order (the “August 1 Order”) directing Lavabit to turn over its encryption keys. The order further instructed Lavabit to provide the Government “any other ‘information, facilities, and technical assistance necessary to accomplish the installation and use of the pen/trap device’ as required by the July 16, 2013 seizure warrant and the [Pen/Trap Order].” (J.A. 118-19.) The August 1 Order directed Lavabit and Levi-son to turn over the encryption keys by 5:00 pm on August 2, 2013.
7.
Despite the unequivocal language of the August 1 Order, Lavabit dallied and did not comply. Just before the 5:00 pm August 2 deadline, for instance, Levison provided the FBI with an 11-page printout containing largely illegible characters in 4-point type, which he represented to be Lavabit’s encryption keys. The Government instructed Lavabit to provide the keys in an industry-standard electronic format by the morning of August 5. Lava-bit did not respond.
On August 5, nearly six weeks after the Government first obtained the Pen/Trap Order, the Government moved for sanctions against Levison and Lavabit for their continuing “failure to comply with [the] Court’s order entered August 1.” (J.A. 120.) The Government sought penalties of $5,000 a day until Lavabit provided the encryption keys to the Government. The district court granted the motion for sanctions that day.
Two days later, Levison provided the keys to the Government. By that time, six weeks of data regarding the target had been lost.11
8.
Lavabit and Levison timely appealed, and we have jurisdiction under 28 U.S.C. § 1291. See United States v. Myers, 593 F.3d 338, 344 n. 9 (4th Cir.2010) (“[A] civil-contempt order may be immediately appealed by a non[-]party [to the underlying action].”); see also Buffington v. Balt. Cnty., Md., 913 F.2d 113, 133 (4th Cir.1990) (explaining that civil contempt in-*285eludes “a fíne that would be payable to the court ... when the [contemnor] can avoid paying the fíne simply by performing the affirmative act required by the court’s order”). We further note that the appeal presents a live controversy even though Lavabit has now complied with the underlying orders, as Lavabit and Levison still face potential assessments based on their conduct in refusing to comply with the district court’s orders. See In re Grand Jury Subpoena (T-112), 597 F.3d 189, 195 (4th Cir.2010).
II.
A.
As a party appealing from a civil contempt order, Lavabit12 may ask us to consider “whether contempt was proper” and may challenge “the order alleged to have been violated” unless “earlier appellate review was available.” United States v. Myers, 593 F.3d at 344. In the ordinary case, we review the ultimate decision as to whether the contempt was proper for abuse of discretion, the underlying legal questions de novo, In re Grand Jury Subpoena, 597 F.3d at 195, and any factual findings for clear error, Oaks of Mid City Resident Council v. Sebelius, 723 F.3d 581, 584 (5th Cir.2013); cf. United States v. Peoples, 698 F.3d 185, 189 (4th Cir.2012) (same as to criminal contempt). Lavabit failed, however, to raise most of its present arguments before the district court; that failure significantly alters the standard of review.
B.
In the district court, Lavabit failed to challenge the statutory authority for the Pen/Trap Order, or the order itself, in any way. Yet on appeal, Lavabit suggests that the district court’s demand for the encryption keys required more assistance from it than the Pen/Trap Statute requires. La-vabit never mentioned or alluded to the Pen/Trap Statute below, much less the district court’s authority to act under that statute. In fact, with the possible exception of an undue burden argument directed at the seizure warrant, Lavabit never challenged the district court’s authority to act under either the Pen/Trap Statute or the SCA.
“The matter of what questions may be taken up and resolved for the first time on appeal is one left primarily to the discretion of the courts of appeals, to be exercised on the facts of individual cases.” Singleton v. Wulff, 428 U.S. 106, 121, 96 S.Ct. 2868, 49 L.Ed.2d 826 (1976). In this circuit, we exercise that discretion sparingly. Our settled rule is simple: “[a]bsent exceptional circumstances, ... we do not consider issues raised for the first time on appeal.” Robinson v. Equifax Info. Servs., LLC, 560 F.3d 235, 242 (4th Cir.2009); see also Agra, Gill & Duffus, Inc. v. Benson, 920 F.2d 1173, 1176 (4th Cir.1990) (“We will not accept on appeal theories that were not raised in the district court except under unusual circumstances.”).
When a party in a civil case fails to raise an argument in the lower court and instead raises it for the first time before us, we may reverse only if the newly raised argument establishes “fundamental error” or a denial of fundamental justice. Stewart v. Hall, 770 F.2d 1267, 1271 (4th Cir.1985). “Fundamental error” is “more limited” than the “plain error” standard that we apply in criminal cases. Id.; accord Shcherbakovskiy v. Da Capo Al Fine, Ltd., 490 F.3d 130, 142 (2d Cir.2007) (“To meet this [fundamental error] *286standard, a party must demonstrate even more than is necessary to meet the plain error standard in a criminal trial”)- So, when a party in a civil case fails to meet the plain-error standard, we can say with confidence that he has not established fundamental error. See, e.g., In re Celotex Corp., 124 F.3d 619, 631 (4th Cir.1997) (describing the criminal plain-error standard as a “minimum” standard that must be met before undertaking discretionary review of a waived argument in a civil case).13
Thus, we may use the criminal, plain-error standard — articulated by United States v. Olano, 507 U.S. 725, 730, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993) — as something of an intermediate step in a civil case. See, e.g., Brickwood Contractors, Inc. v. Datanet Eng’g, Inc., 369 F.3d 385, 396 (4th Cir.2004) (applying Olano standard in civil case). Under that familiar standard, we cannot reverse if the party fails to establish: “(1) there is an error; (2) the error is plain; (3) the error affects substantial rights; and (4) the court determines ... that the error seriously affects the fairness, integrity or public reputation of judicial proceedings.” Celotex, 124 F.3d at 630-31. Even the lesser showing needed for “[pjlain error review is strictly circumscribed, and meeting all four prongs is difficult, as it should be.” United States v. Byers, 649 F.3d 197, 213 (4th Cir.2011) (quotation marks and alteration omitted).
We employ these rules not to trap unwary litigants, but to advance several important and “obvious” purposes. Wheatley v. Wicomico Cnty., Md., 390 F.3d 328, 335 (4th Cir.2004). Among other things, forfeiture and waiver rules offer “respect for the [integrity of the] lower court, [avoid] unfair surprise to the other party, and [acknowledge] the need for finality in litigation and conservation of judicial resources.” Holly Hill Farm, 447 F.3d at 267. Our sister circuits have suggested other reasons beyond these: waiver rules ensure that the parties develop the necessary evidence below, In re Diet Drugs Prod. Liab. Litig., 706 F.3d 217, 226 (3d Cir.2013), and “prevent parties from getting two bites at the apple by raising two distinct arguments,” Fleishman v. Cont’l Cas. Co., 698 F.3d 598, 608 (7th Cir.2012); see also HTC Corp. v. IPCom GmbH & Co., KG, 667 F.3d 1270, 1282 (Fed.Cir.2012) (collecting cases). The Supreme Court has likewise warned us not to lightly dismiss the many interests underlying preservation requirements. See, e.g., Wood v. Milyard, — U.S. —, 132 S.Ct. 1826, 1834, 182 L.Ed.2d 733 (2012) (“Due regard for the trial court’s processes and time investment is also a consideration appellate courts should not overlook.”); Exxon Shipping Co. v. Baker, 554 U.S. 471, 487 n. 6, 128 S.Ct. 2605, 171 L.Ed.2d 570 (2008) (“[T]he complexity of a case does not eliminate the value of waiver and forfeiture rules, which ensure that parties can determine when an issue is out of the case, and that litigation remains, to the extent possible, an orderly progression.”).
*287Forfeiture and waiver principles apply with equal force to contempt proceedings. See, e.g., In re Gates, 600 F.3d 333, 337 (4th Cir.2010) (applying plain-error standard to unpreserved claim of error in criminal contempt proceedings); United States v. Neal, 101 F.3d 993, 996 (4th Cir.1996) (same). If anything, “[t]he axiom that an appellate court will not ordinarily consider issues raised for the first time on appeal takes on added significance in the context of contempt.” In re Bianchi, 542 F.2d 98, 100 (1st Cir.1976) (internal citation omitted). After all, “[d]enying the court of which [a party] stands in contempt the opportunity to consider the objection or remedy is in itself a contempt of [that court’s] authority and an obstruction of its processes.” Id. (quotation marks omitted).
C.
Lavabit argues that it preserved an appellate challenge to the Pen/Trap Order when Levison objected to turning over the encryption keys at the initial show cause hearing. We disagree.
In making his statement against turning over the encryption keys to the Government, Levison offered only a one-sentence remark: “I have only ever objected to turning over the SSL keys because that would compromise all of the secure communications in and out .of my network, including my own administrative traffic.” (J.A. 42.) This statement — which we re: cite here verbatim — constituted the sum total of the only objection that Lavabit ever raised to the turnover of the keys under the Pen/Trap Order. We cannot refashion this vague statement of personal preference into anything remotely close to the argument that Lavabit now raises on appeal: a statutory-text-based challenge to the district court’s fundamental authority under the Pen/Trap Statute. Levison’s statement to the district court simply reflected his personal angst over complying with the Pen/Trap Order, not his present appellate argument that questions whether the district court possessed the authority to act at all.
Arguments raised in a trial court must be specific and in line with those raised on appeal. “To preserve an issue for appeal, an objection [or argument] must be timely and state the grounds on which it is based.” Kollsman, a Div. of Sequa Corp. v. Cohen, 996 F.2d 702, 707 (4th Cir.1993). It follows then that “an objection on one ground does not preserve objections based on different grounds.” United States v. Massenburg, 564 F.3d 337, 342 n. 2 (4th Cir.2009).14 Similarly, a party does not go far enough by raising a non-specific objection or claim. “[I]f a party wishes to preserve an 'argument for appeal, the party must press and not merely intimate the argument during the proceedings before the district court.” Dallas Gas Partners, L.P. v. Prospect Energy Corp., 733 F.3d 148, 157 (5th Cir.2013); see also United States v. Bennett, 698 F.3d 194, 199 (4th Cir.2012) (finding defendant waived argument where his argument below wás “too general to alert the district court to the specific [objection]”).
In arguing that it can still pursue the issue despite its failure to raise any specific argument challenging the Pen/Trap Or*288der below, Lavabit gives far too broad a reading to Yee v. City of Escondido, 503 U.S. 519, 534, 112 S.Ct. 1522, 118 L.Ed.2d 153 (1992). Yee explained that, “[o]nce a federal claim is properly presented, a party can make any argument in support of that claim; parties are not limited to the precise arguments they made below.” 503 U.S. at 534, 112 S.Ct. 1522. We, too, have recognized our need to “consider any theory plainly encompassed by the submissions in the underlying litigation.” Volvo Constr. Equip. N. Am., Inc. v. CLM Equip. Co., 386 F.3d 581, 604 (4th Cir.2004).
Yet Lavabit neither “plainly” nor “properly” identified these issues for the district court, and a comparison between this case and Yee illustrates why. In Yee, the parties raised before the district court a Fifth Amendment takings claim premised on physical occupation. 503 U.S. at 534-35, 112 S.Ct. 1522. Before the Supreme Court, however, they argued that the taking occurred by regulation. Id. The difference in form there was immaterial because the appealing party asked both courts to evaluate the same fundamental question: whether the challenged acts constituted a taking. In other words, the appellant/petitioner in Yee raised two variations of the same basic argument. In contrast, the difference in the case at bar is marked and material: Lavabit never challenged the statutory validity of the Pen/Trap Order below or the court’s authority to act. To the contrary, Lavabit’s only point below alluded to the potential damage that compliance could cause to its chosen business model.15
Neither the district court nor the Government therefore had any signal from Lavabit that it contested the district court’s authority under the Pen/Trap Statute to enter the Pen/Trap Order or the June 28th Order. In fact, by conceding at the August 1 hearing “that the [Government [was] entitled to the [requested] information,” it likely led the district court to believe exactly the opposite. (J.A. 108.) Accordingly, Lavabit failed to preserve any issue for appeal related to the Pen/ Trap Statute or the district court’s authority to act under it. See Nelson v. Adams USA, Inc., 529 U.S. 460, 469, 120 S.Ct. 1579, 146 L.Ed.2d 530 (2000) (“[T]he general rule that issues must be raised in lower courts in order to be preserved as potential grounds of decision in higher courts ... requires that the lower court be fairly put on notice as to the substance of the issue.”).
D.
Lavabit contends that, even if it failed to raise a cognizable objection to the Pen/Trap Order in the district court, then the Government and the district court induced it to forfeit its present challenges. We know of no case recognizing an “invited” or “induced” waiver exception to the traditional forfeiture and waiver principles. Lavabit has not identified any basis for such an exception, other than its subjective belief that it is now in an “unfair” position. But that is not an argument that permits us to cast aside the well-understood interests underlying our preservation requirements. Cf. Hawkins v. United States, 724 F.3d 915, 918 (7th Cir.2013) (“Finality is an institutional value and it is tempting to subordinate such a value to the equities of the individual case. But there are dangers, especially if so vague a term as ‘fairness’ is to be the touchstone.”).
*289In any event, we disagree with Lavabit’s factual premise, as neither the Government nor the district court induced or invited Lavabit to waive anything.
The Government did not lead Lavabit to believe that the Pen/Trap Order was somehow irrelevant. To be sure, the Government focused more on the seizure warrant than the Pen/Trap Order at certain times in the proceedings. At the August 1 hearing, for example, the Government concentrated on the seizure warrant and the later-withdrawn grand jury subpoena because the motion under consideration— Lavabit’s motion to quash — only addressed those two objects. The Government, however, never stopped contending that the Pen/Trap Order, in and of itself, also required Lavabit to turn over the encryption keys. For example, the Government specifically invoked the Pen/Trap Order in its written response to Lavabit’s motion to quash by noting that “four separate legal obligations” required Lavabit to provide its encryption keys, including the Pen/ Trap Order and the June 28 Order. (J.A.86.) If Lavabit truly believed the Pen/ Trap Order to be an invalid request for the encryption keys, then the Government’s continuing reliance on that order should have spurred Lavabit to challenge it.
The district court’s actions also put Lavabit on notice that the Pen/Trap Order implicated Lavabit’s encryption keys. The June 28 Order referred to encryption, and the August 1 order compelling Lavabit to turn over its keys relied upon two independent sources of authority: “the July 16, 2013 seizure warrant and the June 28, 2013 [Pen/Trap Order].” (J.A. 119 (emphasis added).) The August 1 Order, with its plain and unequivocal citation to the Pen/Trap Order, informed Lavabit that the Pen/Trap Order needed to be addressed because it was the cited authority for the turnover of the encryption keys. Even if the district court had earlier equivocated about whether the Pen/Trap Order reached Lavabit’s encryption keys, those doubts were dispelled once the August 1 Order issued.16 “When the terms of a judgment conflict with either a written or oral opinion or observation, the judgment must govern.” Murdaugh Volkswagen, Inc. v. First Nat'l Bank of S.C., 741 F.2d 41, 44 (4th Cir.1984); see also id. (“Courts must speak by orders and judgments, not by opinions, whether written or oral, or by chance observations or expressed intentions made by courts during, before or after trial, or during argument.”). At an absolute minimum, if La-vabit believed that the turnover of the keys was invalid under the Pen/Trap Order, then it should have acted once the district court’s August 1 order issued. It did not.
E.
Lavabit tenders other reasons why we should exercise our discretion to hear its Pen/Trap Statute argument, but we find no merit in those arguments. We doubt that Lavabit’s listed factors could ever justify de novo review of an argument raised for the first time on appeal in a civil case in this circuit.
Many years ago, this circuit held that, “at a minimum, the requirements of [the plain-error standard] must be satisfied before we may exercise our discretion to *290correct an error not raised below in a civil ease.” In re Celotex, 124 F.3d at 631 (emphasis added). It makes no difference then that Lavabit’s Pen/Trap Statute argument presents a supposedly “pure question of law” (Reply Br. 6), or that Lavabit was unrepresented during some of the proceedings below, or that Lavabit believes this case to be one of “public concern” (Reply Br. 6).
At the outset, we do not agree that the issue is a “purely legal” one. At the very least, interpreting the Pen/Trap Statute’s third-party-assistance provision would require us to consider technological questions of fact that have little to do with “pure law.” But even if the question were legal, that would not alone justify our review. Though some circuits will sometimes put aside the plain-error framework when a case presents this sort of question, see, e.g., Villas at Parkside Partners v. City of Farmers Branch, 726 F.3d 524, 582 n. 26 (5th Cir.2013), our precedents do not embrace that approach. To the contrary, we have taken a more structured view, recognizing that the forfeiture rule “is a salutary rule even where the ground urged for reversal is a pure question of law.” Legg’s Estate v. Comm’r, 114 F.2d 760, 766 (4th Cir.1940); accord Richison v. Ernest Grp., Inc., 634 F.3d 1123, 1128-30 (10th Cir.2011) (rejecting a party’s contention that a forfeited but “purely legal” issue could be considered outside the plain-error framework).
Nor does it matter that Lavabit and Levison were unrepresented by counsel during parts of the proceedings below.17 “Although pro se complaints [and arguments] are to be liberally construed, the failure to first present claims to the district court generally forecloses our consideration of these matters on appeal.” United States v. Ferguson, 918 F.2d 627, 630 (6th Cir.1990); cf. Williams v. Ozmint, 716 F.3d 801, 810-11 (4th Cir.2013) (“We long have recognized that, despite our expansive consideration of the pleadings of pro se litigants, ... appellate courts should not permit ... fleeting references to preserve questions on appeal.”). Neither this Court nor the Supreme Court has ever “suggested that procedural rules in ordinary civil litigation should be interpreted so as to excuse mistakes by those who proceed without counsel.” McNeil v. United States, 508 U.S. 106, 113, 113 S.Ct. 1980, 124 L.Ed.2d 21 (1993), Especially given Lavabit’s on-again-off-again relationship with various legal counsel, no reason exists to do so here.18
Finally, Lavabit proposes that we hear its challenge to the Pen/Trap Order be*291cause Lavabit views the case as a matter of “immense public concern.” (Reply Br. 6.) Yet there exists a perhaps greater “public interest in bringing litigation to an end after fair opportunity has been afforded to present all issues of law and fact.” United States v. Atkinson, 297 U.S. 157, 159, 56 S.Ct. 391, 80 L.Ed. 555 (1936). And exhuming forfeited arguments when they involve matters of “public concern” would present practical difficulties. For one thing, identifying cases of a “public concern” and “non-public concern” — divorced from any other consideration — is a tricky task governed by no objective standards. See, e.g., Tony A. Weigand, Raise or Lose: Appellate Discretion and Principled Decision-Making, 17 Suffolk J. Trial & App. Advoc. 179, 280-87 (2012) (describing vagueness and other problems with a “public importance” approach); Barry A. Miller, Sua Sponte Appellate Rulings. When Courts Deprive Litigants of an Opportunity to Be Heard, 39 San Diego L.Rev. 1253, 1306-07 (2002) (“[W]hat is an important public interest to one court will be unimportant to another. The line will be particularly difficult to draw and will often appear nakedly political.”). For another thing, if an issue is of public concern, that concern is likely more reason to avoid deciding it from a less-than-fully litigated record. See, e.g., Kingman Park Civic Ass’n v. Williams, 348 F.3d 1033, 1039 (D.C.Cir.2003) (“The issue presented, however, is of sufficient public importance and complexity to counsel strongly against deciding it in this posture.”); Carducci v. Regan, 714 F.2d 171, 177 (D.C.Cir.1983) (refusing to excuse procedural waiver where ease involved “important questions of far-reaching significance”). Accordingly, we decline to hear Lavabit’s new arguments merely because Lavabit believes them to be important.
In sum, Lavabit’s assorted reasons to exercise any discretionary review authority do not convince us to review its Pen/Trap Statute arguments de novo. If Lavabit is to succeed on its Pen/Trap Statute claim, it must at least show plain error.
III.
A.
The Pen/Trap Statute requires law enforcement authorities to obtain court orders to install and use pen registers and trap/trace devices. The requirements for these orders are less onerous than the requirements that apply to Government requests for the “content” of communications, as pen/trap devices do not collect “content” but only information associated with the transfer of that content.19 As to internet communications, pen/trap devices collect only metadata, such as an email’s “To:” and “From:” fields, the date and time of transmissions, and user login information. See 18 U.S.C. § 3127(3), (4) (forbidding pen registers and trap/trace devices from collecting “the contents of any communication”).
The Pen/Register Statute also includes provisions requiring third parties to provide technical assistance to the Government in connection with those devices. See 18 U.S.C. §§ 3124(a), (b). Under the pen-register provision, for instance, Lava-bit must provide:
all information, facilities, and technical assistance necessary to accomplish the installation of the pen register unobtrusively and with a minimum of interference with the services that the person so ordered by the court accords the party *292with respect to whom the installation and use is to take place.
Id. § 8124(a). Similarly, under the trap/ trace provision, Lavabit must furnish:
all additional information, facilities and technical assistance including installation and operation of the device unobtrusively and with a minimum of interference with the services that the person so ordered by the court accords the party with respect to whom the installation and use is to take place, if such installation and assistance is directed by a court order as provided in section 3123(b)(2) of this title.
Id. § 3124(b) (emphasis added).
Thus, Sections 3124(a) and (b) are similar, but not identical. The pen-register provision refers only to information “necessary to accomplish the installation,” id. § 3124(a), while the trap/trace provision references information “including installation and operation,” id. § 3124(b).
B.
Lavabit now argues that the third-party-assistance provisions found in Sections 3124(a) and (b) do not reach the SSL keys. It reads those provisions to require only enough assistance to attach the pen/trap device to Lavabit’s system, not any assistance necessary to make the device operationally effective. Further, Lavabit contends that it needed to offer only enough help to make the installation unobtrusive. And it insists that Congress never could have intended to grant the Government the broad power to ask for encryption keys through the more general language found in the third-party-assistance provisions.
All these new arguments notwithstanding, Lavabit failed to make its most essential argument anywhere in its briefs or at oral argument: it never contended that the district court fundamentally or even plainly erred in relying on the Pen/Trap Statute to compel Lavabit to produce its keys. Yet Lavabit bears the burden of showing, “at a minimum,” plain error. Cf. United States v. Carthorne, 726 F.3d 503, 510 (4th Cir.2013) (noting, in criminal context, that the appealing defendant bears the burden of showing plain error); see also, e.g., Abernathy v. Wandes, 713 F.3d 538, 553 n. 12 (10th Cir.2013) (noting in civil context that the party that failed to preserve his argument bears the burden of showing plain error). And “[a] party’s failure to raise or discuss an issue in his brief is to be deemed an abandonment of that issue.” Mayfield v. Nat’l Ass’n for Stock Car Auto Racing, Inc., 674 F.3d 369, 377 (4th Cir.2012); see also IGEN Int’l, Inc. v. Roche Diagnostics GmbH, 335 F.3d 303, 308 (4th Cir.2003) (“Failure to present or argue assignments of error in opening appellate briefs constitutes a waiver of those issues.”). Taken together, these two principles carry us to one inevitable conclusion: Lavabit’s “failure to argue for plain error and its application on appeal ... surely marks the end of the road for [its] argument for reversal not first presented to the district court.” Richison, 634 F.3d at 1131; see also Jackson v. Parker, 627 F.3d 634, 640 (7th Cir.2010) (rejecting party’s plain error argument where, among other things, he “ha[d] not made an attempt — either in his briefs or at oral argument — to show that the elements for plain error review ha[d] been satisfied”).
Lavabit abandoned any argument that the district court plainly erred, much less fundamentally erred, in relying upon the Pen/Trap Order to find Lavabit in contempt. Moreover, Lavabit fails to identify any potential “denial of fundamental justice” that would justify further review. For the same reason, then, Lavabit has abandoned that argument as well.
*293C.
We reiterate that our review is circumscribed by the arguments that La-vabit raised below and in this Court. We take this narrow course because an appellate court is not a freestanding open forum for the discussion of esoteric hypothetical questions. See Swann v. Charlotte-Mecklenburg Bd. of Educ., 489 F.2d 966, 967 (4th Cir.1974) (“[The] Court does not sit to render decisions on abstract legal propositions or advisory opinions.”). Rather, we adjudicate the legal arguments actually raised. See Eriline Co. S.A. v. Johnson, 440 F.3d 648, 654 (4th Cir.2006) (observing that our “system of justice” is one “in which the parties are obliged to present facts and legal arguments before a neutral and relatively passive decision-maker”). Our conclusion, then, must tie back to the contempt, as the actual order on appeal, and the proceedings below, as the record that constrains us.
IV.
Lavabit also raises several challenges to the seizure warrant, but we need not, should not, and do not reach those arguments. The district court’s orders compelling Lavabit to turn over its encryption keys relied on two, separate independent grounds: the Pen/Trap Order and the seizure warrant. Thus, the court’s later finding of contempt found that Lavabit violated both the two prior orders. When two independent bases support a district court’s contempt order, it is enough for us to find that one of those bases was appropriate. See Consol. Coal Co. v. Local 1702, United Mineworkers of Am., 683 F.2d 827, 831-32 (4th Cir.1982) (declining to address second of two independent bases for contempt order where first basis was properly affirmed). This contempt-specific rule flows from the more general maxim that, “[t]o obtain reversal of a district court judgment based on multiple, independent grounds, an appellant must convince us that every stated ground for the judgment against him is incorrect.” Sapuppo v. Allstate Floridian Ins. Co., 739 F.3d 678, 680 (11th Cir.2014).
Furthermore, some of Lava-bit’s additional arguments implicate constitutional concerns. Those concerns provide even more reason to avoid addressing La-vabit’s new arguments. “The principle of constitutional avoidance ... requires the federal courts to avoid rendering constitutional rulings unless absolutely necessary.” Norfolk S. Ry. Co. v. City of Alexandria, 608 F.3d 150, 157 (4th Cir.2010) (citing Ashwander v. Tenn. Valley Auth., 297 U.S. 288, 347, 56 S.Ct. 466, 80 L.Ed. 688 (1936) (Brandeis, J., concurring)); see also Bell Alt. Md., Inc. v. Prince George’s Cnty., Md., 212 F.3d 863, 865 (4th Cir.2000) (“[C]ourts should avoid deciding constitutional questions unless they are essential to the disposition of a case.”). So, we “will not decide a constitutional question, particularly a complicated constitutional question, if another ground adequately disposes of the controversy.” Strawser v. Atkins, 290 F.3d 720, 730 (4th Cir.2002). The long-established constitutional-avoidance rule applies squarely to this case.
V.
In view of Lavabit’s waiver of its appellate arguments by failing to raise them in the district court, and its failure to raise the issue of fundamental or plain error review, there is no cognizable basis upon which to challenge the Pen/Trap Order. The district court did not err, then, in finding Lavabit and Levison in contempt once they admittedly violated that order. The judgment of the district court is therefore
AFFIRMED.
4.1.7. “Apple vs. FBI”: Order Compelling Apple, Inc. to Assist Agents in Search (C.D. Cal. Feb. 16, 2016)
Wikipedia has a whole article about the Apple vs. FBI dispute. Here's a timeline from USA Today, and here's a helpful overview on Lawfare from Prof. Bobby Chesney of UT-Austin Law.
4.1.8 [OPTIONAL] In re Apple, Inc. (E.D.N.Y. 2016) 4.1.8 [OPTIONAL] In re Apple, Inc. (E.D.N.Y. 2016)
This is a very lengthy opinion, but it's worth a read if you have the time and curiosity: it provides a clear, cogent explanation of how a bunch of different federal laws interact in the context of a government attempt to make Apple unlock a suspect's iPhone (in a different case in Brooklyn from the San Bernardino shooter case in California). No time to read a long court opinion? Here's Prof. Bobby Chesney's explanation of the Brooklyn court's ruling, which contextualizes it against the background of the then-ongoing "Apple vs. FBI" dispute in California.
IN RE Order Requiring APPLE, INC. to Assist in the Execution of a Search Warrant Issued by this Court.
15-MC-1902 (JO)
United States District Court, E.D. New York.
Signed February 29, 2016
*344Lauren Howard Elbert, Ameet B. Ka-brawala, Saritha Komatireddy, United States Attorney’s Office, Brooklyn, NY, for United States of America.
Marc J. Zwillinger, Jeffrey G. Landis, Zwillgen PLLO, Washington, DC, Kenneth M. Dreifach, Zwillgen, New York, NY, for Apple Inc.
MEMORANDUM AND ORDER
The government seeks an order requiring Apple, Inc. (“Apple”) to bypass the passcode security on an Apple device. It asserts that such an order will assist in the execution of a search warrant previously issued by this court, and that the All Writs Act, 28 U.S.C. § 1651(a) (the “AWA”), empowers the court to grant such relief. Docket Entry (“DE”) 1 (Application). For the reasons set forth below, I conclude that under the circumstances of this case, the goveimment has failed to establish either that the AWA permits the relief it seeks or that, even if such an order is authorized, the discretionary factors I must consider weigh in favor of granting the motion. More specifically, the established rules for interpreting a statute’s text constrain me to reject the government’s interpretation that the AWA empowers a court to grant any relief not outright prohibited by law. Under a more appropriate understanding of the AWA’s function as a source of residual authority to issue orders that are “agreeable to the usages and principles of law,” 28 U.S.C. § 1651(a), the relief the government seeks is unavailable because Congress has considered legislation that would achieve the same result but has not adopted it. In addition, applicable case law requires me to consider three factors in deciding whether to issue an order under the AWA: the closeness of Apple’s relationship to the underlying criminal conduct and government investigation; the burden the requested order would impose on Apple; and the necessity of imposing such a burden on Apple. As explained below, after reviewing the facts in the record and the parties’ arguments, I conclude that none of those factors justifies imposing on Apple the obligation to assist the government’s investigation against its will. I therefore deny the motion.
I. Background
On June 6, 2014, a magistrate judge of this court granted the government’s appli*345cations for a warrant to search the Queens, New York residence of Jun Feng (“Feng”), whom it suspected of involvement in drug trafficking, as well as for warrants to. arrest Feng and other suspected eoconspira-tors. United States v. The premises known and described as 41-21 149th Street, 1st Fl., Queens, NY, 14-MJ-0530 (MDG), DE 2 (search warrant) (sealed); United States v. Shu Yong Yang, et al., 14-CR-0387 (MKB), DE 1 (complaint) & DE 2 (arrest warrants).' Feng was arrested on June 11, 2014, and initially ordered detained; he was subsequently released on conditions on July 18, 2014. Yang, DE 25 (minute entry); DE 26 (detention order); DE 50 (minute order reflecting release). On July 9, 2014, a grand jury sitting in this district issued an indictment accusing Feng and four other named defendants, together with unnamed others, of conspiracy to traffic in methamphetamine. See Yang, DE 47 ¶ 2.
In executing the warrant to search Feng’s residence, agents of the United States Drug Enforcement Agency (“DEA”) properly seized several mobile devices, including Feng’s mobilé telephone. See Govt. II at 5.1 As agents later learned, that telephone was an iPhone 5s that used Apple’s iOS 7 for its operating system.2 See id.', Tr. at7.3
' Over the course of the next year, although the prosecution of Feng and his codefendants moved forward (as did, presumably, the government’s investigation of the unknown others mentioned in the indictment), the government apparently did nothing at all to discover what evidence, if any, could be gleaned from Feng’s iPhone. Instead, it waited until July 6, 2015, to seek a warrant to search that device -and the others .seized from Feng’s residence. See United States v. Cellular Telephone Devices Seized On Or About June 11, 2014 From Premises Located At 41-21 149th Street, First Floor, In Queens, NY, 15-MJ-0610 (VVP), DE 1 (application for warrant to search devices) (the “Device Application”). A magistrate judge of this court granted the latter application and issued a warrant to search the devices that same day. Id., DE 2 (the “Device Warrant”). Like the earlier warrant to search Feng’s residence, this warrant set a two-week time limit on its execution. Id.
At some point during the following two weeks, the government “initiate[d] the execution of the search warrant [for Feng’s *346iPhone] by attempting to search the' device, turning it on and placing it in airplane mode. The [DEA] agents ... began that search but were unable to complete [it} because” the device required a password to allow access to certain information. Tr. at 6. The DEA agents then sought the assistance of the Federal Bureau of Investigation (“FBI”), but remained unable to bypass the iPhone’s passcode security. Id at 6-7; see also Govt. II at 5.
At that point — after the expiration of the two-week' period during which agents were permitted to execute the Device Warrant — the government sought Apple’s technical assistance. See Govt. II at 6; Tr. at 6. There appears to be no dispute that Apple’s response, consistent with its past practice in at least 70 instances, was that it could and would unlock Feng’s phone for the agents, but only if a court issued a lawful order requiring it to do so. See Govt. II at 6-7; Tr. at 7-8. Also’ consistent with past practice, Apple provided the agents with the specific technical language it deemed sufficient to make clear its obligation to provide the services that would allow the agents to gain access to the iPhone’s passcode-protected data. See Govt. II at 6-7; Tr. at 7-8, 56-57.4
On October 8, 2015,' the government filed the instant Application, together with the proposed order that Apple had helped it draft. Relying exclusively on the AWA (and cases interpreting it) for authority, the government made several pertinent factual assertions beyond those recounted above:
• “Because the iOS device is locked, law enforcement agents are not able to examine the data stored on the iOS device as commanded by the search warrant.” ' Govt. Fat 1..
• “[I]n other cases, courts have ordered Apple to assist in effectuating search warrants under the authority of the All Writs Act. Additionally, Apple has complied with such orders,” Id. at 2.
• “The requested order would enable agents to comply with this' Court’s warrant commanding that the iOS device be examined for evidence identified by the warrant.” Id.
• “Examining the iOS device further without Apple’s assistance, if it is possible at all, would require significant . resources and may harm the iOS device.” Id. at 2-3.
*347• “[T]he [requested] order is not likely to place any unreasonable burden on Apple.” Id. at 3.
On October 9, 2015, I issued a Memorandum and Order that declined to rule on the Application ex parte, and instead afforded Apple an opportunity to be heard in advance of any decision about the applicability of the AWA in the circumstances of this case. DE 2, In re Order Requiring Apple, Inc. to Assist in the Execution of a Search Warrant Issued by this Court, 2015 WL 5920207 (E.D.N.Y. Oct. 9, 2015). I simultaneously directed the Clerk to maintain the Application — but not the Memorandum and Order, which revealed no factual details of the matter — under seal, on the mistaken assumption that its public dissemination could adversely affect an ongoing criminal investigation.' DE 3. In its subsequent submission, the government stated that it had never intended to submit under seal- either the Application or the proposed order (both of which it attached to its publicly filed legal memorandum), and also noted that the 2015 search warrant authorizing the search of Feng’s iPhone was already available on the public docket. See Govt. II at 2 n.l & Ex. A.
Apple submitted its initial opposition to the Application on October 19, 2015; the government replied on October 22, 2015; Apple filed a supplemental response on October 23, 2015;5 and I’ heard oral argument on October 26, 2015. See Apple I; Govt. II; Apple II; DE 18 (minute entry). At oral argument, it becahae apparent that there were a number of factual and legal issues that the government and Apple should have further opportunity to address, and I therefore set a schedule for them to file post-hearing submissions.' DE 18. Apple and the government filed their respective supplemental "briefs on October 28,2015. See Govt. Ill; Apple III.
The accelerated briefing and argument schedule described above was not a.reflection of the simplicity of the issues in dispute. Rather, it accommodated the government’s interest in Resolving the matter (both before me and on review of, my decision by a district judge) in sufficient time to use any evidence it -might secure with Apple’s assistance at Feng’s trial, which was then scheduled to begin on November 16, 2015. See Govt. II.at. 4. However, just one day after the oral argument .in this case, the cour,t, scheduled a proceeding to have Feng enter a new. plea; two days later, on. October 29, 2015, Feng pleaded guilty pursuant to an agreement with the government.- See Yang, Scheduling Order dated Oct. 27, 2015;.,id,,- DE 119 (transcript of plea allocution dated Oct. 29, 2015) (“Allocution”) at 12-13 (confirming Feng’s agreement with the government). In notifying me of Feng’s plea on the day it was entered, the government wrote that it “persists” in the .pending . Application, “but in view of the guilty plea, no longer requests expedited treatment.” DE 22.
*348Because the desire to secure potential evidence for Feng’s trial was the only basis for seeking Apple’s assistance that the government had identified up to that point, see Govt. II at 3 (“[t]he government seeks evidence relevant to a defendant’s guilt in a federal criminal case”), I promptly directed the government to explain why the Application was not moot. Order dated Oct. 30, 2015. The government responded that same day. It noted that Feng has yet to be sentenced, and that his case therefore remains open — although it did not attempt to explain how any information on the iPhone might alter the advisory sentencing guidelines range that would apply based on factors, including the amount and type of drugs involved in the offense, that the parties agreed the court could take into account. See DE 25 at 2; Allocution at 14-16. In addition to relying on the continuing potential need for evidence against Feng, the government also proffered a new theory: it noted that “Feng pleaded guilty to a narcotics conspiracy, and the government’s investigation into that conspiracy is ongoing. The underlying search warrant authorizes the government t'o seize evidence relating to Feng ‘and others,’ including ‘customers’ and ‘sources of drugs.’ ” DE 25 at 1 (quoting Application, Ex. A, Attachment B).6
For several months after Feng’s plea and the government’s letter, this case progressed no further. On February 12, 2016 — apparently unprompted by any development in this case, but just as apparently, in hindsight, reacting to developments elsewhere — Apple filed a letter in response to the government’s submission about the procedural viability of the Application in light of Feng’s plea. Apple eschewed comment on whether the government’s ongoing hunt for unindicted others, or the prospect of Feng’s sentencing, sufficed to keep the controversy alive. Instead, Apple alluded to “additional requests similar to the one underlying the case before this Court” and the fact that it has “been advised that the government intends to continue to invoke the All Writs Act in this and other districts in an attempt to require Apple to assist in bypassing the security of other Apple devices in the government’s possession.” DE 26 (letter dated Feb. 12, 2016) at 1. Based on those similar requests and the anticipation of further motions under -the AWA, Apple asserted that this matter “is not moot because it is capable of repetition, yet evading review.” Id. at 2 (citing United States v. N.Y. Tel. Co., 434 U.S. 159, 190 n. 6, 98 S.Ct. 364, 54 L.Ed.2d 376 (1977)).
I recognized that while Apple’s letter identified a sound legal theory, it did not supply a sufficiently particularized factual basis for applying it in this case. Moreover, it was apparent that those unreported facts might bear on a number of legal issues about which the parties had disagreed at oral argument. I therefore directed Apple to provide, among other things, specific details of the requests it had received from the government during the pendency of this action, the position Apple had taken in response, and the re-*349suits of those requests. See Order dated Feb. 16, 2016. Although I did not require a response until March 1, 2016, Apple supplied the requested information the next day. DE 27 (letter dated Feb. 17, 2016). In that response, Apple identified nine requests filed in federal courts across the country from October 8, 2015 (the date of the instant Application) through February 9, 2016. Id. at .2. In each, Apple has. been ordered under the authority of the AWA (or has been told that an order has been requested or entered) to help the government bypass the. passcode security of a total of twelve devices; in each such case in which Apple has actually received a court order, Apple has objected. Id. None of those cases has yet been finally resolved, and Apple reports that it has not to date provided the requested assistance in any of them. Id. at 2-3.
In addition to the nine , new cases described above, Apple also reported that as recently as February 16, 2016, shortly after my own order of the same date, the United States District Court for the Central District of-California had entered an ex parte order under the AWA- directing Apple -
to perform even more burdensome and involved engineering than that sought in the case currently before this Court— i.e., to create and load Apple-signed software onto the subject iPhone, device to circumvent the security and anti-tampering features of the device in order to enable the government to hack the pas-scode to obtain access to the protected data contained therein.
Id. at 1 (citing DE 27-1 (copy of In the Matter of the Search of an Apple iPhone Seized During the Execution of a Search Warrant on a Black Lexus IS300, California License Plate 35KGD203, No.) (the “California” action), Order Compelling Apple, Inc. to Assist Agents in Search (C.D.Cal. Feb. 16, 2016)). On February 22, 2016, the government confirmed that Apple’s description of the recent requests could properly be filed on the public docket without jeopardizing any pending criminal investigation; in doing so, it noted the existence of yet one more case in which a court has ordered Apple to help the government bypass the passcode security of a locked device.. ,-DE 28. This matter is therefore, one of =a dozen pending cases in which the goyernment and Apple disagree as to the court’s authority to command Apple to assist the government in defeating the passcode security of devices Apple has manufactured.7
II. Discussion
A. Mootness.
-As a threshold matter, I agree with the government that its Application is not moot as a, result of Feng’s guilty plea. Whether the government will ever actually use any information it may find on Feng’s phone either to litigate the sentencing phase of Feng’s prosecution or to identify and prosecute the coconspirators, customers, and suppliers the government is pursuing, is ultimately of no moment. The government enjoys the prerogative to conduct lawful investigations into suspected criminal activity as .it sees fit, and in this case it chooses to search for evidence on Feng’s iPhone notwithstanding the fact that Feng’s guilt has been established. Having made that choice, it is free to take the position it does here, and a ruling on the Application will therefore resolve a live dispute about whether Apple must unwillingly be compelled- to provide the assis*350tance the government seeks. The matter is therefore not moot.8 -
B. The All Writs Act
For as long as this nation has had courts established by Congress pursuant to Article III of the Constitution, those courts have been endowed with- broad statutory authority to ensure they could effectively carry out the duties of an independent judiciary by issuing the orders necessary to do so — even if Congress had not had the foresight to create all of the procedural mechanisms tfiat might be required. As initially enacted by the First Congress in 1789, the AWA provided: -
That all the before-mentioned cóurts of the United States, shall have power to issue writs of scire facias,' habeas corpus, and all other writs not .specially provided for by statute, which may be necessary for the exercise of their respective jurisdictions, and agreeable to the principles and usages of law.
Judiciary Act of 1789, 1 Stat. 73, § 14 (Sept. 24, 1789); see id. §§ 1-5 (establishing the courts mentioned in Section 14). That language has been amended only twice in the succeeding centuries, and never in any substantive way. In 1948, when Congress codified federal criminal law in Title 18 of the United States Code,’ it rendered the statute’s text in a more modern style by removing the reference to two specific common law writs, it updated the language to reflect the broader array of federal courts then in existence, it expanded>“necessary” to “necessary or appropriate”,- and it decided (for reasons that I cannot imagine have -any impact on this case) to-switch the order of-words “principles” and “usages”:
The Supreme Court and all courts established by Act of Congress may issue all writs necessary or appropriate in aid of their respective jurisdictions agreeable to the usages and principles of law.
80 Pub.L. 772, 62 Stat. 683, 944 (June 25, 1948). A year later, Congress merely inserted the word “and” before the word “agreeable”. See 81 Pub.L. 72, § 90, 63 Stat. 89, 102 (May 24, 1949). Thus, as currently formulated, the AWA provides, in pertinent part:
The Supreme Court and-all courts established by Act of Congress may issue all writs necessary or appropriate in aid of their respective jurisdictions and agreeable to the usages and principles of law.
28 U.S.C. § 1651(a).
The plain text of the statute thus confers on all federal courts the authority to issue orders where three-requirements are satisfied: ...
1. issuance of the writ must be “in aid of’ the issuing court’s jurisdiction;
2. the type of writ requested must be “necessary or appropriate” to provide such aid to the issuing court’s jurisdiction; and
3. the issuance of, the writ must be “agreeable to the usages and principles of law.”
*351If an application under the AWA meets all three of. those requirements, the court “may” issue the- requested writ in the exercise of its discretion — but it is never required to do so. See, e.g., Application of U.S. in Matter of Order Authorizing Use of a Pen Register, 538 F.2d 956, 961 (2d Cir.1976), rev’d on other grounds, United States v. N.Y. Tel. Co., 434 U.S. 159, 98 S.Ct. 364, 54 L.Ed.2d 376 (1977); Morrow v. District of Columbia, 417 F.2d 728, 736 (D.C.Cir.1969); Paramount Film Distributing Corp. v. Civic Center Theatre, Inc., 333 F.2d 358, 360 (10th Cir.1964); Chemical & Indus. Corp. v. Druffel, 301 F.2d 126, 129 (6th Cir.1962). A court deciding whether to take such discretionary action should consider three additional factors:
1. the closeness of the relationship between the person or entity to whom the proposed writ is directed and the matter over which the court has jurisdiction;
2. the reasonableness of the burden to be imposed on the writ’s subject; and
3. the necessity of the requested writ to aid the court’s jurisdiction (which does replicate the second statutory element, despite the overlapping language).
See N.Y. Tel. Co., 434 U.S. at 174-78, 98 S.Ct.'364.
As set forth below, I conclude that in the circumstances of ..this case, the government’s application does not fully satisfy the statute’s threshold requirements: - although the government easily satisfies the statute’s first two elements, the extraordinary relief it seeks cannot be considered “agreeable to the usages and. principles of law.” In arguing to the contrary, the - government posits a reading of the latter phrase so' expansive — and in particular, in such tension with the doctrine of separation of powers — as to cast doubt on the AWA’s constitutionality if adopted. Moreover, I further conclude that even if the statute does apply, all three discretionary factors weigh against issuance of the requested writ, and- that the Application should therefore be denied as a matter of discretion even if it is available as a-matter of law.
C. Statutory Requirements
1. Aid of Jurisdiction
Controlling case law conclusively demonstrates that the government seeks relief that is in aid of this court’s jurisdiction for purposes of the AWA. To be sure, Justice Stevens, in a dissenting opinion in N.Y. Tel. Co. (reflecting the views of himself and Justices Brennan, Marshall, and Stewart), persuasively explained the important distinction between the judiciary’s interest in authorizing á search and the executive’s wholly different agenda in using that authority to gather evidence — and •simultaneously demonstrated that the casé law interpreting the AWA had consistently reflected that distinction. See N.Y. Tel. Co., 434 U.S. at 186-90, 98 S.Ct. 364 (Stevens, J., dissenting); id. at 178, 98 S.Ct. 364 (Stewart, J., concurring in part and dissenting in part) (joining Part II of Justice Stevens’ dissent).
The N.Y.'- Tell Co. majority, however, decisively rejected the dissenters’ arguments:
The dissent’s attempt to draw a distinction between orders in aid of a court’s own duties and jurisdiction and orders designed to better enable a party to effectuate his rights and duties ... is specious. Courts normally exercise their jurisdiction only in order to protect the legal rights of parties. In Price v. Johnston, 334 U.S. 266, 68 S.Ct. 1049, 92 L.Ed. 1356 (1948), for example, the production of the federal-prisoner in-court was required in order to enable him to effectively present his appeal which the court had jurisdiction to hear. Similar*352ly, in Harris v. Nelson, 394 U.S. 286, 89 S.Ct. 1082, 22 L.Ed.2d 281 (1969), discovery was ordered in connection with a habeas corpus proceeding for the purpose of enabling a prisoner adequately to protect his rights. Here, we have held that Fed. Rule Crina. Proc. 41 provided the District Court with power to authorize the FBI to install pen registers. The order issued by the District Court compelling the Company to provide technical assistance was required to prevent nullification of the court’s warrant and the frustration of the Government’s right under the warrant to conduct a pen register surveillance, just as the orders issued in Price and Harris were necessary to protect the rights of prisoners.
Id. at 175 n. 23, 98 S.Ct. 364. Thus, regardless of the persuasiveness of any argument to the contrary, I am constrained to conclude that, as a general matter, it would normally be in aid of the court’s jurisdiction to order Apple to assist the government in executing a valid warrant to search Feng’s device.
Further, the fact that the warrant to be enforced expired long before the government sought to compel Apple’s assistance in executing it does nothing to extinguish the court’s jurisdiction. Although the general rule is that the government must execute a search warrant no more than fourteen days after its issuance, Fed.R.Crim.P. 41(e)(2)(A)(i), in the context of a warrant to seize electronic storage media such as Feng’s device, that time limit “refers to the. seizure or on-site copying of the media ,.. and not to any later off-site copying or review.” Fed.R.Crim.P. 41(e)(2)(B), Accordingly, ordering Apple to help the government bypass the passcode security on Feng’s device would be in aid of this court’s jurisdiction for purposes of the AWA.
2. Necessary or Proper
I likewise readily conclude that the requested order to Apple is “necessary or appropriate” within the meaning of the AWA. “Indeed, ‘[ujnless appropriately confined by Congress, a federal court may avail itself of all auxiliary writs as aids in the performance of its duties, when the use of such historic aids is calculated in its sound judgment to achieve the ends of justice entrusted to it.’” N.Y. Tel. Co., 434 U.S. at 172-73, 98 S.Ct. 364 (quoting Adams v. United States ex rel. McCann, 317 U.S. 269, 273, 63 S.Ct. 236, 87 L.Ed. 268 (1942)).9
3. Agreeable to the Usages and Principles of Law
The question whether the AWA permits the relief sought here thus re*353duces to whether it is “agreeable to the usages and principles of law” to compel Apple — a private party with no alleged involvement in Feng’s criminal activity — to perform work for the government against its will. Federal case law offers little if any guidance on how to understand that term in the context of this case.10 I therefore consider this aspect of the statute in the context of case law that more generally discusses the AWA’s overall furiction as a “gap filler” — that is, a source of interstitial authority that renders it unnecessary for Congress to anticipate every circumstance in which a federal court might properly act to vindicate the rights of parties before it. See, e.g., Harris, 394 U.S. at 300, 89 S.Ct. 1082 (“the purpose and furiction of the All Writs Act to supply the courts with the instruments needed to perform • their duty”) (citations omitted); . Michael v. I.N.S., 48 F.3d 657, 669 (2d Cir.1995) (“[T]he scope of the all writs provision confine[s] it to filling the- interstices of federal judicial power when these gaps threaten['] to thwart the otherwise proper exercise of federal courts’ jurisdiction.”) (quoting Pennsylvania Bureau of Correction v. U.S. Marshals Serv., 474 U.S. 34, 41, 106 S.Ct. 355, 88 L.Ed.2d 189 (1985)).
The limits of such gap-filling authority are easily discerned. At one end of the spectrum, the AWA cannot be interpreted to empower courts to do something that another statute already authorizes (but that might have threshold requirements that cannot be satisfied .in the circumstances of a particular case). See Pennsylvania Bureau of Correction, 474 U.S. at 43, 106 S.Ct. 355. At the other end, the government allows that a court cannot rely on the AWA (or, presumably, anything else) to issue an order that is explicitly or implicitly prohibited under a federal statute. See Govt. Ill at 7.
■ The gap between those two poles is large indeed, and the crux of Apple’s dispute with the government about the meaning of the AWA’s requirement that a writ be “agreeable to the usages and principles of law” is whether the statute fills all of that gap, as the government contends, or only some of it. In particular, unlike the government, Apple contends that a court order that accomplishes something Congress has considered but declined to adopt — albeit without explicitly or implicitly prohibiting it — is not agreeable to the usages and principles of law. See Apple II at 4; Apple III at 4. As explained below, I *354agree. -Before discussing that matter, however, I first, briefly- consider how this-case would come out if, instead of rejecting the government’s 'Understanding of the AWA’s gap-filling function, I adopted it. Even under -that reading of the law, I-believe Apple , has the better argument— both because it is arguable that CALEA11 explicitly absolves a company like Apple of any responsibility to provide the-assistance the government, seeks here and also because even if CALEA does not have such an explicit prohibition, it is part of a larger legislative scheme that is so comprehensive as to imply a prohibition against imposing requirements on private entities such as Apple that the statute.does not affirmatively prescribe.
a. CALEA
i. The Statute’s Purpose and Text
Congress enacted CALEA in 1994 to address its .concern that “new and emerging telecommunications technologies pose problems for law enforcement^]” U.S. Telecom Ass’n v. F.C.C., 227 F.3d 450, 454 (D.C.Cir.2000) (quoting H.R. rep. No.103-827 (“CALEA House Report”), pt. 1, at 14 (Í994)). It designed the statute “to .preserve the government’s ability, pursuant to court order or other lawful authorization, to intercept communications involving advanced technologies such as digital or wireless transmission. modes, or features and services such as call forwarding, speed dialing and conference calling, while protecting the privacy of communications and without impeding the introduction of new technologies, features, and services[.]” Id. (quoting CALEA House Report at 9).12
As part of its effort to ensure that the law would not stem technological progress, the - legislature included several provisions exempting certain kinds of entities from the more general requirement to assist law enforcement in the execution of court orders authorizing various forms of electronic surveillance. These “Limitations” on CALEA’s scope, 47 U.S.C. § 1002(b), fell into three ..categories. First, Congress limited the ability of law enforcement to prescribe or constrain the services communications companies could offer their customers and the equipment and systems used to market them:
Design of features and systems , configurations. This subchapter. does not authorize any law enforcement agency or office
(a) to require any- specific design, of equipment, facilities, services, features, or system configurations, to be adopted by any provider of a wire or electronic communication service, any manufacturer of telecommunications equipment, or any provider of telecommunications support services;
(b) to prohibit the adoption of any equipment, facility, service, or feature by any provider of a wire or electronic communication service, any manufacturer of telecommunications equipment, or any provider of telecommunications support services.
47 U.S.C. § 1002(b)(1).
Second, Congress explicitly exempted certain types of businesses from the statute’s- obligations to assist law enforcement:
*355Information services; private networks and interconnection services and' facilities.
The requirements of subsection (a) of this section do not apply to—
(A) information services; or
(B) equipment, facilities, or services that support the transport or switching of communications for private networks or for the sole purpose of interconnecting telecommunications carriers.
Id. § 1002(b)(2).
Finally, Congress largely (but not completely) exempted from CALEA’s general requirement of private assistance to law enforcement a requirement that businesses help agents bypass any encryption that might shield communications from .surveillance:
Encryption. A telecommunications carrier shall not be responsible for decrypting, or ensuring the government’s ability to decrypt, any communication encrypted by a subscriber or customer, unless the encryption was provided by the carrier and the carrier possesses the information necessary'to decrypt the communication.
ii. Application to Construction of the AW A
Both the government and Apple,agree' that CALEA does not compel a private company such as Apple to provide the kind of assistance the government seeks here. See Govt. II at 22';' Apple II at 5. They disagree as to why that is so: the government contends that CALEA simply has nothing to say on the matter, while Apple argues that the omission reflects a legislative choice. As explained below, Apple’s argument has more merit.
' The government suggests that CALEA imposes duties on telecommunications carriers only with respect to what it calls “data ‘in motion’ ” and then adds that “[b]y contrast, this case involves evidence already stored on a cell phone (data ‘at rest’).” .Govt. II at 22; see also Govt. Ill at.9-10.14 From there, it argues that the statutory language exempting “information services” from comparable duties is irrelevant, regardless of whether Apple qualifies as such a service, because the information it seeks to seize from Feng’s iPhone is data “at rest.” See Govt. II at 22 (“CA-LEA is entirely inapplicable to the present dispute”).
The proposition that CALEA makes a distinction between data “at rest” and “in motion” is largely correct as far as it goes, but ultimately misses the point. Even if Congress did not in any way regulate data *356“at rest” in CALEA,15 it plainly could, and did, enact such legislation elsewhere. Bee, e.g., 18 U.S.C. § 2703(f)(1) (requiring “[a] provider of wire or electronic communication services or a remote computing service, upon the request of a governmental entity, [to] take all necessary steps to preserve records and other evidence in its possession pending the issuance of a court order or other process”). Thus, long before the instant Application was filed, Congress enacted legislation to prescribe the private sector’s duties to assist a wide variety of law enforcement investigations — relating to data both “in motion” and “at rest.” Those laws defined the extent to which all sorts of service providers had such duties: telecommunications service providers, information service providers, and the providers of wire and electronic communications. None of those laws imposed any obligation on Apple to provide the assistance at issue here, and in particular, CALEA expressly stated that the assistance requirement did not apply to “information services.” 47 U.S.C. § 1002(b)(2)(A).16
The latter point is pertinent because, as Apple persuasively argues, “Apple is substantially engaged in the provision of ‘information services’ as that term is defined under CALEA, and thus could be considered an information services provider.”
Apple III at 1 (citing 47 U.S.C. § 1001(6)). As Apple notes:
Under CALEA “information services” means the “offering of a capability for generating, acquiring, storing, transforming, processing, retrieving, utilizing, or making available information via telecommunications,” and “includes a service that permits a customer to retrieve stored information from, or file information for storage in, information storage facilities; electronic publishing; and electronic messaging services.” [47 U.S.C.] § 1001(6).
Apple is substantially engaged in developing and offering products that provide such capabilities. For example, Apple’s iTunes service allows customers to purchase, store, and access music, movies, television shows, games and apps via an Internet-connected Apple device, such as an iPhone[.] iTunes thus constitutes an “information service” under CALEA by providing “a capability for ... acquiring, storing ... [and] retrieving ... information via telecommunications.” Id. Similarly, iMessage allows Apple customers (connected over the Internet) to communicate by messages sent and received via their iPhone[.]
Apple III at 1-2.
CALEA thus prescribes for telecommunications carriers certain obligations with re*357spect to law enforcement investigations that it does not impose on a category of other entities — describe^ .as “information service providers” — that easily encompasses Apple. Thus, as Apple argues with some justification, “the bounds of manda: tory law enforcement assistance were drawn by CALEA, and drawn in such a way to exclude the relief the government seeks.” Id. at 4.
To be sure, CALEA by itself has limits that render that one statute less than comprehensive. But considered together with other statutes prescribing the extent to which law enforcement may secure access to a wide array of data — both “in motion” and “at rest” — as well as the obligations of some private, entities but not others to provide affirmative assistance to such investigations, the statute is easily seen as part of a comprehensive legislative scheme. The absence from that comprehensive scheme of any requirement that Apple provide the assistance sought here implies a legislative decision to prohibit the imposition of such a duty.17 Thus, even under the government’s reading of the AWA, -I would conclude that while the matter is a close call, the Application seeks an order that is not “agreeable to the usages and principles of law.”
b. Statutory Construction
If the best reading of CALEA produces a conclusion that it prohibits the relief the government seeks here, then the Application must be denied even under the government’s understanding of what it means for a judicial order to be “agreeable to' the usages and principles of law.” But if CA-LEA, considered in the context of a larger statutory scheme, does not erect such a barrier to relief on its own terms, then resolution of the Application, turns on whether the gap in laws that the AWA fills is, as the government argues, the entire space between authorizing statutes and legislative prohibitions or if, as Apple would have it, it only reaches to such legislative powers as Congress has not considered and either adopted or rejected. As explained below, I- conclude that Apple’s position is more consistent than the government’s with thé rule of statutory ■construction that requires giving meaning to all statutory words and clauses as well as the rules prohibiting interpretations that produce absurd results or are of suspect constitutionality.
First, as a matter of technical statutory construction, I can find no way to read the statute in a way that gives the required independent meaning to,, three distinct terms in the AWA — “usages”, “principles”, and. “law” — that conforms to the government’s, view of the statute. See, e.g., Duncan, 533 U.S. at 174,121 S.Ct. 2120 (courts have a “duty to give effect, if possible, to every clause and word of a statute”) (quoting Menasche, 348 U.S. at 538-539, 75 S.Ct. 513); United States v. Nordic Vill. Inc., 503 U.S. 30, 36, 112 S.Ct. 1011, 117 L.Ed.2d 181 (1992) (“a statute must, if possible, be construed in such fashion that every word has-some operative effect”); Am. Civil Liberties Union v. Clapper, 804 F.3d 617, 623 (2d Cir.2015) (courts “must ... strive to avoid interpretations of a statute that would render any phrase or *358provision superfluous”) (citing TRW Inc. v. Andrews, 534 U.S. 19, 31, 122 S.Ct. 441, 151 L.Ed.2d 339 (2001)).
“[A]greeable to” means, in essence, “consistent with.” See, e.g., Webster’s Third New International Dietionary of the English Language Unabridged at 43 (Merriam-Webster 2002) (defiliing'“agreeable” to mean, among other things, “in harmony-or keeping:- consistent, -consonant”). Congress could easily have written the AWA to mean what the ¡government says it means simply by requiring that a court’s orders under the-statute must be “agreeable to the law” — because any action not prohibited by law is, by definition, agreeable to the law.18 But the AWA requires an order issued under its aegis to be agreeable not merely to some part of the entire body of law, but to the law’s “usages” and “principles” — which must mean something else. The most natural reading gives meaning to the whole phrase by limiting the permissible orders to those that not only fail to violate legislative prohibitions, but that also- are consonant with both the manner in which the laws were-developed (that is, the “principles” that the laws reflect) and the manner in which the laws have been interpreted and implemented (that is, the “usages” of the various laws). Others may propose plausible alternative interpretations of “agreeable to the usages and principles of ■law.”19 But-whatever each of its words may mean'in isolation, the rules of statutory construction compel me to conclude that their meanings are distinct — and the government’s preferred reading of the AWA does not permit that.
Second, the implications of the government’s position are so far-reaching — both in terms of what it would allow today and what it implies about Congressional intent in 1789 — as to produce impermissibly absurd résults. See, e.g., United States v. Dauray, 215 F.3d 257, 264 (2d Cir.2000) (“A statute should be interpreted in a way that avoids absurd results.”); United *359 States v. Wilson, 503 U.S. 329, 334, 112 S.Ct. 1351, 117 L.Ed.2d 593 (1992) (“absurd results are to be avoided”).
At the heart of the government’s reading is the assuredly correct observation that there are any number of ways in which Congress may fairly be said to have considered legislation' that does not result in the enactment of legislation, and that as a result the only practical way to discern what is'agreeable to the usages and principles of law from what is not is to draw a bright line around what Congress has prohibited — either explicitly or implicitly via the omission of authority from a comprehensive legislative scheme. See Govt. II at 24; Tr. at 15, 37. I agree with the government that “Congressional inaction lacks persuasive significance because several equally tenable inferences may be drawn from such inaction.” Zino Davidoff v. CVS, 571 F.3d 238, 243 (2d Cir.2009) (quoting Cent. Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A., 511 U.S. 164, 187, 114 S.Ct. 1439, 128 L.Ed.2d 119 (1994)) (quoted in Govt, II at 24). But the choice is not quite so binary as the government implies; a reliance on outright prohibition is not the sole -alternative to the chaos of attributing significance to mere legislative inaction. As this case makes clear, the record available to a court considering an application under the AWA will likely have a wealth of information beyond mere congressional inaction — including an array of legislative proposals and hearings that provide a stronger basis for the inferences to be drawn from the ultimate absence of enacted legislation.
As a threshold matter, I respectfully disagree with the government’s view of what is and is not practical.' The duty of faithful adherence to statutory text does not relieve the courts of the frequent need to make judgments about legislative intent, nor does it restrict them to only such interpretive tools as a dictionary may provide.20 There is no reason that a judge, ably guided by competent counsel for adversarial parties as I am here, cannot compare a proposed order under the AWA with the surrounding body of pertinent laws to determine how consonant the two maybe.21
*360Beyond its unduly pessimistic assumptions about a court’s practical ability to properly apply the “usages and principles” clause unless strictly constrained, the government’s construction of the AWA produces absurd results in application. If, for example the President sent to Congress a bill explicitly authorizing a court to issue the kind of order the government seeks here, and if every single member of the House and Senate were to vote against the enactment of such a law citing the kinds of data security and personal privacy concerns that Apple now embraces, the government would nevertheless describe the order sought here as permissible because Congress had merely rejected the bill— however emphatically, and however clear its reasons for doing so — rather than affirmatively passing legislation to prohibit the executive branch’s proposal. Yet in such circumstances, it would be absurd to posit that the authority the government sought was anything other than obnoxious to the law.22
An even starker illustration of the absurdity the government’s construction produces is that it does not allow a court to deem an action beyond the AWA’s reach even if it is an exercise of authority that had formerly been available under a statute that Congress elected to repeal because it was persuaded on policy grounds to retract such authority from the executive. Thus, for example, if communications service providers were to persuade Congress that CALEA had imposed unreasonable burdens on them that threatened their ability to remain in business, Congress could make the choice to repeal that law — -thereby removing the statutory obligation to provide certain types of assistance to law enforcement. And yet in the absence of a statute affirmatively prohibiting the government from requiring a company to provide such assistance, the government would read the AWA to nevertheless allow a court to order those same companies to provide precisely the same assistance to law enforcement that Congress had decided no longer to compel.
In short,'whatever else the AWA’s “usages and principles” clause may be intended to accomplish, it cannot be a means for the executive branch to achieve a legislative goal that Congress has considered and rejected. But because such rejection can take many forms, only one of which (and arguably the least likely in most circumstances) is outright prohibition, the government’s argument here is manifestly irreconcilable with the statute.
The government’s position also produces a wholly different kind of absurdity: the idea that the First Congress might so thoroughly undermine fundamental principles of the Constitution that many of its members had personally just helped to write or to ratify. Its preferred reading of the law — which allows a court to confer on the executive branch any investigative authority Congress has decided to withhold, *361so long as it has not affirmatively outlawed it — would transform the AWA from a limited gap-filing statute that ensures the smooth functioning of the judiciary itself into a mechanism for upending the separation of powers by delegating to the judiciary a legislative power bounded only by Congress’s superior ability to prohibit or preempt. I conclude that the constitutionality of such an interpretation is so doubtful as to render it impermissible as a matter of statutory construction.'
The AWA was enacted as part of the Judiciary Act of 1789, which Justice O’Connor has described as “the last great event in our Nation’s founding” and part of “the triad of founding documents, along with the Declaration of Independence and the Constitution itself[.]” Sandra Day O’Connor,- The Judiciary Act of 1789 and the American Judicial Tradition, 59 U. Cin. L.Rev. 1, 3 (1990); see also Dimitri D. Portnoi, Resorting to Extraordinary Writs: -How the All Writs Act Rises to Fill the Gaps in the Rights of Enemy Combatants, 83 N.Y.U. L.Rev. 293, 296 (2008) (quoting same and providing further discussion of the AWA’s importance). It is no coincidence that an act of such foundational importance, and so essential to the implementation of the constitutional scheme- of a government of limited powers carefully allocated among three separate branches, was enacted during the First Session of the First Congress — because so many of that legislature’s members had themselves taken part in creating .the Constitution itself. Indeed, more than half of the delegates to the Constitutional Convention who signed the Constitution (as well as several dozen delegates to the various state ratifying conventions) were involved in the enactment of Judiciary Act of 1789-.23
It is wholly implausible to suppose that with so many of the newly-adopted Constitution’s drafters and ratifiers in the legislature, the First Congress would so thoroughly trample on that document’s very first substantive mandate: “All legislative Powers herein granted shall be vested in a Congress of the United States[.]” U.S. Const. Art. I, § 1. And yet that is precisely the reading the government proposes when it insists that a court may empower the executive to exercise power that the legislature has considered yet declined to allow. It is a reading that thoroughly undermines both the legislature’s- own prerogative to reject a legislative proposal effectively and efficiently (without the need to affirmatively ban the proposed authority) and the more general protection against tyranny that the Founders believed required the careful separation of governmental powers. See, e.g., Mistretta v. United States, 488 U.S. 361, 380, 109 S.Ct. 647, 102 L.Ed.2d 714 (1989) (”[T]he separation of governmental powers into three coordinate Branches is essential to the preservation of liberty.... Madison ... said: ‘No political truth is certainly of *362greater intrinsic value or is stamped with the authority of more enlightened patrons of liberty.’ ”) (quoting The Federalist No. 47, p; 324 (JY Cook¿ ed.1961); case citations omitted).
The proposition that the government’s interpretation of the ÁWA produces such a violation of the separation-of-powers doctrine is not simply a matter of taking an argument to a speculative, albeit logical, conclusion. To the contrary, it reflects what is going on right now, in this case. The Application before this court is by no means singular: the government has' to date successfully invoked the AWA to secure Apple’s compelled assistance in bypassing the passcode security of Apple devices at least 70 times in the past, see Tr. at 8; it has pending litigation in a dozen more cases in which Apple has not yet been forced to provide such assistance; and in its most recent use of the statute it goes so far. as to contend that a court— without any legislative authority other than the AWA — can require Apple to create a brand new product that impairs the utility of the products it is in the business of selling. It is thus clear that the government is relying on the AWA as a source of authority that is legislative in every meaningful way: something that can be cited as a basis for getting the relief it seeks in case after case without any need for adjudication of the particular circumstances of an individual case (as the arguments that the government relies on here to justify entering an AWA order against Apple would apply with equal force to any instance in which it cannot bypass the pas-scode security of an Apple device it has a warrant to search),24
It is also' clear that the government has made the considered decision that it is better off securing such crypto-legislative authority from the courts (in proceedings that had always been, at the time it filed the instant Application, shielded from public scrutiny) rather than taking the chance that open legislative debate might produce a result less to its liking. Indeed, on the very same day that the government filed the ex parte Application in this case (as well as a similar application in the Southern District of New York, see DE 27 at 2), it made a public announcement that after months of discussion about the need to update CALEA ’ to provide the kind of authority it seeks herd, it would not seek such legislation. See James B. Comey, “Statement Before the Senate Committee bn Homeland Security and Governmental Affairs,” (Oct. 8,2015), https://www.fbi.gov/ news/testimony/threats-to-the-homeland (“The United States government is actively engaged with private companies to ensure they understand the public safety and national security risks that result from malicious actors’ use of their encrypted products and services. However, the administration is not seeking legislation at this time.”).
The government’s interpretation of the breadth Of authority the AWA confers on courts of limited jurisdiction thus raises serious doubts about how such a statute could withstand constitutional scru*363tiny under the separation-of-powers doctrine. It would attribute to the First Congress an anomalous diminishment of its own authority (to deny a request to increase the executive’s investigative powers it deemed inadvisable simply by declining to enact it) as well as an equally implausible intention to confer essentially unlimited legislative powers on the judiciary. Adopting that interpretation
would fly in the face of the doctrine of constitutional avoidance, which “allows courts to avoid the decision of constitutional questions” by providing “a tool for choosing between competing plausible interpretations of a statutory text; resting on the reasonable presumption that Congress did not intend the alternative which raises serious constitutional doubts.”'
Am. Civil Liberties Union v. Clapper, 785 F.3d 787, 808 (2d Cir.2015) (quoting Clark v. Martinez, 543 U.S. 371, 381, 125 S.Ct. 716, 160 L.Ed.2d 734 (2005)) (emphasis in original); see also Clark, 543 U.S. at 380-81, 125 S.Ct. 716 (“If one of [two plausible statutory constructions] would raise a multitude of constitutional problems, the other should prevail — whether or not those constitutional problems pertain to the particular litigant before the' Court.”). I therefore reject the government’s interpretation of the AWA’s gap-filling function, and conclude that a judicial order that would confer authority that Congress has considered and decided not to enact is not “agreeable to the usages and principles of law.”
Applying that interpretation in this case compels the conclusion that the AWA does not authorize the relief the government seeks. In my initial Memorandum and Order in this case, I discussed at some length the history of Congressional consideration in the decades since CALEA’s enactment of updates to the statute that would confer — or withhold — the kind of authority at issue here to compel private actors to assist the government in technologically complex investigations. See 2015 WL 5920207, at *1-3.25 After reviewing that history, I concludéd that “the absence of any explicit statutory authority for the relief the government seeks cannot be attributed to a failure of legislators to consider such an enactment.” Id. at *3. Nothing in the subsequent submissions from the government or Apple suggests a basis for abandoning that conclusion. I therefore conclude that what the government seeks here is “to have the court give 'it authority that Congress chose not to confer.” Id. at *1 — and that, for the reasons explained above, granting such a request is not “agreeable to the usages and principles of law.” '
Accordingly, because the government’s Application fails to satisfy the AWA’s statutory requirements, I 'must deny the request for relief regardless of any analysis of the discretionary factors under N.Y. Tel. *364 Co. As discussed below, however, consideration of those factors would in any event lead to the same result.
D. Discretionary Factors
1. Closeness
a. Apple’s Relationship to Feng’s Criminal Activity
In N.Y. Tel. Co., the Supreme Court held that where there was probable cause to believe that a telephone company’s own property was “being employed to facilitate a criminal enterprise on a continuing basis[,]” and where the company was “ a highly regulated public utility with a duty to serve the public,” the company was not “so far removed from the underlying controversy that its assistance could not be permissibly compelled.” 434 U.S. at 174, 98 S.Ct. 364. I explained in the Memorandum and Order why it appeared that the circumstances of this case are materially different. See 2015 WL 5920207, at *5. After considering the later-submitted arguments from the government and Apple, I adhere to that view, and conclude that unlike the public utility in N.Y. Tel. Co., Apple is too far removed from Feng’s criminal conduct to have any obligation to assist the DEA’s investigation.
To the extent that Feng used his iPhone in committing crimes, he used his own property, not Apple’s. Unlike the telephone company in N.Y. Tel. Co., which owned the facility used for criminal communications, Apple has no ownership interest in anything that the record reveals Feng used to commit a crime. And unlike the telephone company — “a highly regulated public utility with a duty to serve the public,” 434 U.S. at 174, 98 S.Ct. 364— Apple is a private entity with no greater duty to serve the public than any other business.
The government argues that Apple’s relationship to Feng’s criminal activity is sufficiently close, notwithstanding those differences, because, while Feng owned the device itself, he merely licensed from Apple the iOS software on which it runs. See Govt. II at 13. But while the government ably demonstrates what the license forbade Feng from doing — he could not lawfully “rent, lease, lend, sell, redistribute or sublicense the iOS Software[,]” id. (quoting license agreement ¶ B(3)) — it does not explain the significance of that fact in determining the proximity of Apple’s relationship to Feng’s conduct. As far as I can discern from the record, Feng did not at any time “rent, lease, lend, sell, redistribute, or sublicense” Apple’s software; what he did “sell” or “redistribute” was methamphetamine — a course of conduct in which Apple was not involved. Nor does the record support an inference that Feng in any way used the licensed software itself — as opposed to the data it allowed Feng to store on the hardware Apple no longer owns — to facilitate his crimes; to the contrary the record contains an explicit description of the ways in which the government believes Feng used his iPhone to commit his crimes as well as the types of evidence the DEA agents expected to find on it. See Device Application ¶¶ 7-28 & Attachment B. Nothing in that description even remotely suggests that the licensed software played any meaningful role in Feng’s crime comparable to the role the telephone company’s property played in the crimes under investigation in N. Y. Tel. Co 26
*365■Ultimately, the government’s point is not that Apple in any way facilitated Feng’s criminal conduct, but rather that it reaps profits from selling devices (and leasing the software on which those devices run), to a vast group of consumers among whom there are inevitably some criminals. From that premise it draws the following conclusion: “Apple cannot reap the -legal benefits of licensing its software in this manner and then later disclaim any ownership or obligation to assist law enforcement when that same software plays a critical role in thwarting execution of a search warrant.” Govt. II at 13-14. That opinion may be perfectly defensible as moral precept (however-much it may be in tension with the legal system’s otherwise broad support for free enterprise), but-it has nothing to do with the pertinent legal inquiry.27. Apple had no involvement in Feng’s crime, and it has taken no affirmative action to thwart the government’s investigation of that crime (a matter discussed in greater detail below). Apple lawfully sold to Feng, as it sells to millions of law-abiding individuals and. entities (including the government itself), a product that can effectively secure its stored data for the protection of its owner.28 Feng used that device for criminal purposes and left it locked, and the government says it cannot open the lock without Apple’s help. Nothing in N.Y. Tel. Co. remotely suggests that in such circumstances,. Apple is so closely related to the crime under investigation that a court can order its assistance under the AWA,
b. Apple’s, Relationship to the Governments Investigation
The government alternatively posits that Apple is sufficiently dose to the *366underlying controversy for purposes of the AWA because its '“software now thwarts the execution of the search warrant” for Feng’s iPhone. Govt. II at 15. That formulation comes-after (but subtly reinterprets) an earlier quotation from the opinion in N.Y. Tel, Co. As the government notes, in arguing that the court has authority to grant relief under the AWA (as opposed to the distinct question of whether such authority should be exercised as a matter of discretion), ■
The Court held that “[t]he power conferred by the Act extends, under appropriate circumstances, to persons who, though not parties to the orighial action or engaged jn wrongdoing, are in a position to frustrate the implementation of a court order or the proper administration of justice, ... and encompasses even those who have not- taken any affirmative action to hinder justice.”
Govt. II at 11' (quoting N.Y. Tel. Co., 434 U.S. at 174, 98 S.Ct. 364).^ ;
There is no question that the court has the authority under the AWA to compel Apple — or anyone else for that matter — to take action regardless of .whether it was involved in the underlying criminal conduct, so long as it does-so “under appropriate circumstances.” N.Y. Tel. Co., 434 U.S. at 174, 98 S.Ct. 364. ‘But the proposition that Apple’s purported ability to “thwart” the government’s investigation renders it sufficiently close to the underlying controversy as to make such an order appropriate is ultimately unpersuasive. Apple is not doing* anything to keep law enforcement agents from conducting their investigation.- Apple has- not conspired with Feng to make the data on his device inaccessible.29 More importantly, perhaps, it has not even done what the telephone company did in N.Y. Tel. Co. — namely, it has not barred the door to its property to prevent law enforcement agents from entering and performing actions they were otherwise competent to undertake in executing the warrant for themselves.30
Indeed, the government’s complaint is precisely that Apple is doing nothing at all. If Feng had not engaged the passcode security oh his device, or if the government had - been able to secure an order compelling Feng to unlock the phone on pain of contempt saiictions, the government might well be in a position to seize the iPhone’s data without Apple’s assistance. See 2015 WL 5920207, at *5 & n.3.31 Thus, Apple is hot “thwarting” any*367thing — it is instead merely declining to offér assistance. There may well be some for whom the distinction between a third-party’s active obstruction of law enforce- ■ ment and its passive refusal to help is meaningless as a matter of policy. But it is hardly meaningless as a matter of legal analysis.32 In any event, the distinction is one that precludes a finding that Apple’s relationship either to Feng’s crime or to the governinent’s investigation of it is sufficiently similar to the telephone company’s corresponding role in N.Y. Tel, Co. as to justify an order compelling Apple’s assistance.33
*368c. “Minimum Contacts”
In its post-hearing brief, the government offered no new argument about what Apple has done that renders it close enough to Feng’s crime for purposes of N. Y. Tel. Co., but it did posit a new legal standard to apply in considering that discretionary factor. It suggests that all that is required is that Apple have “minimum contacts” — although to what, the government does not say. See Govt. Ill at 6. It wrests that suggestion from the wholly inapposite usage of the phrase in United States v. Int’l Brotherhood of Teamsters, 907 F.2d 277, 281 (2d Cir.1990). As explained below, the argument is unpersuasive.
As another court aptly summarized the nature of the dispute in Teamsters :
[T]he All Writs Act was used in Teamsters to remove state court litigation so as to aid in the enforcement of a district court’s order and to prevent repetitive and burdensome litigation and promote judicial economy, that result was necessary because a consent decree that had been in place for three years was threatened by collateral state lawsuits. The district court determined that an injunction was needed to protect the district court’s jurisdiction over the parties to the consent decree, and proceeded under the authority of the All Writs Act.
Nat’l Fuel Gas Supply Corp. v. 188 Acres of Land in Vill. of Springville, Cty. of Erie, State of New York, 186 F.Supp.2d 339, 345 (W.D.N.Y.2001).
Thus, in Teamsters, there was no question about whether the parties affected by the court’s use of an AWA order were too far removed from involvement in the underlying dispute — the question was instead whether the court had personal jurisdiction over those non-parties who were located outside of New York. See Teamsters, 907 F.2d at 281. Unsurprisingly, the court answered that question of personal jurisdiction by invoking the applicable constitutional standard for a court’s assertion of personal jurisdiction — the “minimum contacts” standard. See id. (citing International Shoe Co. v. Washington, 326 U.S. 310, 316, 66 S.Ct. 154, 90 L.Ed. 95 (1945). Here, by contrast, the question is precisely what it was not in Teamsters: there is no dispute about the court’s personal jurisdiction over Apple, but there is a dispute about whether Apple is too far removed from involvement Feng’s conduct to be subject to an order under the AWA.
2. Burdensomeness
The Supreme Court acknowledged in N.Y. Tel. Co. that a court exercising its authority under the AWA may not impose “unreasonable burdens” on the subjects of its orders. 434 U.S. at 172, 98 S.Ct. 364. In explaining why compelling the telephone company to help the government install a pen register imposed no such unreasonable burden in that case, the Court wrote the following:
[I]t can hardly be contended that the Company, a highly regulated public utility with a duty to serve the public, had a *369substantial interest in not providing assistance. Certainly the use of pen registers is by no means offensive to it. The Company concedes that it regularly employs such devices without court order for the purposes of checking billing operations, detecting fraud, and preventing violations of law. It also agreed to supply the FBI with all the information required to install its own pen registers. Nor was the District Court’s order in any way burdensome. The order provided that the Company be fully reimbursed at prevailing rates, and compliance with it required minimal effort on the part of the Company and no disruption to its operations.
Id. at 174-75, 98 S.Ct. 364 (citations omitted).
The salient points that the Court highlighted as the basis for finding a lack of unreasonable burdens in N.Y. Tel. Co. are virtually all absent here. First, Apple is not a “highly regulated public utility with a duty to serve the public” — the government does not suggest that it is subject to greater regulation than other businesses, it is not a public utility, and it has a duty is to serve its shareholders rather than the public. Second, Apple has indeed contended that it is in its interest as a private company not to provide the assistance sought here: Apple seeks to succeed in a competitive market by being seen to assume “a leadership role in the protection of its customers’ personal data against any form of improper access.” Apple I at 4. Further, Apple claims to fear — reasonably or otherwise — that providing the requested assistance in the absence of clear legal authority (as I conclude is lacking) “could threaten the trust between Apple and its customers and substantially tarnish the Apple brand.” Id.
Third, unlike the pen register at issue in N.Y. Tel. Co., the assistance the government seeks here — bypassing a security measure that Apple affirmatively markets to its customers — is not something that Apple would normally do in the conduct of its own business and is, at least now, plainly “offensive to it.” N.Y. Tel. Co., 434 U.S. at 174, 98 S.Ct. 364.34 To be sure, Apple’s view of what it finds offensive appears to have changed since the days when it routinely voiced no objection to cooperating with AWA orders, and the government’s displeasure with that change is as understandable as it is vehement. But however late Apple may have come to its current view about the way it wishes to exercise its autonomy, the record offers no reason to question its sincerity.35
*370Fourth, again unlike the telephone company in N.Y. Tel. Co., which .“agreed to' supply the FBI with all the information required to install its own pen registers!,]” 434 U.'S. at 175, 98 S.Ct. 364, the record suggests that Apple has never offered the government the information needed to bypass an iPhone’s -passcode security on its own — and would never do so. To the contrary, Apple is clearly staking out the position that as a matter of protecting its customers’ privacy and data security (and as a matter of securing the benefits it derives from doing so), it does not want the government or anyone else to have access, to the information the government would compel it to use to provide the requested assistance at issue here. Apple has explicitly stated. that it will comply with a lawful court order to assist in bypassing the passcode security on Feng’s iPhone, see Tr. at 10, but, it has neyer hinted that it would prefer to simply let the, government have the information necessary to do so. " ,
Fifth, - yet again unlike . the telephone company in N.Y. Tel. Co., which could install a pen register “with ... minimal effort ... and no disruption to its operations!,]” 434 U.S. at 175, 98 S.Ct. 364, the record demonstrates that bypassing the passcode security of just one iPhone “diverts man hours and hardware and software from Apple’s normal business-operations.” Apple I at 3. And while that burden by - itself is not substantial in the case of “a single device in good working order, running an operating system earlier than iOS 8,” id. the record of this 'case makes clear that the burdens the government seeks to impose on Apple under the authority of the AWA are-not nearly so limited. The government has already secured such assistance at least 70 times before filing the instant petition, it has a dozen more such ‘ applications pending, and it clearly intends to continue seeking assistance that is similarly burdensome— if not far more - so — for the foreseeable future. ■ In this context, the government’s assurance that “any cumulative burden is minimal and likely to decrease with regard to the type of relief requested here[,l” Govt. II at 16 (emphasis added) is particularly unconvincing: the government, predicates its argument on the fact that devices using pre-iOS 8 software are becoming an ever smaller slice of Apple’s market. See id. But that argument omits the faqt that the advent of more recent operating -systems has done nothing to slow the. government’s requests— instead, the government continues to seek orders compelling Apple’s assistance in bypassing the passcode security of more recent models and operating systems, notwithstanding the fact that such requests are more - burdensome than the one pending here.36
*371Thus, the government’s argument that the burdens an AWA -order here would impose on Apple are as negligible as those imposed on the telephone company in N.Y. Tel. Co. cannot withstand scrutiny. The government’s remaining . 'arguments against a finding of burden -are similarly unpersuasive. The government essentially argues that having reaped the -benefits of being an American company, it cannot claim to -be. burdened by being seen to assist the government.. See Govt,- II at 19 (noting the “significant legal, infrastructural, and political benefits” Apple derives from being an American company, as well as its “recourse to the American courts” and to the protection of “American law enforcement ... when it believes that it has been the victim of a crime”); id. at 19-20 (“This Court should not entertain an argument that fulfilling basic civic, responsibilities of any American citizen or company ... would ‘tarnish’ that person’s or company’s reputation.”).
Such argument reflects poorly on a government that exists in part to safeguard the freedom of its citizens — acting as individuals or through the organizations they create — to make autonomous choices about how best to balance societal and private interests in going about their lives and their businesses. The same argument could be used to condemn with equal force any citizen’s chosen form of dissent. All American citizens and companies “derive significant legal, infrastructural, and political benefits from [their] status [as such,]” id. — but that cannot mean that they are not burdened in a legally cognizable way when forced unwillingly to comply with what they sincerely believe to be an unlawful government intrusion.37
*372Similarly, the government’s contention that “the burden associated with compliance with legal process is measured on the direct costs of compliance, not on other more general considerations about reputations or the ramifications of compliance[,]” id. at 19, is irreconcilable with the opinion in N.Y. Tel. Co. itself. The Court in that case did not just cite the lack of financial burden on the telephone company; instead, it took pains to refute the lower appellate court’s stated concern about the “severe threat to the autonomy of third parties who for whatever reason prefer not to render such assistance.” 434 U.S. at 171, 98 S.Ct. 364. Indeed, part of its showing in that regard was the observation that the company’s installation of a pen register would not be “offensive to it” — an observation that would be wholly irrelevant, if not counter-productive, to a decision intended to establish that the only cognizable burdens under the AWA are financial. Finally, the government makes no effort to explain why cognizable burdens should be so limited: as the Court explained in N.Y. Tel. Co., the AWA does not empower a court to impose any burdens that are “unreasonable” — and it said nothing to suggest that only financial burdens could prove unreasonable.
Finally, I return to the point that the Supreme Court addressed in reversing the Second Circuit’s decision in N.Y. Tel. Co.: the concern that an AWA order compelling a private party to provide service to the government the non-party finds offensive would “pose a severe threat to [their] autonomy[.]” 434 U.S. at 171, 98 S.Ct. 364. As discussed above, the Court concluded that no such threat was posed in that case by the imposition of an obligation on a public utility to perform for the government a task that it would in any event perform in the pursuit of its own business. But the concern about whether the AWA,' as construed by the government, would confer on the judiciary an overbroad authority to override individual autonomy cannot be so easily avoided in this case. Nothing in the government’s arguments suggests any principled limit on how far a court may go in requiring a person or company to violate the most deeply-rooted values to provide assistance to the government the court deems necessary.
To try to gauge that limit — and to see if one even exists — I deliberately asked the government at oral argument the provocative question noted above, see n.34 supra, about whether a court could invoke the AWA to force a drug maker to supply lethal, injection drugs notwithstanding the *373manufacturer’s conscientious, objection to capital punishment. See Tr. at 43-48. That the government had no ready answer at oral argument to a question it deemed so inflammatory was not surprising. But even in its post-hearing submission, the government offers nothing more than deflection: “Resolution of the death penalty hypothetical would depend on the particular law, facts, and circumstances if such a case were to present itself.” Govt, III at 5. That is undoubtedly true, but equally unsatisfactory. If the government cannot explain why ‘the authority it seeks here cannot be used, based on the same arguments'before this court, to force private citizens to commit what they believe to be the moral equivalent of murder at the government’s behest,. that in itself suggests a reason to conclude that the government cannot establish-a lack of. unreasonable burden.
If, as the government would have it, the only cognizable measure of an unreasonable burden in this ease is the extent to which Apple might have unreimbursed' financial costs arising directly from the work needed to bypass the passcode security on Feng’s iPhone, then granting the requested order would not impose an unreasonable burden. But the category of unreasonable burdens is not nearly so narrow, not even as described in the Supreme Court opinion on which the government primarily relies. Taking into account the several other burdens to which Apple objects — burdens that are no less real or cognizable simply because they are harder to quantify — I conclude that granting the government’s Application would impose an unreasonable burden on Apple.
3. Necessity .
The government contends that it cannot, successfully search Feng’s device without Apple’s assistance. See Govt. I at 1-2; Govt. Ill at 7 (“The government is unable to perform a safe passcode bypass on its own[.]”). If that assertion is true, the government may be entitled to relief under the AWA if it can satisfy the remaining statutory requirements and discretionary' factors. But if it is false — if the government has access to resources that would in fact allow it to vindicate this court’s jurisdiction without compelling Apple to take action it finds objectionable— that fact would weigh heavily against granting relief. As the movant, it is the government’s burden to establish the factual assertions upon which it claims to be entitled , to relief. I conclude that it has failed.to do. so because of the conflicting evidence in the record about the availability, from private, sources other than Apple, of technology that would allow the government to bypass the passcode security on Feng’s device.38
*374In its Application in this case, the government originally asserted that its agents cannot bypass the passcode security of an Apple iPhone. See Govt. I at 1-2. Two months earlier, however, in opposing a suppression motion in an unrelated criminal case in this district, the government said something quite different:
[T]he lack óf a passcode is not fatal to the government’s ability to obtain the records. That.is because [the Department of Homeland Security (“DHS”), Homeland Security Investigations (“HSI”) ] is in possession of technology that would allow its forensic technicians to override the passcode security feature on the Subject iPhone and obtain .the data contained therein. In other words, even if HSI agents did not have the defendant’s passcode, they would nevertheless have been able to obtain the records stored in the Subject iPhone using specialized software. ’The software works to bypass the passcode entry requirement and “unlock” the cellular ' telephone without having" to enter the code. Once the device is- “unlocked” all records in it can be accessed and copied.
United States v. Adamou Djibo, 15-CR-0088 (SJ), DE 27 at 5 (government’s letter to court dated July 9, 2015). At a hearing on the suppression motion in Djibo, the government presented the testimony of a DHS expert who testified that although the “IP-Box” technology on which the government relied was both “fairly new*’ and “finicky,” he and others had .succeeded in using that technology to bypass passcode security on some Apple devices, if not the precise kind seized from Djibo. See United States v. Djibo, — F.Supp.3d —, —, 2015 WL 9274916, at *6 (E.D.N.Y. Dec. 16, 2015).39
- In response to my questions at oral argument about the tension between the factual assertions the government had offered in the two cases, the government proffered yet a third. Specifically, the government wrote:
The government has consulted with the testifying agent in Djibo, who noted that the government’s ability to bypass the passcode on an iPhone is highly device-specific, and depends in part on the spe*375cific hardware and software in place. The investigators in this case have examined the possibility of using various third-party technologies, including the hacking tool referenced in Djibo, and determined that, in this case, using such technology on the Target Phone [ie., Feng’s iPhone] presents a non-trivial risk of data destruction. Specifically, the tool, which serially tests various pas-scodes until detecting the correct one, could activate the “erase data” feature of the iPhone and render the data in the Target Phone permanently inaccessible. By contrast, in this case, Apple has the unique ability to safely perform a pas-scode bypass on the Target Phone without risking such data destruction.
Govt. Ill at 8. In short, the government, having previously stated both that it cannot bypass an Apple’s passcode security without Apple’s help and that it can do so, now says that it depends — and that what it depends on is not just which device and which operating system is in question, but also on which government expert makes the attempt.
In Djiba, the result of that morass of conflicting statements was a finding that the government had failed to establish that it would inevitably have succeeded 'in bypassing the passcode. security on Djibo’s iPhone. Djiba, 151 F.Supp.3d 297 at -310-311, 2015 WL 9274916, at *11. That result does not remotely establish the proposition the government supports here — namely, that it is impossible for it to bypass the security of an earlier operating system without Apple’s help. What it does establish is simply that the government has made so many conflicting statements in the two cases as to render any single one of them unreliable. Because it is the government’s burden, as the movant seeking relief, to demonstrate a basis for granting its request, I necessarily conclude that it has failed to establish that the help it seeks from Apple is necessary for purposes of the test under N.Y. Tel. Ca. 40
III. Conclusion
In deciding this motion, I offer no opinion as to whether, in the circumstances of this case or others, the government’s legitimate interest in ensuring that no door is .too strong to resist lawful entry should prevail against the equally legitimate societal interests arrayed. against it here. Those competing values extend beyond the individual’s interest in vindicating reasonable expectations of privacy — which is not directly implicated where, as here, it must give way to the mandate of a lawful warrant. They include the commercial inter*376est in conducting a lawful business as its owners deem most productive, free of potentially harmful government intrusion; and the far more fundamental and universal interest — important to individuals as a matter of safety, to businesses as a matter of competitive fairness, and to society as a whole as a matter of national security — in shielding sensitive electronically stored data from the myriad harms, great and small, that unauthorized access and misuse can canse.
How best to balance those interests is a matter of critical importance to our society, and the need for an answer becomes more pressing daily, as the tide of technological advance flows ever farther past the boundaries of what seemed possible even a few decades ago. But that debate must happen today, and it must take place .among legislators who are equipped to consider the technological and cultural realities of a world their predecessors could not begin to conceive. It would betray our constitutional heritage and our people’s claim to democratic governance for a judge to pretend that our Founders already had that debate, and ended it, in 1789.41
Ultimately, the question to be answered in this matter, and in others like'it across the country, is not whether the government should be able'to force Apple to help it unlock a specific device; it is instead whether the All Writs Act resolves that issue and many others like it yet to come. For the reasons set forth above, I conclude that it does not. The government’s motion is denied. ■■
SO ORDERED.
4.2 Government Hacking 4.2 Government Hacking
Week 8
Last week, we discussed U.S. government proposals to compel electronic device manufacturers and online communications service providers to build in a mechanism for law enforcement to access the plaintext of encrypted data - that is, to compel the intentional addition of new vulnerabilities to those devices and services. This week, we’ll study how the U.S. and other governments (and their private-sector contractors) exploit existing and unintentional vulnerabilities in order to hack people whom the governments wish to surveil or apprehend.
4.2.1 Federal Rules of Criminal Procedure, Rule 41: Search and Seizure 4.2.1 Federal Rules of Criminal Procedure, Rule 41: Search and Seizure
Rule 41. Search and Seizure
(a) Scope and Definitions.
(1) Scope. This rule does not modify any statute regulating search or seizure, or the issuance and execution of a search warrant in special circumstances.
(2) Definitions. The following definitions apply under this rule:
(A) “Property” includes documents, books, papers, any other tangible objects, and information.
(B) “Daytime” means the hours between 6:00 a.m. and 10:00 p.m. according to local time.
(C) “Federal law enforcement officer” means a government agent (other than an attorney for the government) who is engaged in enforcing the criminal laws and is within any category of officers authorized by the Attorney General to request a search warrant.
(D) “Domestic terrorism” and “international terrorism” have the meanings set out in 18 U.S.C. §2331.
(E) “Tracking device” has the meaning set out in 18 U.S.C. §3117 (b).
(b) Venue for a Warrant Application.
At the request of a federal law enforcement officer or an attorney for the government:
(1) a magistrate judge with authority in the district—or if none is reasonably available, a judge of a state court of record in the district—has authority to issue a warrant to search for and seize a person or property located within the district;
(2) a magistrate judge with authority in the district has authority to issue a warrant for a person or property outside the district if the person or property is located within the district when the warrant is issued but might move or be moved outside the district before the warrant is executed;
(3) a magistrate judge—in an investigation of domestic terrorism or international terrorism—with authority in any district in which activities related to the terrorism may have occurred has authority to issue a warrant for a person or property within or outside that district;
(4) a magistrate judge with authority in the district has authority to issue a warrant to install within the district a tracking device; the warrant may authorize use of the device to track the movement of a person or property located within the district, outside the district, or both; and
(5) a magistrate judge having authority in any district where activities related to the crime may have occurred, or in the District of Columbia, may issue a warrant for property that is located outside the jurisdiction of any state or district, but within any of the following:
(A) a United States territory, possession, or commonwealth;
(B) the premises—no matter who owns them—of a United States diplomatic or consular mission in a foreign state, including any appurtenant building, part of a building, or land used for the mission's purposes; or
(C) a residence and any appurtenant land owned or leased by the United States and used by United States personnel assigned to a United States diplomatic or consular mission in a foreign state.
(6) a magistrate judge with authority in any district where activities related to a crime may have occurred has authority to issue a warrant to use remote access to search electronic storage media and to seize or copy electronically stored information located within or outside that district if:
(A) the district where the media or information is located has been concealed through technological means; or
(B) in an investigation of a violation of 18 U.S.C. § 1030(a)(5), the media are protected computers that have been damaged without authorization and are located in five or more districts.
(c) Persons or Property Subject to Search or Seizure.
A warrant may be issued for any of the following:
(1) evidence of a crime;
(2) contraband, fruits of crime, or other items illegally possessed;
(3) property designed for use, intended for use, or used in committing a crime; or
(4) a person to be arrested or a person who is unlawfully restrained.
(d) Obtaining a Warrant.
(1) In General. After receiving an affidavit or other information, a magistrate judge—or if authorized by Rule 41(b), a judge of a state court of record—must issue the warrant if there is probable cause to search for and seize a person or property or to install and use a tracking device.
(2) Requesting a Warrant in the Presence of a Judge.
(A) Warrant on an Affidavit. When a federal law enforcement officer or an attorney for the government presents an affidavit in support of a warrant, the judge may require the affiant to appear personally and may examine under oath the affiant and any witness the affiant produces.
(B) Warrant on Sworn Testimony. The judge may wholly or partially dispense with a written affidavit and base a warrant on sworn testimony if doing so is reasonable under the circumstances.
(C) Recording Testimony. Testimony taken in support of a warrant must be recorded by a court reporter or by a suitable recording device, and the judge must file the transcript or recording with the clerk, along with any affidavit.
(3) Requesting a Warrant by Telephonic or Other Reliable Electronic Means. In accordance with Rule 4.1, a magistrate judge may issue a warrant based on information communicated by telephone or other reliable electronic means.
(e) Issuing the Warrant.
(1) In General. The magistrate judge or a judge of a state court of record must issue the warrant to an officer authorized to execute it.
(2) Contents of the Warrant.
(A) Warrant to Search for and Seize a Person or Property. Except for a tracking-device warrant, the warrant must identify the person or property to be searched, identify any person or property to be seized, and designate the magistrate judge to whom it must be returned. The warrant must command the officer to:
(i) execute the warrant within a specified time no longer than 14 days;
(ii) execute the warrant during the daytime, unless the judge for good cause expressly authorizes execution at another time; and
(iii) return the warrant to the magistrate judge designated in the warrant.
(B) Warrant Seeking Electronically Stored Information. A warrant under Rule 41(e)(2)(A) may authorize the seizure of electronic storage media or the seizure or copying of electronically stored information. Unless otherwise specified, the warrant authorizes a later review of the media or information consistent with the warrant. The time for executing the warrant in Rule 41(e)(2)(A) and (f)(1)(A) refers to the seizure or on-site copying of the media or information, and not to any later off-site copying or review.
(C) Warrant for a Tracking Device. A tracking-device warrant must identify the person or property to be tracked, designate the magistrate judge to whom it must be returned, and specify a reasonable length of time that the device may be used. The time must not exceed 45 days from the date the warrant was issued. The court may, for good cause, grant one or more extensions for a reasonable period not to exceed 45 days each. The warrant must command the officer to:
(i) complete any installation authorized by the warrant within a specified time no longer than 10 days;
(ii) perform any installation authorized by the warrant during the daytime, unless the judge for good cause expressly authorizes installation at another time; and
(iii) return the warrant to the judge designated in the warrant.
(f) Executing and Returning the Warrant.
(1) Warrant to Search for and Seize a Person or Property.
(A) Noting the Time. The officer executing the warrant must enter on it the exact date and time it was executed.
(B) Inventory. An officer present during the execution of the warrant must prepare and verify an inventory of any property seized. The officer must do so in the presence of another officer and the person from whom, or from whose premises, the property was taken. If either one is not present, the officer must prepare and verify the inventory in the presence of at least one other credible person. In a case involving the seizure of electronic storage media or the seizure or copying of electronically stored information, the inventory may be limited to describing the physical storage media that were seized or copied. The officer may retain a copy of the electronically stored information that was seized or copied.
(C) Receipt. The officer executing the warrant must give a copy of the warrant and a receipt for the property taken to the person from whom, or from whose premises, the property was taken or leave a copy of the warrant and receipt at the place where the officer took the property. For a warrant to use remote access to search electronic storage media and seize or copy electronically stored information, the officer must make reasonable efforts to serve a copy of the warrant and receipt on the person whose property was searched or who possessed the information that was seized or copied. Service may be accomplished by any means, including electronic means, reasonably calculated to reach that person.
(D) Return. The officer executing the warrant must promptly return it—together with a copy of the inventory—to the magistrate judge designated on the warrant. The officer may do so by reliable electronic means. The judge must, on request, give a copy of the inventory to the person from whom, or from whose premises, the property was taken and to the applicant for the warrant.
(2) Warrant for a Tracking Device.
(A) Noting the Time. The officer executing a tracking-device warrant must enter on it the exact date and time the device was installed and the period during which it was used.
(B) Return. Within 10 days after the use of the tracking device has ended, the officer executing the warrant must return it to the judge designated in the warrant. The officer may do so by reliable electronic means.
(C) Service. Within 10 days after the use of the tracking device has ended, the officer executing a tracking-device warrant must serve a copy of the warrant on the person who was tracked or whose property was tracked. Service may be accomplished by delivering a copy to the person who, or whose property, was tracked; or by leaving a copy at the person's residence or usual place of abode with an individual of suitable age and discretion who resides at that location and by mailing a copy to the person's last known address. Upon request of the government, the judge may delay notice as provided in Rule 41(f)(3).
(3) Delayed Notice. Upon the government's request, a magistrate judge—or if authorized by Rule 41(b), a judge of a state court of record—may delay any notice required by this rule if the delay is authorized by statute.
(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.
(h) Motion to Suppress. A defendant may move to suppress evidence in the court where the trial will occur, as Rule 12 provides.
(i) Forwarding Papers to the Clerk. The magistrate judge to whom the warrant is returned must attach to the warrant a copy of the return, of the inventory, and of all other related papers and must deliver them to the clerk in the district where the property was seized.
Notes
(As amended Dec. 27, 1948, eff. Oct. 20, 1949; Apr. 9, 1956, eff. July 8, 1956; Apr. 24, 1972, eff. Oct. 1, 1972; Mar. 18, 1974, eff. July 1, 1974; Apr. 26 and July 8, 1976, eff. Aug. 1, 1976; Pub. L. 95–78, §2(e), July 30, 1977, 91 Stat. 320, eff. Oct. 1, 1977; Apr. 30, 1979, eff. Aug. 1, 1979; Mar. 9, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Dec. 1, 1989; May 1, 1990, eff. Dec. 1, 1990; Apr. 22, 1993, eff. Dec. 1, 1993; Pub. L. 107–56, title II, §219, Oct. 26, 2001, 115 Stat. 291; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 28, 2016, eff. Dec 1, 2016.)
Notes of Advisory Committee on Rules—1944
This rule is a codification of existing law and practice.
Note to Subdivision (a). This rule is a restatement of existing law, 18 U.S.C. [former] 611.
Note to Subdivision (b). This rule is a restatement of existing law, 18 U.S.C. [former] 612; Conyer v. United States, 80 F.2d 292 (C.C.A. 6th). This provision does not supersede or repeal special statutory provisions permitting the issuance of search warrants in specific circumstances. See Subdivision (g) and Note thereto, infra.
Note to Subdivision (c). This rule is a restatement of existing law, 18 U.S.C. [former] 613–616, 620; Dumbra v. United States, 268 U.S. 435.
Note to Subdivision (d). This rule is a restatement of existing law, 18 U.S.C. [former] 621–624.
Note to Subdivision (e). This rule is a restatement of existing law and practice, with the exception hereafter noted, 18 U.S.C. [former] 625, 626; Weeks v. United States, 232 U.S. 383; Silverthorne Lumber Co. v. United States, 251 U.S. 385; Agello v. United States, 269 U.S. 20; Gouled v. United States, 255 U.S. 298. While under existing law a motion to suppress evidence or to compel return of property obtained by an illegal search and seizure may be made either before a commissioner subject to review by the court on motion, or before the court, the rule provides that such motion may be made only before the court. The purpose is to prevent multiplication of proceedings and to bring the matter before the court in the first instance. While during the life of the Eighteenth Amendment when such motions were numerous it was a common practice in some districts for commissioners to hear such motions, the prevailing practice at the present time is to make such motions before the district court. This practice, which is deemed to be preferable, is embodied in the rule.
Note to Subdivision (f). This rule is a restatement of existing law, 18 U.S.C. [former] 627; Cf. Rule 5(c) (last sentence).
Note to Subdivision (g). While Rule 41 supersedes the general provisions of 18 U.S.C. 611 –626 [now 18 U.S.C. 3105, 3109], relating to search warrants, it does not supersede, but preserves, all other statutory provisions permitting searches and seizures in specific situations. Among such statutes are the following:
U.S.C., Title 18:
Section 287 [former] (Search warrant for suspected counterfeiture)
U.S.C., Title 19:
Section 1595 (Customs duties; searches and seizures)
U.S.C., Title 26:
Section 3117 [now 5557] (Officers and agents authorized to investigate, issue search warrants, and prosecute for violations)
For statutes which incorporate by reference 18 U.S.C. [former] 98, and therefore are now controlled by this rule, see, e. g.:
U.S.C., Title 18:
Section 12 [former] (Subversive activities; undermining loyalty, discipline, or morale of armed forces; searches and seizures)
U.S.C., Title 26:
Section 3116 [now 7302] (Forfeitures and seizures)
Statutory provision for a warrant for detention of war materials seized under certain circumstances is found in 22 U.S.C. 402 [see 401] (Seizure of war materials intended for unlawful export.)
Other statutes providing for searches and seizures or entry without warrants are the following:
U.S.C., Title 19:
Section 482 (Search of vehicles and persons)
U.S.C., Title 25:
Section 246 [now 18 U.S.C. 3113 ] (Searches and seizures)
U.S.C., Title 26:
Section 3601 [now 7606] (Entry of premises for examination of taxable objects)
U.S.C., Title 29:
Section 211 (Investigations, inspections, and records)
U.S.C., Title 49:
Section 781 [now 80302] (Unlawful use of vessels, vehicles, and aircrafts; contraband article defined)
Section 782 [now 80303] (Seizure and forfeiture)
Section 784 [now 80306] (Application of related laws)
Notes of Advisory Committee on Rules—1948 Amendment
Subdivision (b)(3).—The amendment is to substitute proper reference to Title 18 in place of the repealed acts.
Subdivision (g).—To eliminate reference to sections of the Act of June 15, 1917, c. 30, which have been repealed by the Act of June 25, 1948, c. 645, which enacted Title 18.
Notes of Advisory Committee on Rules—1972 Amendment
Subdivision (a) is amended to provide that a search warrant may be issued only upon the request of a federal law enforcement officer or an attorney for the government. The phrase “federal law enforcement officer” is defined in subdivision (h) in a way which will allow the Attorney General to designate the category of officers who are authorized to make application for a search warrant. The phrase “attorney for the government” is defined in rule 54.
The title to subdivision (b) is changed to make it conform more accurately to the content of the subdivision. Subdivision (b) is also changed to modernize the language used to describe the property which may be seized with a lawfully issued search warrant and to take account of a recent Supreme Court decision ( Warden v. Haden, 387 U.S. 294 (1967)) and recent congressional action ( 18 U.S.C. §3103a) which authorize the issuance of a search warrant to search for items of solely evidential value. 18 U.S.C. §3103a provides that “a warrant may be issued to search for and seize any property that constitutes evidence of a criminal offense. . . .”
Recent state legislation authorizes the issuance of a search warrant for evidence of crime. See, e.g., Cal. Penal Code §1524 (4) (West Supp. 1968); Ill.Rev.Stat. ch. 38, §108–3 (1965); LSA C.Cr.P. art. 161 (1967); N.Y. CPL §690.10(4) (McKinney, 1971); Ore.Rev.Stat. §141.010 (1969); Wis.Stat. §968.13(2) (1969).
The general weight of recent text and law review comment has been in favor of allowing a search for evidence. 8 Wigmore, Evidence §2184a. (McNaughton rev. 1961); Kamisar. The Wiretapping-Eavesdropping Problem: A professor's View, 44 Minn.L.Rev. 891 (1960); Kaplan, Search and Seizure: A No-Man's Land in the Criminal Law, 49 Calif.L.Rev. 474 (1961); Comments: 66 Colum.L.Rev. 355 (1966), 45 N.C.L.Rev. 512 (1967), 20 U.Chi.L.Rev. 319 (1953).
There is no intention to limit the protection of the fifth amendment against compulsory self-incrimination, so items which are solely “testimonial” or “communicative” in nature might well be inadmissible on those grounds. Schmerber v. California, 384 U.S. 757 (1966). The court referred to the possible fifth amendment limitation in Warden v. Hayden, supra:
This case thus does not require that we consider whether there are items of evidential value whose very nature precludes them from being the object of a reasonable search and seizure. [387 U.S. at 303].
See ALI Model Code of Pre-Arraignment Procedure §551.03(2) and commentary at pp. 3–5 (April 30, 1971).
It seems preferable to allow the fifth amendment limitation to develop as cases arise rather than attempt to articulate the constitutional doctrine as part of the rule itself.
The amendment to subdivision (c) is intended to make clear that a search warrant may properly be based upon a finding of probable cause based upon hearsay. That a search warrant may properly be issued on the basis of hearsay is current law. See, e.g., Jones v. United States, 362 U.S. 257 (1960); Spinelli v. United States, 393 U.S. 410 (1969). See also State v. Beal, 40 Wis.2d 607, 162 N.W.2d 640 (1968), reversing prior Wisconsin cases which held that a search warrant could not properly issue on the basis of hearsay evidence.
The provision in subdivision (c) that the magistrate may examine the affiant or witnesses under oath is intended to assure him an opportunity to make a careful decision as to whether there is probable cause. It seems desirable to do this as an incident to the issuance of the warrant rather than having the issue raised only later on a motion to suppress the evidence. See L. Tiffany, D. McIntyre, and D. Rotenberg, Detection of Crime 118 (1967). If testimony is taken it must be recorded, transcribed, and made part of the affidavit or affidavits. This is to insure an adequate basis for determining the sufficiency of the evidentiary grounds for the issuance of the search warrant if that question should later arise.
The requirement that the warrant itself state the grounds for its issuance and the names of any affiants, is eliminated as unnecessary paper work. There is no comparable requirement for an arrest warrant in rule 4. A person who wishes to challenge the validity of a search warrant has access to the affidavits upon which the warrant was issued.
The former requirement that the warrant require that the search be conducted “forthwith” is changed to read “within a specified period of time not to exceed 10 days.” The former rule contained an inconsistency between subdivision (c) requiring that the search be conducted “forthwith” and subdivision (d) requiring execution “within 10 days after its date.” The amendment resolves this ambiguity and confers discretion upon the issuing magistrate to specify the time within which the search may be conducted to meet the needs of the particular case.
The rule is also changed to allow the magistrate to authorize a search at a time other than “daytime,” where there is “reasonable cause shown” for doing so. To make clear what “daytime” means, the term is defined in subdivision (h).
Subdivision (d) is amended to conform its language to the Federal Magistrates Act. The language “The warrant may be executed and returned only within 10 days after its date” is omitted as unnecessary. The matter is now covered adequately in proposed subdivision (c) which gives the issuing officer authority to fix the time within which the warrant is to be executed.
The amendment to subdivision (e) and the addition of subdivision (f) are intended to require the motion to suppress evidence to be made in the trial court rather than in the district in which the evidence was seized as now allowed by the rule. In DiBella v. United States, 369 U.S. 121 (1962), the court, in effect, discouraged motions to suppress in the district in which the property was seized:
There is a decision in the Second Circuit, United States v. Klapholz, 230 F.2d 494 (1956), allowing the Government an appeal from an order granting a post-indictment motion to suppress, apparently for the single reason that the motion was filed in the district of seizure rather than of trial; but the case was soon thereafter taken by a District Court to have counseled declining jurisdiction of such motions for reasons persuasive against allowing the appeal: “This course will avoid a needless duplication of effort by two courts and provide a more expeditious resolution of the controversy besides avoiding the risk of determining prematurely and inadequately the admissibility of evidence at the trial. . . . A piecemeal adjudication such as that which would necessarily follow from a disposition of the motion here might conceivably result in prejudice either to the Government or the defendants, or both.” United States v. Lester, 21 F.R.D. 30, 31 (D.C.S.D.N.Y. 1957). Rule 41(e), of course, specifically provides for making of the motion in the district of seizure On a summary hearing, however, the ruling there is likely always to be tentative. We think it accords most satisfactorily with sound administration of the Rules to treat such rulings as interlocutory. [369 U.S. at 132–133.]
As amended, subdivision (e) provides for a return of the property if (1) the person is entitled to lawful possession and (2) the seizure was illegal. This means that the judge in the district of seizure does not have to decide the legality of the seizure in cases involving contraband which, even if seized illegally, is not to be returned.
The five grounds for returning the property, presently listed in the rule, are dropped for two reasons—(1) substantive grounds for objecting to illegally obtained evidence ( e.g., Miranda) are not ordinarily codified in the rules and (2) the categories are not entirely accurate. See United States v. Howard, 138 F.Supp. 376, 380 (D.Md. 1956).
A sentence is added to subdivision (e) to provide that a motion for return of property, made in the district of trial, shall be treated also as a motion to suppress under rule 12. This change is intended to further the objective of rule 12 which is to have all pretrial motions disposed of in a single court appearance rather than to have a series of pretrial motions made on different dates, causing undue delay in administration.
Subdivision (f) is new and reflects the position that it is best to have the motion to suppress made in the court of the district of trial rather than in the court of the district in which the seizure occurred. The motion to suppress in the district of trial should be made in accordance with the provisions of rule 12.
Subdivision (g) is changed to conform to subdivision (c) which requires the return to be made before a federal judicial officer even though the search warrant may have been issued by a nonfederal magistrate.
Subdivision (h) is former rule 41(g) with the addition of a definition of the term “daytime” and the phrase “federal law enforcement officer.”
Notes of Advisory Committee on Rules—1974 Amendment
The amendment restores the words “court of record” which were inadvertently omitted from the amended text of the subdivision which was transmitted by the Judicial Conference to the Supreme Court and prescribed by the Court on April 24, 1972.
Notes of Advisory Committee on Rules—1977 Amendment
Rule 41(c)(2) is added to establish a procedure for the issuance of a search warrant when it is not reasonably practicable for the person obtaining the warrant to present a written affidavit to a magistrate or a state judge as required by subdivision (c)(1). At least two states have adopted a similar procedure, Ariz.Rev.Stat. Ann. §§13–1444(c)–1445(c) (Supp. 1973); Cal.Pen. Code §§1526(b), 1528(b) (West Supp. 1974), and comparable amendments are under consideration in other jurisdictions. See Israel, Legislative Regulation of Searches and Seizures: The Michigan Proposals, 73 Mich.L.Rev. 221, 258–63 (1975); Nakell, Proposed Revisions of North Carolina's Search and Seizure Law, 52 N.Car.L.Rev. 277, 306–11 (1973). It has been strongly recommended that “every State enact legislation that provides for the issuance of search warrants pursuant to telephoned petitions and affidavits from police officers.” National Advisory Commission on Criminal Justice Standards and Goals, Report on Police 95 (1973). Experience with the procedure has been most favorable. Miller, Telephonic Search Warrants: The San Diego Experience, 9 The Prosecutor 385 (1974).
The trend of recent Supreme Court decisions has been to give greater priority to the use of a search warrant as the proper way of making a lawful search:
It is a cardinal rule that, in seizing goods and articles, law enforcement agents must secure and use search warrants whenever reasonably practicable. . . . This rule rests upon the desirability of having magistrates rather than police officers determine when searches and seizures are permissible and what limitations should be placed upon such activities. Trupiano v. United States, 334 U.S. 699, 705 (1948), quoted with approval in Chimel v. California, 395 U.S. 752, 758 (1969).
See also Coolidge v. New Hampshire, 403 U.S. 443 (1971); Note, Chambers v. Maroney: New Dimensions in the Law of Search and Seizure, 46 Indiana L.J. 257, 262 (1971).
Use of search warrants can best be encouraged by making it administratively feasible to obtain a warrant when one is needed. One reason for the nonuse of the warrant has been the administrative difficulties involved in getting a warrant, particularly at times of the day when a judicial officer is ordinarily unavailable. See L. Tiffany, D. McIntyre, and D. Rotenberg, Detection of Crime 105–116 (1967); LaFave, Improving Police Performance Through the Exclusionary Rule, 30 Mo.L.Rev. 391, 411 (1965). Federal law enforcement officers are not infrequently confronted with situations in which the circumstances are not sufficiently “exigent” to justify the serious step of conducting a warrantless search of private premises, but yet there exists a significant possibility that critical evidence would be lost in the time it would take to obtain a search warrant by traditional means. See, e.g., United States v. Johnson,—F.2d—(D.C. Cir. June 16, 1975).
Subdivision (c)(2) provides that a warrant may be issued on the basis of an oral statement of a person not in the physical presence of the federal magistrate. Telephone, radio, or other electronic methods of communication are contemplated. For the warrant to properly issue, four requirements must be met:
(1) The applicant—a federal law enforcement officer or an attorney for the government, as required by subdivision (a)—must persuade the magistrate that the circumstances of time and place make it reasonable to request the magistrate to issue a warrant on the basis of oral testimony. This restriction on the issuance of a warrant recognizes the inherent limitations of an oral warrant procedure, the lack of demeanor evidence, and the lack of a written record for the reviewing magistrate to consider before issuing the warrant. See Comment, Oral Search Warrants: A New Standard of Warrant Availability, 21 U.C.L.A. Law Review 691, 701 (1974). Circumstances making it reasonable to obtain a warrant on oral testimony exist if delay in obtaining the warrant might result in the destruction or disappearance of the property [see Chimel v. California, 395 U.S. 752, 773–774 (1969) (White, dissenting); Landynski, The Supreme Court's Search for Fourth Amendment Standards: The Warrantless Search, 45 Conn.B.J. 2, 25 (1971)]; or because of the time when the warrant is sought, the distance from the magistrate of the person seeking the warrant, or both.
(2) The applicant must orally state facts sufficient to satisfy the probable cause requirement for the issuance of the search warrant. (See subdivision (c)(1).) This information may come from either the applicant federal law enforcement officer or the attorney for the government or a witness willing to make an oral statement. The oral testimony must be recorded at this time so that the transcribed affidavit will provide an adequate basis for determining the sufficiency of the evidence if that issue should later arise. See Kipperman. Inaccurate Search Warrant Affidavits as a Ground for Suppressing Evidence, 84 Harv.L.Rev. 825 (1971). It is contemplated that the recording of the oral testimony will be made by a court reporter, by a mechanical recording device, or by a verbatim contemporaneous writing by the magistrate. Recording a telephone conversation is no longer difficult with many easily operated recorders available. See 86:2 L.A. Daily Journal 1 (1973); Miller, Telephonic Search Warrants: The San Diego Experience, 9 The Prosecutor 385, 386 (1974).
(3) The applicant must read the contents of the warrant to the federal magistrate in order to enable the magistrate to know whether the requirements of certainty in the warrant are satisfied. The magistrate may direct that changes be made in the warrant. If the magistrate approves the warrant as requested or as modified by the magistrate, he then issues the warrant by directing the applicant to sign the magistrate's name to the duplicate original warrant. The magistrate then causes to be made a written copy of the approved warrant. This constitutes the original warrant. The magistrate enters the time of issuance of the duplicate original warrant on the face of the original warrant.
(4) Return of the duplicate original warrant and the original warrant must conform to subdivision (d). The transcript of the sworn oral testimony setting forth the grounds for issuance of the warrant must be signed by affiant in the presence of the magistrate and filed with the court.
Because federal magistrates are likely to be accessible through the use of the telephone or other electronic devices, it is unnecessary to authorize state judges to issue warrants under subdivision (c)(2).
Although the procedure set out in subdivision (c)(2) contemplates resort to technology which did not exist when the Fourth Amendment was adopted, the Advisory Committee is of the view that the procedure complies with all of the requirements of the Amendment. The telephonic search warrant process has been upheld as constitutional by the courts, e.g., People v. Peck, 38 Cal.App.3d 993, 113 Cal.Rptr. 806 (1974), and has consistently been so viewed by commentators. See Israel, Legislative Regulation of Searches and Seizures: The Michigan Proposals, 73 Mich.L.Rev. 221, 260 (1975); Nakell, Proposed Revisions of North Carolina's Search and Seizure Law, 52 N.Car.L.Rev. 277, 310 (1973); Comment, Oral Search Warrants: A New Standard of Warrant Availability, 21 U.C.L.A.Rev. 691, 697 (1973).
Reliance upon oral testimony as a basis for issuing a search warrant is permissible under the Fourth Amendment. Campbell v. Minnesota, 487 F.2d 1 (8th Cir. 1973); United States ex rel. Gaugler v. Brierley, 477 F.2d 516 (3d Cir. 1973); Tabasko v. Barton, 472 F.2d 871 (6th Cir. 1972); Frazier v. Roberts, 441 F.2d 1224 (8th Cir. 1971). Thus, the procedure authorized under subdivision (c)(2) is not objectionable on the ground that the oral statement is not transcribed in advance of the issuance of the warrant. People v. Peck, 38 Cal.App.3d 993, 113 Cal.Rptr. 806 (1974). Although it has been questioned whether oral testimony will suffice under the Fourth Amendment if some kind of contemporaneous record is not made of that testimony, see dissent from denial of certiorari in Christofferson v. Washington, 393 U.S. 1090 (1969), this problem is not present under the procedure set out in subdivision (c)(2).
The Fourth Amendment requires that warrants issue “upon probable cause, supported by Oath or affirmation.” The significance of the oath requirement is “that someone must take the responsibility for the facts alleged, giving rise to the probable cause for the issuance of a warrant.” United States ex rel. Pugh v. Pate, 401 F.2d 6 (7th Cir. 1968); See also Frazier v. Roberts, 441 F.2d 1224 (8th Cir. 1971). This is accomplished under the procedure required by subdivision (c)(2); the need for an oath under the Fourth Amendment does not “require a face to face confrontation between the magistrate and the affiant.” People v. Chavaz, 27 Cal.App.3d 883, 104 Cal.Rptr. 247 (1972). See also People v. Aguirre, 26 Cal.App.3d 7, 103 Cal.Rptr. 153 (1972), noting it is unnecessary that “oral statements [be] taken in the physical presence of the magistrate.”
The availability of the procedure authorized by subdivision (c)(2) will minimize the necessity of federal law enforcement officers engaging in other practices which, at least on occasion, might threaten to a greater extent those values protected by the Fourth Amendment. Although it is permissible for an officer in the field to relay his information by radio or telephone to another officer who has more ready access to a magistrate and who will thus act as the affiant, Lopez v. United States, 370 F.2d 8 (5th Cir. 1966); State v. Banks, 250 N.C. 728, 110 S.E.2d 322 (1959), that procedure is less desirable than that permitted under subdivision (c)(2), for it deprives “the magistrate of the opportunity to examine the officer at the scene, who is in a much better position to answer questions relating to probable cause and the requisite scope of the search.” Israel, Legislative Regulation of Searches and Seizures: The Michigan Proposals, 73 Mich.L.Rev. 221, 260 (1975). Or, in the absence of the subdivision (c)(2) procedure, officers might take “protective custody” of the premises and occupants for a significant period of time while a search warrant was sought by traditional means. The extent to which the “protective custody” procedure may be employed consistent with the Fourth Amendment is uncertain at best; see Griswold, Criminal Procedure, 1969—Is It a Means or an End?, 29 Md.L.Rev. 307, 317 (1969). The unavailability of the subdivision (c)(2) procedure also makes more tempting an immediate resort to a warrantless search in the hope that the circumstances will later be found to have been sufficiently “exigent” to justify such a step. See Miller, Telephonic Search Warrants: The San Diego Experience, 9 The Prosecutor 385, 386 (1974), noting a dramatic increase in police utilization of the warrant process following enactment of a telephonic warrant statute.
Notes of Committee on the Judiciary, Senate Report No. 95–354; 1977 Amendments Proposed by the Supreme Court
The committee agrees with the Supreme Court that it is desirable to encourage Federal law enforcement officers to seek search warrants in situations where they might otherwise conduct warrantless searches by providing for a telephone search warrant procedure with the basic characteristics suggested in the proposed Rule 41(c)(2). As the Supreme Court has observed, “It is a cardinal rule that, in seizing goods and articles, law enforcement agents must secure and use search warrants whenever reasonably practicable.” After consideration of the Supreme Court version and a proposal set forth in H.R. 7888, the committee decided to use the language of the House bill as the vehicle, with certain modifications.
A new provision, as indicated in subparagraph (c)(2)(A), is added to establish a procedure for the issuance of a search warrant where the circumstances make it reasonable to dispense with a written affidavit to be presented in person to a magistrate. At least two States have adopted a similar procedure—Arizona and California—and comparable amendments are under consideration in other jurisdictions. Such a procedure has been strongly recommended by the National Advisory Commission on Criminal Justice Standards and Goals and State experience with the procedure has been favorable. The telephone search warrant process has been upheld as constitutional by the courts and has consistently been so viewed by commentators.
In recommending a telephone search warrant procedure, the Advisory Committee note on the Supreme Court proposal points out that the preferred method of conducting a search is with a search warrant. The note indicates that the rationale for the proposed change is to encourage Federal law enforcement officers to seek search warrants in situations when they might otherwise conduct warrantless searches. “Federal law enforcement officers are not infrequently confronted with situations in which the circumstances are not sufficiently ‘exigent’ to justify the serious step of conducting a warrantless search of private premises, but yet there exists a significant possibility that critical evidence would be lost in the time it would take to obtain a search warrant by traditional means.”
Subparagraph (c)(2)(B) provides that the person requesting the warrant shall prepare a “duplicate original warrant” which will be read and recorded verbatim by the magistrate on an “original warrant.” The magistrate may direct that the warrant be modified.
Subparagraph (c)(2)(C) provides that, if the magistrate is satisfied that the circumstances are such as to make it reasonable to dispense with a written affidavit and that grounds for the application exist or there is probable cause to believe that they exist, he shall order the issuance of the warrant by directing the requestor to sign the magistrate's name on the duplicate original warrant. The magistrate is required to sign the original warrant and enter the time of issuance thereon. The finding of probable cause may be based on the same type of evidence appropriate for a warrant upon affidavit.
Subparagraph (c)(2)(D) requires the magistrate to place the requestor and any witness under oath and, if a voice recording device is available, to record the proceeding. If a voice recording is not available, the proceeding must be recorded verbatim stenographically or in longhand. Verified copies must be filed with the court as specified.
Subparagraph (c)(2)(E) provides that the contents of the warrant upon oral testimony shall be the same as the contents of a warrant upon affidavit.
Subparagraph (c)(2)(F) provides that the person who executes the warrant shall enter the exact time of execution on the face of the duplicate original warrant. Unlike H.R. 7888, this subparagraph does not require the person who executes the warrant to have physical possession of the duplicate original warrant at the time of the execution of the warrant. The committee believes this would make an unwise and unnecessary distinction between execution of regular warrants issued on written affidavits and warrants issued by telephone that would limit the flexibility and utility of this procedure for no useful purpose.
Finally, subparagraph (c)(2)(G) makes it clear that, absent a finding of bad faith by the government, the magistrate's judgment that the circumstances made it reasonable to dispense with a written affidavit—a decision that does not go to the core question of whether there was probable cause to issue a warrant—is not a ground for granting a motion to suppress evidence.
Congressional Modification of Proposed 1977 Amendment
Section 2(e) of Pub. L. 95–78 provided in part that the amendment by the Supreme Court [in its order of Apr. 26, 1976] to subdivision (c) of rule 41 of the Federal Rules of Criminal Procedure [subd. (c) of this rule] is approved in a modified form.
Notes of Advisory Committee on Rules—1979 Amendment
This amendment to Rule 41 is intended to make it possible for a search warrant to issue to search for a person under two circumstances: (i) when there is probable cause to arrest that person; or (ii) when that person is being unlawfully restrained. There may be instances in which a search warrant would be required to conduct a search in either of these circumstances. Even when a search warrant would not be required to enter a place to search for a person, a procedure for obtaining a warrant should be available so that law enforcement officers will be encouraged to resort to the preferred alternative of acquiring “an objective predetermination of probable cause” Katz v. United States, 389 U.S. 347, 88 S.Ct. 507, 19 L.Ed.2d 576 (1967), in this instance, that the person sought is at the place to be searched.
That part of the amendment which authorizes issuance of a search warrant to search for a person unlawfully restrained is consistent with ALI Model Code of Pre-Arraignment Procedure §SS 210.3(1)(d) (Proposed Official Draft, 1975), which specifies that a search warrant may issue to search for “an individual * * * who is unlawfully held in confinement or other restraint.” As noted in the Commentary thereto, id. at p. 507:
Ordinarily such persons will be held against their will and in that case the persons are, of course, not subject to “seizure.” But they are, in a sense, “evidence” of crime, and the use of search warrants for these purposes presents no conceptual difficulties.
Some state search warrant provisions also provide for issuance of a warrant in these circumstances. See, e. g., Ill.Rev.Stat. ch. 38, §108–3 (“Any person who has been kidnapped in violation of the laws of this State, or who has been kidnapped in another jurisdiction and is now concealed within this State”).
It may be that very often exigent circumstances, especially the need to act very promptly to protect the life or well-being of the kidnap victim, would justify an immediate warrantless search for the person restrained. But this is not inevitably the case. Moreover, as noted above there should be available a process whereby law enforcement agents may acquire in advance a judicial determination that they have cause to intrude upon the privacy of those at the place where the victim is thought to be located.
That part of the amendment which authorizes issuance of a search warrant to search for a person to be arrested is also consistent with ALI Model Code of Pre-Arraignment Procedure §SS 210.3(1)(d) (Proposed Official Draft, 1975), which states that a search warrant may issue to search for “an individual for whose arrest there is reasonable cause.” As noted in the Commentary thereto, id. at p. 507, it is desirable that there be “explicit statutory authority for such searches.” Some state search warrant provisions also expressly provide for the issuance of a search warrant to search for a person to be arrested. See, e. g., Del.Code Ann. tit. 11, §2305 (“Persons for whom a warrant of arrest has been issued”). This part of the amendment to Rule 41 covers a defendant or witness for whom an arrest warrant has theretofore issued, or a defendant for whom grounds to arrest exist even though no arrest warrant has theretofore issued. It also covers the arrest of a deportable alien under 8 U.S.C. §1252, whose presence at a certain place might be important evidence of criminal conduct by another person, such as the harboring of undocumented aliens under 8 U.S.C. §1324(a)(3).
In United States v. Watson, 423 U.S. 411, 96 S.Ct. 820, 46 L.Ed.2d 598 (1976), the Court once again alluded to “the still unsettled question” of whether, absent exigent circumstances, officers acting without a warrant may enter private premises to make an arrest. Some courts have indicated that probable cause alone ordinarily is sufficient to support an arrest entry. United States v. Fernandez, 480 F.2d 726 (2d Cir. 1973); United States ex rel. Wright v. Woods, 432 F.2d 1143 (7th Cir. 1970). There exists some authority, however, that except under exigent circumstances a warrant is required to enter the defendant's own premises, United States v. Calhoun, 542 F.2d 1094 (9th Cir. 1976); United States v. Lindsay, 506 F.2d 166 (D.C.Cir. 1974); Dorman v. United States, 435 F.2d 385 (D.C.Cir. 1970), or, at least, to enter the premises of a third party, Virgin Islands v. Gereau, 502 F.2d 914 (3d Cir. 1974); Fisher v. Volz, 496 F.2d 333 (3d Cir. 1974); Huotari v. Vanderport, 380 F.Supp. 645 (D.Minn. 1974).
It is also unclear, assuming a need for a warrant, what kind of warrant is required, although it is sometimes assumed that an arrest warrant will suffice, e. g., United States v. Calhoun, supra; United States v. James, 528 F.2d 999 (5th Cir. 1976). There is a growing body of authority, however, that what is needed to justify entry of the premises of a third party to arrest is a search warrant, e. g., Virgin Islands v. Gereau, supra; Fisher v. Volz, supra. The theory is that if the privacy of this third party is to be protected adequately, what is needed is a probable cause determination by a magistrate that the wanted person is presently within that party's premises. “A warrant for the arrest of a suspect may indicate that the police officer has probable cause to believe the suspect committed the crime; it affords no basis to believe the suspect is in some stranger's home.” Fisher v. Volz, supra.
It has sometimes been contended that a search warrant should be required for a nonexigent entry to arrest even when the premises to be entered are those of the person to be arrested. Rotenberg & Tanzer, Searching for the Person to be Seized, 35 Ohio St.L.J. 56, 69 (1974). Case authority in support is lacking, and it may be that the protections of a search warrant are less important in such a situation because ordinarily “rudimentary police procedure dictates that a suspect's residence be eliminated as a possible hiding place before a search is conducted elsewhere.” People v. Sprovieri, 95 Ill.App.2d 10, 238 N.E.2d 115 (1968).
Despite these uncertainties, the fact remains that in some circuits under some circumstances a search warrant is required to enter private premises to arrest. Moreover, the law on this subject is in a sufficient state of uncertainty that this position may be taken by other courts. It is thus important that Rule 41 clearly express that a search warrant for this purpose may issue. And even if future decisions head the other direction, the need for the amendment would still exist. It is clear that law enforcement officers “may not constitutionally enter the home of a private individual to search for another person, though he be named in a valid arrest warrant in their possession, absent probable cause to believe that the named suspect is present within at the time.” Fisher v. Volz, supra. The cautious officer is entitled to a procedure whereby he may have this probable cause determination made by a neutral and detached magistrate in advance of the entry.
Notes of Advisory Committee on Rules—1987 Amendment
The amendments are technical. No substantive change is intended.
Notes of Advisory Committee on Rules—1989 Amendment
The amendment to Rule 41(e) conforms the rule to the practice in most districts and eliminates language that is somewhat confusing. The Supreme Court has upheld warrants for the search and seizure of property in the possession of persons who are not suspected of criminal activity. See, e.g., Zurcher v. Stanford Daily, 436 U.S. 547 (1978). Before the amendment, Rule 41(e) permitted such persons to seek return of their property if they were aggrieved by an unlawful search and seizure. But, the rule failed to address the harm that may result from the interference with the lawful use of property by persons who are not suspected of wrongdoing. Courts have recognized that once the government no longer has a need to use evidence, it should be returned. See, e.g., United States v. Wilson, 540 F.2d 1100 (D.C. Cir. 1976). Prior to the amendment, Rule 41(e) did not explicitly recognize a right of a property owner to obtain return of lawfully seized property even though the government might be able to protect its legitimate law enforcement interests in the property despite its return—e.g., by copying documents or by conditioning the return on government access to the property at a future time. As amended, Rule 41(e) provides that an aggrieved person may seek return of property that has been unlawfully seized, and a person whose property has been lawfully seized may seek return of property when aggrieved by the government's continued possession of it.
No standard is set forth in the rule to govern the determination of whether property should be returned to a person aggrieved either by an unlawful seizure or by deprivation of the property. The fourth amendment protects people from unreasonable seizures as well as unreasonable searches, United States v. Place, 462 U.S. 696, 701 (1983), and reasonableness under all of the circumstances must be the test when a person seeks to obtain the return of property. If the United States has a need for the property in an investigation or prosecution, its retention of the property generally is reasonable. But, if the United States’ legitimate interests can be satisfied even if the property is returned, continued retention of the property would become unreasonable.
The amendment deletes language dating from 1944 stating that evidence shall not be admissible at a hearing or at a trial if the court grants the motion to return property under Rule 41(e). This language has not kept pace with the development of exclusionary rule doctrine and is currently only confusing. The Supreme Court has now held that evidence seized in violation of the fourth amendment, but in good faith pursuant to a warrant, may be used even against a person aggrieved by the constitutional violation. United States v. Leon, 468 U.S. 897 (1984). The Court has also held that illegally seized evidence may be admissible against persons who are not personally aggrieved by an illegal search or seizure. Rakas v. Illinois, 439 U.S. 128 (1978). Property that is inadmissible for one purpose (e.g., as part of the government's case-in-chief) may be admissible for another purpose (e.g., impeachment, United States v. Havens, 446 U.S. 620 (1980)). Federal courts have relied upon these decisions and permitted the government to retain and to use evidence as permitted by the fourth amendment.
Rule 41(e) is not intended to deny the United States the use of evidence permitted by the fourth amendment and federal statutes, even if the evidence might have been unlawfully seized. See, e.g., United States v. Calandra, 414 U.S. 338, 349 n.6 (1978) (“Rule 41(e) does not constitute a statutory expansion of the exclusionary rule.”); United States v. Roberts, 852 F.2d 671 (2nd Cir. 1988) (exceptions to exclusionary rule applicable to Rule 41(e)). Thus, the exclusionary provision is deleted, and the scope of the exclusionary rule is reserved for judicial decisions.
In opting for a reasonableness approach and in deleting the exclusionary language, the Committee rejects the analysis of Sovereign News Co. v. United States, 690 F.2d 569 (6th Cir. 1982), cert. denied, 464 U.S. 814 (1983), which held that the United States must return photocopies of lawfully seized business records unless it could demonstrate that the records were “necessary for a specific investigation.” As long as the government has a law enforcement purpose in copying records, there is no reason why it should be saddled with a heavy burden of justifying the copying. Although some cases have held that the government must return copies of records where the originals were illegally seized—See, e.g., United States v. Wallace & Tiernan Co., 336 U.S. 793, 801 (1948); Goodman v. United States, 369 F.2d 166 (9th Cir. 1966)—these holdings are questionable in situations in which the government is permitted under Supreme Court decisions to use illegally seized evidence, and their reasoning does not apply to legally seized evidence.
As amended, Rule 41(e) avoids an all or nothing approach whereby the government must either return records and make no copies or keep originals notwithstanding the hardship to their owner. The amended rule recognizes that reasonable accommodations might protect both the law enforcement interests of the United States and the property rights of property owners and holders. In many instances documents and records that are relevant to ongoing or contemplated investigations and prosecutions may be returned to their owner as long as the government preserves a copy for future use. In some circumstances, however, equitable considerations might justify an order requiring the government to return or destroy all copies of records that it has seized. See, e.g., Paton v. LaPrade, 524 F.2d 862, 867–69 (3rd Cir. 1975). The amended rule contemplates judicial action that will respect both possessory and law enforcement interests.
The word “judge” is changed to “court” in the second sentence of subdivision (e) to clarify that a magistrate may receive evidence in the course of making a finding or a proposed finding for consideration by the district judge.
Notes of Advisory Committee on Rules—1990 Amendment
Rule 41(a). The amendment to Rule 41(a) serves several purposes. First, it furthers the constitutional preference for warrants by providing a mechanism whereby a warrant may be issued in a district for a person or property that is moving into or through a district or might move outside the district while the warrant is sought or executed. Second, it clarifies the authority of federal magistrates to issue search warrants for property that is relevant to criminal investigation being conducted in a district and, although located outside the United States, that is in a place where the United States may lawfully conduct a search.
The amendment is not intended to expand the class of persons authorized to request a warrant and the language “upon request of a federal law enforcement officer,” modifies all warrants covered by Rule 41. The amendment is intended to make clear that judges of state courts of record within a federal district may issue search warrants for persons or property located within that district. The amendment does not prescribe the circumstances in which a warrant is required and is not intended to change the law concerning warrant requirements. Rather the rule provides a mechanism for the issuance of a warrant when one is required, or when a law enforcement officer desires to seek a warrant even though warrantless activity is permissible.
Rule 41(a)(1) permits anticipatory warrants by omitting the words “is located,” which in the past required that in all instances the object of the search had to be located within the district at the time the warrant was issued. Now a search for property or a person within the district, or expected to be within the district, is valid if it otherwise complies with the rule.
Rule 41(a)(2) authorizes execution of search warrants in another district under limited circumstances. Because these searches are unusual, the rule limits to federal magistrates the authority to issue such warrants. The rule permits a federal magistrate to issue a search warrant for property within the district which is moving or may move outside the district. The amendment recognizes that there are inevitable delays between the application for a warrant and its authorization, on the one hand, and the execution of the warrant, on the other hand. The amendment also recognizes that when property is in motion, there may be good reason to delay execution until the property comes to rest. The amendment provides a practical tool for federal law enforcement officers that avoids the necessity of their either seeking several warrants in different districts for the same property or their relying on an exception to the warrant requirement for search of property or a person that has moved outside a district.
The amendment affords a useful warrant procedure to cover familiar fact patterns, like the one typified by United States v. Chadwick, 433 U.S. 1 (1976). In Chadwick, agents in San Diego observed suspicious activities involving a footlocker carried onto a train. When the train arrived in Boston, the agents made an arrest and conducted a warrantless search of the footlocker (which the Supreme Court held was invalid). Under the amended rule, agents who have probable cause in San Diego would be able to obtain a warrant for a search of the footlocker even though it is moving outside the district. Agents, who will not be sure exactly where the footlocker will be unloaded from the train, may execute the warrant when the journey ends. See also United States v. Karo, 468 U.S. 705 (1984) (rejecting argument that obtaining warrant to monitor beeper would not comply with requirement of particularity because its final destination may not be known); United States v. Knotts, 460 U.S. 276 (1983) (agents followed beeper across state lines). The Supreme Court's holding in Chadwick permits law enforcement officers to seize and hold an object like a footlocker while seeking a warrant. Although the amended rule would not disturb this holding, it provides a mechanism for agents to seek a probable cause determination and a warrant before interfering with the property and seizing it. It encourages reliance on warrants.
The amendment is not intended to abrogate the requirements of probable cause and prompt execution. At some point, a warrant issued in one district might become stale when executed in another district. But staleness can be a problem even when a warrant is executed in the district in which it was issued. See generally United States v. Harris, 403 U.S. 573, 579, 589 (1971). And at some point, an intervening event might make execution of a warrant unreasonable. Cf. Illinois v. Andreas, 463 U.S. 765, 772 (1983). Evaluations of the execution of a warrant must, in the nature of things, be made after the warrant is issued.
Nor does the amendment abrogate the requirement of particularity. Thus, it does not authorize searches of premises other than a particular place. As recognized by the Supreme Court in Karo, supra, although agents may not know exactly where moving property will come to rest, they can still describe with particularity the object to be searched.
The amendment would authorize the search of a particular object or container provided that law enforcement officials were otherwise in a lawful position to execute the search without making an impermissible intrusion. For example, it would authorize the search of luggage moving aboard a plane.
Rule 41(a)(3) [The Supreme Court did not adopt the addition of a subsection (3) to Rule 41(a)] provides for warrants to search property outside the United States. No provision for search warrants for persons is made lest the rule be read as a substitute for extradition proceedings. As with the provision for searches outside a district, supra, this provision is limited to search warrants issued by federal magistrates. The phrase “relevant to criminal investigation” is intended to encompass all of the types of property that are covered by Rule 41(b), which is unchanged by the amendment. That phrase also is intended to include those investigations which begin with the request for the search warrant.
Some searches and seizures by federal officers outside the territory of the United States may be governed by the fourth amendment. See generally Saltzburg, the Reach of the Bill of Rights Beyond the Terra Firma of the United States, 20 Va. J. Int'l L. 741 (1980). Prior to the amendment of the rule, it was unclear how federal officers might obtain warrants authorizing searches outside the district of the issuing magistrate. Military Rule of Evidence 315 provided guidance for searches of military personnel and property and nonmilitary property in a foreign country. But it had no civilian counterpart. See generally S. Saltzburg, L. Schinasi, & D. Schlueter, Military Rules of Evidence Manual 274–95 (2d ed. 1986).
Although the amendment rests on the assumption that the Constitution applies to some extraterritorial searches, cf United States v. Verdugo-Urquidez, 110 S. Ct. 1056, 494 U.S. 259 (1990) (fourth amendment inapplicable to extraterritorial searches of property owned by nonresident aliens), it does not address the question of when the Constitution requires a warrant. Nor does it address the issue of whether international agreements or treaties or the law of a foreign nation might be applicable. See United States v. Patterson, 812 F. 2d 486 (9th Cir. 1987). Instead, the amendment is intended to provide necessary clarification as to how a warrant may be obtained when law enforcement officials are required, or find it desirable, to do so.
Notes of Advisory Committee on Rules—1993 Amendment
The amendment to Rule 41(c)(2)(A) is intended to expand the authority of magistrates and judges in considering oral requests for search warrants. It also recognizes the value of, and the public's increased dependence on facsimile machines to transmit written information efficiently and accurately. As amended, the Rule should thus encourage law enforcement officers to seek a warrant, especially when it is necessary, or desirable, to supplement oral telephonic communications by written materials which may now be transmitted electronically as well. The magistrate issuing the warrant may require that the original affidavit be ultimately filed. The Committee considered, but rejected, amendments to the Rule which would have permitted other means of electronic transmission, such as the use of computer modems. In its view, facsimile transmissions provide some method of assuring the authenticity of the writing transmitted by the affiant.
The Committee considered amendments to Rule 41(c)(2)(B), Application, Rule 41(c)(2)(C), Issuance, and Rule 41(g), Return of Papers to Clerk, but determined that allowing use of facsimile transmissions in those instances would not save time and would present problems and questions concerning the need to preserve facsimile copies.
The Rule is also amended to conform to the Judicial Improvements Act of 1990 [P.L. 101–650, Title III, Section 321] which provides that each United States magistrate appointed under section 631 of title 28, United States Code, shall be known as a United States magistrate judge.
Committee Notes on Rules—2002 Amendment
The language of Rule 41 has been amended as part of the general restyling of the Criminal Rules to make them more easily understood and to make style and terminology consistent throughout the rules. These changes are intended to be stylistic only, except as otherwise noted below. Rule 41 has been completely reorganized to make it easier to read and apply its key provisions.
Rule 41(b)(3) is a new provision that incorporates a congressional amendment to Rule 41 as a part of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT ACT) Act of 2001. The provision explicitly addresses the authority of a magistrate judge to issue a search warrant in an investigation of domestic or international terrorism. As long as the magistrate judge has authority in a district where activities related to terrorism may have occurred, the magistrate judge may issue a warrant for persons or property not only within the district, but outside the district as well.
Current Rule 41(c)(1), which refers to the fact that hearsay evidence may be used to support probable cause, has been deleted. That language was added to the rule in 1972, apparently to reflect emerging federal case law. See Advisory Committee Note to 1972 Amendments to Rule 41 (citing cases). Similar language was added to Rule 4 in 1974. In the intervening years, however, the case law has become perfectly clear on that proposition. Thus, the Committee believed that the reference to hearsay was no longer necessary. Furthermore, the limited reference to hearsay evidence was misleading to the extent that it might have suggested that other forms of inadmissible evidence could not be considered. For example, the rule made no reference to considering a defendant's prior criminal record, which clearly may be considered in deciding whether probable cause exists. See, e.g., Brinegar v. United States, 338 U.S. 160 (1949) (officer's knowledge of defendant's prior criminal activity). Rather than address that issue, or any other similar issues, the Committee believed that the matter was best addressed in Rule 1101(d)(3), Federal Rules of Evidence. That rule explicitly provides that the Federal Rules of Evidence do not apply to “preliminary examinations in criminal cases, . . . issuance of warrants for arrest, criminal summonses, and search warrants . . . .” The Advisory Committee Note accompanying that rule recognizes that: “The nature of the proceedings makes application of the formal rules of evidence inappropriate and impracticable.” The Committee did not intend to make any substantive changes in practice by deleting the reference to hearsay evidence.
Current Rule 41(d) provides that the officer taking the property under the warrant must provide a receipt for the property and complete an inventory. The revised rule indicates that the inventory may be completed by an officer present during the execution of the warrant, and not necessarily the officer actually executing the warrant.
Committee Notes on Rules—2006 Amendment
The amendments to Rule 41 address three issues: first, procedures for issuing tracking device warrants; second, a provision for delaying any notice required by the rule; and third, a provision permitting a magistrate judge to use reliable electronic means to issue warrants.
Subdivision (a). Amended Rule 41(a)(2) includes two new definitional provisions. The first, in Rule 41(a)(2)(D), addresses the definitions of “domestic terrorism” and “international terrorism,” terms used in Rule 41(b)(2). The second, in Rule 41(a)(2)(E), addresses the definition of “tracking device.”
Subdivision (b). Amended Rule 41(b)(4) is a new provision, designed to address the use of tracking devices. Such searches are recognized both by statute, see 18 U.S.C. §3117 (a) and by caselaw, see, e.g., United States v. Karo, 468 U.S. 705 (1984); United States v. Knotts, 460 U.S. 276 (1983). Warrants may be required to monitor tracking devices when they are used to monitor persons or property in areas where there is a reasonable expectation of privacy. See, e.g., United States v. Karo, supra (although no probable cause was required to install beeper, officers’ monitoring of its location in defendant's home raised Fourth Amendment concerns). Nonetheless, there is no procedural guidance in current Rule 41 for those judicial officers who are asked to issue tracking device warrants. As with traditional search warrants for persons or property, tracking device warrants may implicate law enforcement interests in multiple districts.
The amendment provides that a magistrate judge may issue a warrant, if he or she has the authority to do so in the district, to install and use a tracking device, as that term is defined in 18 U.S.C. §3117 (b). The magistrate judge's authority under this rule includes the authority to permit entry into an area where there is a reasonable expectation of privacy, installation of the tracking device, and maintenance and removal of the device. The Committee did not intend by this amendment to expand or contract the definition of what might constitute a tracking device. The amendment is based on the understanding that the device will assist officers only in tracking the movements of a person or property. The warrant may authorize officers to track the person or property within the district of issuance, or outside the district.
Because the authorized tracking may involve more than one district or state, the Committee believes that only federal judicial officers should be authorized to issue this type of warrant. Even where officers have no reason to believe initially that a person or property will move outside the district of issuance, issuing a warrant to authorize tracking both inside and outside the district avoids the necessity of obtaining multiple warrants if the property or person later crosses district or state lines.
The amendment reflects the view that if the officers intend to install or use the device in a constitutionally protected area, they must obtain judicial approval to do so. If, on the other hand, the officers intend to install and use the device without implicating any Fourth Amendment rights, there is no need to obtain the warrant. See, e.g., United States v. Knotts, supra, where the officers’ actions in installing and following tracking device did not amount to a search under the Fourth Amendment.
Subdivision (d). Amended Rule 41(d) includes new language on tracking devices. The tracking device statute, 18 U.S.C. §3117, does not specify the standard an applicant must meet to install a tracking device. The Supreme Court has acknowledged that the standard for installation of a tracking device is unresolved, and has reserved ruling on the issue until it is squarely presented by the facts of a case. See United States v. Karo, 468 U.S. 705, 718 n. 5 (1984). The amendment to Rule 41 does not resolve this issue or hold that such warrants may issue only on a showing of probable cause. Instead, it simply provides that if probable cause is shown, the magistrate judge must issue the warrant. And the warrant is only needed if the device is installed (for example, in the trunk of the defendant's car) or monitored (for example, while the car is in the defendant's garage) in an area in which the person being monitored has a reasonable expectation of privacy.
Subdivision (e). Rule 41(e) has been amended to permit magistrate judges to use reliable electronic means to issue warrants. Currently, the rule makes no provision for using such media. The amendment parallels similar changes to Rules 5 and 32.1(a)(5)(B)(i).
The amendment recognizes the significant improvements in technology. First, more counsel, courts, and magistrate judges now routinely use facsimile transmissions of documents. And many courts and magistrate judges are now equipped to receive filings by electronic means. Indeed, some courts encourage or require that certain documents be filed by electronic means. Second, the technology has advanced to the state where such filings may be sent from, and received at, locations outside the courthouse. Third, electronic media can now provide improved quality of transmission and security measures. In short, in a particular case, using facsimiles and electronic media to transmit a warrant can be both reliable and efficient use of judicial resources.
The term “electronic” is used to provide some flexibility to the rule and make allowance for further technological advances in transmitting data. Although facsimile transmissions are not specifically identified, the Committee envisions that facsimile transmissions would fall within the meaning of “electronic means.”
While the rule does not impose any special requirements on use of facsimile transmissions, neither does it presume that those transmissions are reliable. The rule treats all electronic transmissions in a similar fashion. Whatever the mode, the means used must be “reliable.” While the rule does not further define that term, the Committee envisions that a court or magistrate judge would make that determination as a local matter. In deciding whether a particular electronic means, or media, would be reliable, the court might consider first, the expected quality and clarity of the transmission. For example, is it possible to read the contents of the warrant in its entirety, as though it were the original or a clean photocopy? Second, the court may consider whether security measures are available to insure that the transmission is not compromised. In this regard, most courts are now equipped to require that certain documents contain a digital signature, or some other similar system for restricting access. Third, the court may consider whether there are reliable means of preserving the document for later use.
Amended Rule 41(e)(2)(B) is a new provision intended to address the contents of tracking device warrants. To avoid open-ended monitoring of tracking devices, the revised rule requires the magistrate judge to specify in the warrant the length of time for using the device. Although the initial time stated in the warrant may not exceed 45 days, extensions of time may be granted for good cause. The rule further specifies that any installation of a tracking device authorized by the warrant must be made within ten calendar days and, unless otherwise provided, that any installation occur during daylight hours.
Subdivision (f). Current Rule 41(f) has been completely revised to accommodate new provisions dealing with tracking device warrants. First, current Rule 41(f)(1) has been revised to address execution and delivery of warrants to search for and seize a person or property; no substantive change has been made to that provision. New Rule 41(f)(2) addresses execution and delivery of tracking device warrants. That provision generally tracks the structure of revised Rule 41(f)(1), with appropriate adjustments for the particular requirements of tracking device warrants. Under Rule 41(f)(2)(A) the officer must note on the warrant the time the device was installed and the period during which the device was used. And under new Rule 41(f)(2)(B), the officer must return the tracking device warrant to the magistrate judge designated in the warrant, within 10 calendar days after use of the device has ended.
Amended Rule 41(f)(2)(C) addresses the particular problems of serving a copy of a tracking device warrant on the person who has been tracked, or whose property has been tracked. In the case of other warrants, current Rule 41 envisions that the subjects of the search typically know that they have been searched, usually within a short period of time after the search has taken place. Tracking device warrants, on the other hand, are by their nature covert intrusions and can be successfully used only when the person being investigated is unaware that a tracking device is being used. The amendment requires that the officer must serve a copy of the tracking device warrant on the person within 10 calendar days after the tracking has ended. That service may be accomplished by either personally serving the person, or both by leaving a copy at the person's residence or usual abode and by sending a copy by mail. The Rule also provides, however, that the officer may (for good cause) obtain the court's permission to delay further service of the warrant. That might be appropriate, for example, where the owner of the tracked property is undetermined, or where the officer establishes that the investigation is ongoing and that disclosure of the warrant will compromise that investigation.
Use of a tracking device is to be distinguished from other continuous monitoring or observations that are governed by statutory provisions or caselaw. See Title III, Omnibus Crime Control and Safe Streets Act of 1968, as amended by Title I of the 1986 Electronic Communications Privacy Act [Electronic Communications Privacy Act of 1986], 18 U.S.C. §§2510 –2520 [sic]; United States v. Biasucci, 786 F.2d 504 (2d Cir. 1986) (video camera); United States v. Torres, 751 F.2d 875 (7th Cir. 1984) (television surveillance).
Finally, amended Rule 41(f)(3) is a new provision that permits the government to request, and the magistrate judge to grant, a delay in any notice required in Rule 41. The amendment is co-extensive with 18 U.S.C. §3103a (b). That new provision, added as part of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001, authorizes a court to delay any notice required in conjunction with the issuance of any search warrants.
Changes Made After Publication and Comment. The Committee agreed with the NADCL [sic] proposal that the words “has authority” should be inserted in Rule 41(c)(3), and (4) to parallel similar language in Rule 41(c)(1) and (2). The Committee also considered, but rejected, a proposal from NADCL [sic] to completely redraft Rule 41(d), regarding the finding of probable cause. The Committee also made minor clarifying changes in the Committee Note.
Committee Notes on Rules—2008 Amendment
Subdivision (b)(5). Rule 41(b)(5) authorizes a magistrate judge to issue a search warrant for property located within certain delineated parts of United States jurisdiction that are outside of any State or any federal judicial district. The locations covered by the rule include United States territories, possessions, and commonwealths not within a federal judicial district as well as certain premises associated with United States diplomatic and consular missions. These are locations in which the United States has a legally cognizable interest or in which it exerts lawful authority and control. The rule is intended to authorize a magistrate judge to issue a search warrant in any of the locations for which 18 U.S.C. §7 (9) provides jurisdiction. The difference between the language in this rule and the statute reflect the style conventions used in these rules, rather than any intention to alter the scope of the legal authority conferred. Under the rule, a warrant may be issued by a magistrate judge in any district in which activities related to the crime under investigation may have occurred, or in the District of Columbia, which serves as the default district for venue under 18 U.S.C. §3238.
Rule 41(b)(5) provides the authority to issue warrants for the seizure of property in the designated locations when law enforcement officials are required or find it desirable to obtain such warrants. The Committee takes no position on the question whether the Constitution requires a warrant for searches covered by the rule, or whether any international agreements, treaties, or laws of a foreign nation might be applicable. The rule does not address warrants for persons, which could be viewed as inconsistent with extradition requirements.
Changes Made to Proposed Amendment Released for Public Comment. With the assistance of the Style Consultant, the Committee revised (b)(5)(B) and (C) for greater clarity and compliance with the style conventions governing these rules. Because the language no longer tracks precisely the statute, the Committee Note was revised to state that the proposed rule is intended to have the same scope as the jurisdictional provision upon which it was based, 18 U.S.C. §7 (9).
Committee Notes on Rules—2009 Amendment
The time set in the former rule at 10 days has been revised to 14 days. See the Committee Note to Rule 45(a).
Subdivision (e)(2). Computers and other electronic storage media commonly contain such large amounts of information that it is often impractical for law enforcement to review all of the information during execution of the warrant at the search location. This rule acknowledges the need for a two-step process: officers may seize or copy the entire storage medium and review it later to determine what electronically stored information falls within the scope of the warrant.
The term “electronically stored information” is drawn from Rule 34(a) of the Federal Rules of Civil Procedure, which states that it includes “writings, drawings, graphs, charts, photographs, sound recordings, images, and other data or data compilations stored in any medium from which information can be obtained.” The 2006 Committee Note to Rule 34(a) explains that the description is intended to cover all current types of computer-based information and to encompass future changes and developments. The same broad and flexible description is intended under Rule 41.
In addition to addressing the two-step process inherent in searches for electronically stored information, the Rule limits the 10 [14] day execution period to the actual execution of the warrant and the on-site activity. While consideration was given to a presumptive national or uniform time period within which any subsequent off-site copying or review of the media or electronically stored information would take place, the practical reality is that there is no basis for a “one size fits all” presumptive period. A substantial amount of time can be involved in the forensic imaging and review of information. This is due to the sheer size of the storage capacity of media, difficulties created by encryption and booby traps, and the workload of the computer labs. The rule does not prevent a judge from imposing a deadline for the return of the storage media or access to the electronically stored information at the time the warrant is issued. However, to arbitrarily set a presumptive time period for the return could result in frequent petitions to the court for additional time.
It was not the intent of the amendment to leave the property owner without an expectation of the timing for return of the property, excluding contraband or instrumentalities of crime, or a remedy. Current Rule 41(g) already provides a process for the “person aggrieved” to seek an order from the court for a return of the property, including storage media or electronically stored information, under reasonable circumstances.
Where the “person aggrieved” requires access to the storage media or the electronically stored information earlier than anticipated by law enforcement or ordered by the court, the court on a case by case basis can fashion an appropriate remedy, taking into account the time needed to image and search the data and any prejudice to the aggrieved party.
The amended rule does not address the specificity of description that the Fourth Amendment may require in a warrant for electronically stored information, leaving the application of this and other constitutional standards concerning both the seizure and the search to ongoing case law development.
Subdivision (f)(1). Current Rule 41(f)(1) does not address the question of whether the inventory should include a description of the electronically stored information contained in the media seized. Where it is impractical to record a description of the electronically stored information at the scene, the inventory may list the physical storage media seized. Recording a description of the electronically stored information at the scene is likely to be the exception, and not the rule, given the large amounts of information contained on electronic storage media and the impracticality for law enforcement to image and review all of the information during the execution of the warrant. This is consistent with practice in the “paper world.” In circumstances where filing cabinets of documents are seized, routine practice is to list the storage devices, i.e., the cabinets, on the inventory, as opposed to making a document by document list of the contents.
Changes Made to Proposed Amendment Released for Public Comment. The words “copying or” were added to the last line of Rule 41(e)(2)(B) to clarify that copying as well as review may take place off-site.
The Committee Note was amended to reflect the change to the text and to clarify that the amended Rule does not speak to constitutional questions concerning warrants for electronic information. Issues of particularity and search protocol are presently working their way through the courts. Compare United States v. Carey, 172 F.3d 1268 (10th Cir. 1999) (finding warrant authorizing search for “documentary evidence pertaining to the sale and distribution of controlled substances” to prohibit opening of files with a .jpg suffix) and United States v. Fleet Management Ltd., 521 F. Supp. 2d 436 (E.D. Pa. 2007) (warrant invalid when it “did not even attempt to differentiate between data that there was probable cause to seize and data that was completely unrelated to any relevant criminal activity”) with United States v. Comprehensive Drug Testing, Inc., 513 F.3d 1085 (9th Cir. 2008) (the government had no reason to confine its search to key words; “computer files are easy to disguise or rename, and were we to limit the warrant to such a specific search protocol, much evidence could escape discovery simply because of [the defendants’] labeling of the files”); United States v. Brooks, 427 F.3d 1246 (10th Cir. 2005) (rejecting requirement that warrant describe specific search methodology).
Minor changes were also made to conform to style conventions.
Committee Notes on Rules—2011 Amendment
Subdivisions (d)(3) and (e)(3). The amendment deletes the provisions that govern the application for and issuance of warrants by telephone or other reliable electronic means. These provisions have been transferred to new Rule 4.1, which governs complaints and warrants under Rules 3, 4, 9, and 41.
Subdivision (e)(2). The amendment eliminates unnecessary references to “calendar” days. As amended effective December 1, 2009, Rule 45(a)(1) provides that all periods of time stated in days include “every day, including intermediate Saturdays, Sundays, and legal holidays[.]”
Subdivisions (f)(1) and (2). The amendment permits any warrant return to be made by reliable electronic means. Requiring an in-person return can be burdensome on law enforcement, particularly in large districts when the return can require a great deal of time and travel. In contrast, no interest of the accused is affected by allowing what is normally a ministerial act to be done electronically. Additionally, in subdivision (f)(2) the amendment eliminates unnecessary references to “calendar” days. As amended effective December 1, 2009, Rule 45(a)(1) provides that all periods of time stated in days include “every day, including intermediate Saturdays, Sundays, and legal holidays[.]”
Changes Made to Proposed Amendment Released for Public Comment
Obsolescent references to “calendar” days were deleted by a technical and conforming amendment not included in the rule as published. No other changes were made after publication.
Committee Notes on Rules—2016 Amendment
Subdivision (b). The revision to the caption is not substantive. Adding the word “venue” makes clear that Rule 41(b) identifies the courts that may consider an application for a warrant, not the constitutional requirements for the issuance of a warrant, which must still be met.
Subdivision (b)(6). The amendment provides that in two specific circumstances a magistrate judge in a district where activities related to a crime may have occurred has authority to issue a warrant to use r emote access to search electronic storage media and seize or copy electronically stored information even when that media or information is or may be located outside of the district.
First, subparagraph (b)(6)(A) provides authority to issue a warrant to use remote access within or outside that district when the district in which the media or information is located is not known because of the use of technology such as anonymizing software.
Second, (b)(6)(B) allows a warrant to use remote access within or outside the district in an investigation of a violation of 18 U.S.C. § 1030(a)(5) if the media to be searched are protected computers that have been damaged without authorization, and they are located in many districts. Criminal activity under 18 U.S.C. § 1030(a)(5) (such as the creation and control of “botnets”) may target multiple computers in several districts. In investigations of this nature, the amendment would eliminate the burden of attempting to secure multiple warrants in numerous districts, and allow a single judge to oversee the investigation.
As used in this rule, the terms “protected computer” and “damage” have the meaning provided in 18 U.S.C. § 1030(e)(2) & (8).
The amendment does not address constitutional questions, such as the specificity of description that the Fourth Amendment may require in a warrant for remotely searching electronic storage media or seizing or copying electronically stored information, leaving the application of this and other constitutional standards to ongoing case law development.
Subdivision (f)(1)(C). The amendment is intended to ensure that reasonable efforts are made to provide notice of the search, seizure, or copying, as well as a receipt for any information that was seized or copied, to the person whose property was searched or who possessed the in formation that was seized or copied. Rule 41(f)(3) allows delayed notice only “if the delay is authorized by statute.” See 18 U.S.C. § 3103a (authorizing delayed notice in limited circumstances).
Amendment by Public Law
2001 —Subd. (a). Pub. L. 107–56 inserted before period at end “and (3) in an investigation of domestic terrorism or international terrorism (as defined in section 2331 of title 18, United States Code), by a Federal magistrate judge in any district in which activities related to the terrorism may have occurred, for a search of property or for a person within or outside the district”.
Effective Date of 1977 Amendment
Amendment of this rule by order of the United States Supreme Court on Apr. 26, 1976, modified and approved by Pub. L. 95–78, effective Oct. 1, 1977, see section 4 of Pub. L. 95–78, set out as an Effective Date of Pub. L. 95–78 note under section 2074 of Title 28, Judiciary and Judicial Procedure.
Effective Date of 1976 Amendment
Amendment of subd. (c)(1) by order of the United States Supreme Court of Apr. 26, 1976, effective Aug. 1, 1976, see section 1 of Pub. L. 94–349, set out as a note under section 2074 of Title 28, Judiciary and Judicial Procedure.
Effective Date of 1956 Amendment
Amendment by Order of April 9, 1956, became effective 90 days thereafter.
4.2.2 United States v. Werdene (3d Cir. 2018) 4.2.2 United States v. Werdene (3d Cir. 2018)
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UNITED STATES of America
v.
Gabriel WERDENE, Appellant
No. 16-3588
United States Court of Appeals, Third Circuit.
Argued on October 23, 2017
Opinion Filed: February 21, 2018
Leigh M. Skipper, Brett G. Sweitzer [Argued], Office of the Federal Public Defender, 601 Walnut Street, Suite 540 West, Philadelphia, PA 19106, Counsel for Appellant
Louis D. Lappen, Robert A. Zauzmer, Michelle L. Morgan [Argued], Office of United States Attorney, 615 Chestnut Street, Suite 1250, Philadelphia, PA 19106, Counsel for Appellee
Before: GREENAWAY, JR., NYGAARD, FISHER, Circuit Judges.
This case arises from the Federal Bureau of Investigation's (FBI) investigation into Playpen, a global online forum that existed on the dark web1 and that was dedicated to the advertisement and distribution of child pornography. The website had a substantial amount of users. In fact, more than 150,000 users collectively engaged in over 95,000 posts with over 9,000 forum topics related to child pornography. This appeal centers on the FBI's decision to rely on a single search warrant, issued in the Eastern District of Virginia ("EDVA"), to search the computers of thousands of Playpen users across the United States and the world using a form of government-created malware termed a "Network Investigative Technique" ("NIT").
Appellant Gabriel Werdene, a citizen of Pennsylvania, was a Playpen user whose computer was compromised by the NIT. Subsequently, he was charged in the Eastern District of Pennsylvania ("EDPA") with one count of possessing child pornography, in violation of 18 U.S.C. § 2252(a)(4)(B). He filed a motion to suppress the evidence seized during the search of his computer, including the information revealed by the use of the NIT. The District Court denied the suppression motion, holding that the NIT warrant violated the version of Fed. R. Crim. P. 41(b) then in effect (" Rule 41(b)")2 , but that the *207NIT itself did not constitute a search under the Fourth Amendment and that Werdene was not prejudiced by the error. On appeal, Werdene contends that the District Court erred in holding that no Fourth Amendment search took place. Further, he argues that the issuance of the warrant violated his Fourth Amendment rights because it lacked particularity and was issued in violation of the jurisdictional requirements set forth in both Rule 41(b) and the Federal Magistrates Act. The Government concedes that a Fourth Amendment search occurred, but contends that the NIT was authorized by Rule 41(b)(4) and that, in any event, the good-faith exception to the exclusionary rule precludes suppression.
We hold that the NIT warrant violated the prior version of Rule 41(b) and that the magistrate judge exceeded her authority under the Federal Magistrates Act. The warrant was therefore void ab initio , and the Rule 41(b) infraction rose to the level of a Fourth Amendment violation. However, we agree with the Government that the good-faith exception to the exclusionary rule may apply to warrants that are void ab initio , which ultimately precludes suppression in this case. We therefore will affirm on alternative grounds the District Court's decision to deny Werdene's suppression motion.
I. FACTS AND PROCEDURAL HISTORY
To inform our forthcoming analysis, we shall detail how Playpen escaped traditional law enforcement detection and how the FBI circumvented the dark web to apprehend its users.
A. Tor
The Playpen site operated on the anonymous "The Onion Router" ("Tor") network-a constituent part of the "dark web"-which allows users to conceal their actual internet protocol ("IP") addresses while accessing the internet.3 An IP address is a unique identifier assigned by an internet service provider to every computer having access to the internet, including computer servers that host websites. Websites that the computer user visits can log the computer's IP address, creating a digital record of activity on each website. After lawful seizure of an illicit website under normal circumstances, law enforcement is able to retrieve the website's IP log to locate and apprehend its users.
Tor, however, prevents websites from registering a computer's actual IP address by sending user communications through a network of relay computers called "nodes" up until those communications reach the website. Numerous intermediary computers therefore stand between the accessing computer and the website, and the website can log the IP address of only the "exit node", which is the final computer in the sequence. Accordingly, Playpen's IP log-like that of other Tor websites-contained only the IP addresses of the exit nodes, rendering traditional IP identification techniques useless.
B. The Playpen Investigation
In December 2014, a foreign law enforcement agency informed the FBI that Playpen was being hosted by a computer server in North Carolina. Playpen's administrator was identified as a person residing *208in Florida, who was promptly arrested.4 The FBI then lawfully seized the server, moved it to a government facility in EDVA, and obtained a wiretap order to monitor communications on it. It then assumed administrative control of Playpen and allowed the website to operate while law enforcement officials tried to circumvent Tor and identify Playpen's users.
The FBI's solution was the NIT, a form of government-created malware that allowed the FBI to retrieve identifying information from Playpen users located all around the world. The NIT's deployment worked in multiple steps. First, the FBI modified Playpen's code so that each accessing computer-unknowingly to the user and no matter the computer's physical location-downloaded the NIT whenever a "user or administrator log[ged] into [Playpen] by entering a username and password." App. 133. Once downloaded, the NIT searched the accessing computer for seven discrete pieces of identifying information: (1) an IP address; (2) a unique identifier to distinguish the data from that of other computers; (3) the type of operating system; (4) information about whether the NIT had already been delivered; (5) a Host Name; (6) an active operating system username; and (7) a Media Access Control address. Finally, the NIT transmitted this information back to a government-controlled computer in EDVA. The FBI postulated that it could then rely on this information to identify users' premises and distinguish their computers from other computers located within their proximity.
In February 2015, the FBI obtained a search warrant from a magistrate judge in EDVA to deploy the NIT to all "activating computers." App. 106. An "activating computer" was defined in the search warrant as the computer of "any user or administrator who logs into [Playpen] by entering a username and password." Id . Further, the NIT could be deployed to any activating computer "wherever located ." App. 136 (emphasis added). In other words, this single warrant authorized the FBI to retrieve identifying information from computers all across the United States, and from all around the world. Most importantly, these computers were overwhelmingly located outside of EDVA.
C. Charges Against Werdene and Suppression Motion
Analysis of the NIT data revealed the IP address of a Playpen user, eventually identified as Werdene, residing in Bensalem, Pennsylvania. In the final month of the website's operation, Werdene was logged in for approximately ten hours and made six text postings, commenting on child pornography and sharing links under the username "thepervert." The FBI obtained a separate search warrant for Werdene's home from a magistrate judge in EDPA, where agents seized one USB drive and one DVD containing child pornography.5
In September 2015, Werdene was charged in EDPA with one count of possessing child pornography, in violation of 18 U.S.C. § 2252(a)(4)(B). He filed a motion to suppress the evidence seized during *209the search of his computer, including the information revealed by the NIT, the evidence subsequently seized from his home, and statements that he later made to the FBI. Werdene argued that the warrant was issued in violation of the jurisdictional requirements set forth in Rule 41(b), and that suppression was required because the violation was constitutional in nature and the good-faith exception to the exclusionary rule did not apply. The Government did not contend that the NIT warrant was explicitly authorized by Rule 41(b), but argued that the rule was flexible and expansive, and included warrants based on technological advances-such as the NIT warrant-which came within the spirit of the rule.
The District Court denied the motion in a memorandum and order issued on May 18, 2016. It first held that the NIT warrant violated Rule 41(b) because the magistrate judge in EDVA was without authority to issue a warrant to search Werdene's computer in EDPA. But the District Court also held that the NIT was not a "search" within the meaning of the Fourth Amendment because Werdene lacked a reasonable expectation of privacy to his computer's IP address. It concluded that the Fourth Amendment was not implicated, and that the Rule 41(b) violation was only "technical" in nature. The District Court therefore denied the suppression motion on the bases that the Government did not intentionally disregard the Rule's requirements and that Werdene was not prejudiced by the violation. This appeal followed.
On June 7, 2016, Werdene pled guilty pursuant to a plea agreement in which he reserved his right to appeal the District Court's ruling on the suppression motion. On September 7, 2016, the District Court accepted the recommendation of the U.S. Probation Office and applied a downward variance from the United States Federal Sentencing Guideline's range of 51-63 months. It sentenced Werdene to 24 months' imprisonment, a term of supervised release of five years, and restitution in the amount of $1,500.
II. JURISDICTION AND STANDARD OF REVIEW
The District Court had original jurisdiction over this case pursuant to 18 U.S.C. § 3231. Our jurisdiction arises from 28 U.S.C. § 1291. "We review the District Court's denial of a motion to suppress for clear error as to the underlying factual determinations but exercise plenary review over the District Court's application of law to those facts." United States v. Murray , 821 F.3d 386, 390-91 (3d Cir. 2016) (quoting United States v. Stabile , 633 F.3d 219, 230 (3d Cir. 2011) ).
III. DISCUSSION
This case requires us to decide a multitude of issues regarding Rule 41 and the Fourth Amendment. First, we must determine whether the NIT warrant violated Rule 41. If it did not, then we will affirm the District Court because there is no basis to grant Werdene's suppression motion. Second, if it did violate Rule 41, then we are required to decide whether the breach rose to the level of a Fourth Amendment violation. To do so, we consider whether the NIT warrant, by being issued by a magistrate judge beyond her jurisdiction, was void ab initio and, if so, whether such a transgression constituted a Fourth Amendment violation in the founding era. See Virginia v. Moore , 553 U.S. 164, 168, 128 S.Ct. 1598, 170 L.Ed.2d 559 (2008). If we do not find that a Fourth Amendment violation occurred, then the suppression motion must be denied unless Werdene can prove that he was prejudiced by the error or that the FBI acted with *210intentional and deliberate disregard for Rule 41. See United States v. Martinez-Zayas , 857 F.2d 122, 136 (3d Cir. 1988), overruled in part on other grounds by United States v. Chapple , 985 F.2d 729 (3d Cir. 1993). Third, if a Fourth Amendment violation did occur, then we are called upon to decide an issue of first impression for this Court: whether the good-faith exception to the exclusionary rule applies when a warrant is void ab initio . If it does not, then we apply the exclusionary rule without consideration of the good-faith exception. Fourth, if the good-faith exception does apply, then we must determine if it precludes suppression in this case.
For the reasons discussed below, we hold that the NIT warrant violated Rule 41(b). As a result, the magistrate judge not only exceeded her authority under the Rule as then drafted, but also under the Federal Magistrates Act, rendering the warrant void ab initio and raising the magnitude of the infraction from a technical one to a Fourth Amendment violation. On the other hand, we also hold that the good-faith exception applies to such warrants, which, given the circumstances of this case, precludes suppression. We therefore will affirm on alternative grounds the District Court's decision to deny Werdene's suppression motion.
A. Federal Magistrate Judge Jurisdiction
The Federal Magistrates Act, 28 U.S.C. § 636(a), authorizes federal magistrate judges to exercise the "powers and duties conferred ... by the Rules of Criminal Procedure" in three geographic areas: "[1] within the district in which sessions are held by the court that appointed the magistrate judge, [2] at other places where that court may function, and [3] elsewhere as authorized by law." § 636(a) ; see also United States v. Krueger , 809 F.3d 1109, 1118 (10th Cir. 2015) (Gorsuch, J., concurring). Accordingly, § 636(a) creates "jurisdictional limitations on the power of magistrate judges" because it "expressly and independently limits where those powers will be effective." Krueger , 809 F.3d at 1119 (Gorsuch, J., concurring); see also United States v. Hazlewood , 526 F.3d 862, 864 (5th Cir. 2008) ("In the Federal Magistrates Act, 28 U.S.C. § 636, Congress conferred jurisdiction to federal magistrate-judge[s]"); N.L.R.B. v. A-Plus Roofing, Inc. , 39 F.3d 1410, 1415 (9th Cir. 1994) ("[F]ederal magistrates are creatures of [ § 636(a) ], and so is their jurisdiction."); Gov't of Virgin Islands v. Williams , 892 F.2d 305, 309 (3d Cr. 1989) ("The jurisdiction of federal magistrates is defined by the Federal Magistrates Act.").
While § 636(a) defines the geographic scope of a magistrate judge's powers, the Rules of Criminal Procedure-including Rule 41(b) -define what those powers are. See § 636(a)(1) ; see also Krueger , 809 F.3d at 1119 (Gorsuch, J., concurring). Rule 41(b) provides that a magistrate judge may "issue a warrant to search for and seize a person or property located within the district." Fed. R. Crim. P. 41(b)(1). At the time that the NIT warrant was issued, the Rule also authorized four exceptions to this territorial restriction: (1) for property that might be moved outside the district before the warrant is executed, Fed. R. Crim. P. 41(b)(2) ; (2) for terrorism investigations, Fed. R. Crim. P. 41(b)(3) ; (3) to install a tracking device within the magistrate judge's district that may track the movement of property outside that district, Fed. R. Crim. P. 41(b)(4) ; and (4) to search and seize property located outside any district but within the jurisdiction of the United States, Fed. R. Crim. P. 41(b)(5). Notably, "[n]one of these [ Rule 41(b) ] exceptions expressly allow a magistrate judge in one jurisdiction to authorize the search of a computer in a different *211jurisdiction." United States v. Horton , 863 F.3d 1041, 1047 (8th Cir. 2017).
B. The NIT Warrant Violated Rule 41(b)
We must first determine whether the NIT warrant violated Rule 41(b). The Government conceded below that "[a]lthough Rule 41 does authorize a judge to issue a search warrant for a search in another district in some circumstances, it does not explicitly do so in these circumstances ." App. 91 (Government Br. in Opposition to Motion to Suppress) (emphasis added). Given the concession, the Government instead argued that the Rule set forth an illustrative, rather than exhaustive, list of circumstances in which a magistrate judge may issue a warrant.
On appeal, however, the Government curiously has reversed course, and now contends that the NIT was in fact explicitly authorized by Rule 41(b)(4), which provides that a magistrate judge may "issue a warrant to install within the district a tracking device; the warrant may authorize use of the device to track the movement of a person or property located within the district, outside the district, or both." Fed. R. Crim. P. 41(b)(4) (emphasis added).
According to the Government, under this Rule, "the NIT warrant properly authorized use of the NIT to track the movement of information-the digital child pornography content requested by users who logged into Playpen's website-as it traveled from the server in [EDVA] through the encrypted Tor network to its final destination: the users' computers, wherever located." Government Br. at 30. At that point, the NIT caused the Playpen users' computers to transmit the identifying information back to the FBI over the open internet, thus enabling law enforcement to locate and identify the user. In the Government's estimation, the NIT is similar to a transmitter affixed to an automobile that is programmed to send location-enabling signals (like GPS coordinates) back to a government-controlled receiver because it was designed to send location-enabling information (like an actual IP address) back to a government-controlled computer. "Thus, although not a physical beeper affixed to a tangible object [as was the case in, for example, United States v. Karo , 468 U.S. 705, 104 S.Ct. 3296, 82 L.Ed.2d 530 (1984) ], the NIT operated as a digital tracking device of intangible information within the meaning of Rule 41(b)(4)." Id . at 32.
We need not resolve Werdene's contention that the Government waived this argument because we find that the Government's tracking device analogy is inapposite. As an initial matter, it is clear that the FBI did not believe that the NIT was a tracking device at the time that it sought the warrant. Warrants issued under Rule 41(b)(4) are specialized documents that are denominated "Tracking Warrant" and require the Government to submit a specialized "Application for a Tracking Warrant." See ADMINISTRATIVE OFFICE OF U.S. COURTS, CRIMINAL FORMS AO 102 (2009) & AO 104 (2016). Here, the FBI did not submit an application for a tracking warrant-rather, it applied for, and received, a standard search warrant. Indeed, the term "tracking device" is absent from the NIT warrant application and supporting affidavit.
More importantly, the analogy does not withstand scrutiny. The explicit purpose of the warrant was not to track movement-as would be required under Rule 41(b)(4) -but to "obtain[ ] information" from "activating computers." App. 106. As discussed above, the NIT was designed to search -not track -the user's computer for the IP address and other identifying information, and to transmit that data *212back to a government-controlled server. Although the seized information (mainly the IP address) assisted the FBI in identifying a user, it provided no information as to the computer's or user's precise and contemporary physical location. This fact-that the NIT did not track movement -is dispositive, because Rule 41(b)(4) is "based on the understanding that the device will assist officers only in tracking the movements of a person or object." Fed. R. Crim. P. 41 Advisory Committee's Note (2006) (emphasis added); see also Fed. R. Crim. P. 41(a)(2)(E) (incorporating the definition of "tracking device" from 18 U.S.C. § 3117(b), which is "an electronic or mechanical device which permits the tracking of the movement of a person or object." 18 U.S.C. § 3117(b) (emphasis added) ). The NIT, by not contemporaneously transmitting the location of the computers that it searched, was therefore unlike the quintessential tracking device that the Government used in United States v. Jones , which "track[ed] the vehicle's movements ... [b]y means of signals from multiple satellites, the device established the vehicle's location within 50 to 100 feet, and communicated that location by cellular phone to a Government computer." 565 U.S. 400, 403, 132 S.Ct. 945, 181 L.Ed.2d 911 (2012) (emphasis added).
Furthermore, Rule 41(b)(4) requires that a tracker be "install[ed] within the district." Fed. R. Crim. P. 41(b)(4). It is difficult to imagine a scenario where the NIT was "installed" on Werdene's computer-which was physically located in Pennsylvania-in EDVA. The Eighth Circuit, which is the only other Court of Appeals to address the Government's Rule 41(b)(4) argument to date, rejected it on this basis:
The government argues that the defendants made a "virtual" trip to the Eastern District of Virginia to access child pornography and that investigators "installed" the NIT within that district. Although plausible, this argument is belied by how the NIT actually worked: it was installed on the defendants' computers in their homes in Iowa.... [W]e agree with the district court that the "virtual trip" fiction "stretches the rule too far."
Horton , 863 F.3d at 1047-48 (citations omitted).
The Government correctly contends that Rule 41 should be read flexibly "to include within its scope electronic intrusions authorized upon a finding of probable cause" so that it can keep up with technological innovations. United States v. New York Tel. Co. , 434 U.S. 159, 169, 98 S.Ct. 364, 54 L.Ed.2d 376 (1977). However, as the District Court aptly stated, "[e]ven a flexible application of the Rule ... is insufficient to allow the Court to read into it powers possessed by the magistrate that are clearly not contemplated and do not fit into any of the five subsections." United States v. Werdene , 188 F.Supp.3d 431, 441 (E.D. Pa. 2016). For the aforementioned reasons, the NIT was not a "tracking device" under Rule 41(b)(4), and therefore the warrant violated the Rule.6
C. The NIT Warrant Violated the Fourth Amendment
Since the NIT warrant violated Rule 41(b), we next consider the nature of the violation to assess if suppression is warranted. See *213United States v. Simons , 206 F.3d 392, 403 (4th Cir. 2000) ("There are two categories of Rule 41 violations: those involving constitutional violations, and all others."). If the violation is "constitutional"-i.e., a violation of the Fourth Amendment-then suppression is governed by the exclusionary rule standards applicable to Fourth Amendment violations generally. See Martinez-Zayas , 857 F.2d at 136 ; see also United States v. Franz , 772 F.3d 134, 145 (3d Cir. 2014) ("The exclusionary rule is a prudential doctrine designed to enforce the Fourth Amendment...."). If, however, the violation is not of constitutional magnitude, but rather is "ministerial" or "technical" in nature, then suppression is warranted only if "(1) there was 'prejudice' in the sense that the search might not have occurred or would not have been so abrasive if the Rule had been followed, or (2) there is evidence of intentional and deliberate disregard of a provision in the Rule." Martinez-Zayas , 857 F.2d at 136 (quoting United States v. Burke , 517 F.2d 377, 386-87 (2d Cir. 1975) ).
The Fourth Amendment guarantees that:
[t]he right of the people to be secure in their persons, houses, papers, and effects against unreasonable searches and seizures, shall not be violated, and no Warrant shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.
U.S. Const. amend. IV.
"[T]he overriding function of the Fourth Amendment is to protect personal privacy and dignity against unwarranted intrusion by the State." Reedy v. Evanson , 615 F.3d 197, 228 (3d Cir. 2010) (quoting Schmerber v. California , 384 U.S. 757, 767, 86 S.Ct. 1826, 16 L.Ed.2d 908 (1966) ); see also United States v. Pollard , 326 F.3d 397, 410 (3d Cir. 2003) ("The Fourth Amendment's 'central concern ... is to protect liberty and privacy from arbitrary and oppressive interference by government officials.' " (quoting United States v. Ortiz, 422 U.S. 891, 895, 95 S.Ct. 2585, 45 L.Ed.2d 623 (1975) ) ). The Fourth Amendment only prohibits unreasonable searches and seizures, and the Supreme Court has counseled that the Fourth Amendment encompasses "at a minimum, the degree of protection it afforded when it was adopted." Jones , 565 U.S. at 411, 132 S.Ct. 945. Accordingly, "[w]e look to the statutes and common law of the founding era to determine the norms that the Fourth Amendment was meant to preserve." Moore , 553 U.S. at 168, 128 S.Ct. 1598 ; see also United States v. Phillips , 834 F.3d 1176, 1179 (11th Cir. 2016).
We must therefore determine whether the circumstances of this case constituted a Fourth Amendment violation during the founding era.7 "The principle animating *214the common law at the time of the Fourth Amendment's framing was clear: a warrant may travel only so far as the power of its issuing official." Krueger , 809 F.3d at 1124 (Gorsuch, J., concurring). The NIT warrant clearly violated this precept. The magistrate judge not only exceeded the territorial scope of Rule 41(b), but, as a result of that violation, she also exceeded the jurisdiction that § 636(a) imposes on magistrate judges. Under § 636(a), the magistrate judge was only authorized to exercise the powers of Rule 41(b) under three circumstances: (1) "within the district" that appointed her-i.e., EDVA, (2) "at other places where [EDVA] may function", and (3) "elsewhere as authorized by law." § 636(a). Pennsylvania obviously does not fall within the confines of EDVA or its places of function, and we have already held that Rule 41(b) did not authorize the NIT warrant.
The NIT warrant was therefore void ab initio because it violated § 636(a) 's jurisdictional limitations and was not authorized by any positive law.8 See United States v. Master , 614 F.3d 236, 239 (6th Cir. 2010) ("[W]hen a warrant is signed by someone who lacks the legal authority necessary to issue search warrants, the warrant is void ab initio .") (quoting United States v. Scott , 260 F.3d 512, 515 (6th Cir. 2001) ); see also Horton , 863 F.3d at 1049 ("[T]he NIT warrant was void ab initio ...."); United States v. Baker , 894 F.2d 1144, 1147 (10th Cir. 1990) (suppressing evidence of search on Indian land because state court lacked authority to issue search warrant).
It follows that the Rule 41(b) violation was of constitutional magnitude because "at the time of the framing ... a warrant issued for a search or seizure beyond the territorial jurisdiction of a magistrate's powers under positive law was treated as no warrant at all." Krueger , 809 F.3d at 1123 (Gorsuch, J., concurring); see also Engleman v. Deputy Murray , 546 F.3d 944, 948-49 (8th Cir. 2008) ("Under a historical understanding of the Fourth Amendment, the jurisdiction of the issuing judge and the executing officer is limited, and a warrant is not valid if an officer acts outside of that limited jurisdiction.").
The Government retorts that the NIT warrant was valid for the purposes of the Fourth Amendment because it met the Supreme Court's three constitutional requirements for validity: it was "(1) supported by probable cause, (2) sufficiently particular, and (3) issued by a neutral and detached magistrate." Government Br. at 36 (citing Dalia v. United States , 441 U.S. 238, 255, 99 S.Ct. 1682, 60 L.Ed.2d 177 (1979) ). Furthermore, the Government frames Rule 41(b) as a venue provision that is entirely procedural in nature and not substantive-accordingly, because the Fourth Amendment is silent about the proper venue for applying for a search warrant, a Rule 41(b) violation can "only rarely [be] deemed constitutional." Id . at 38. But none of this overcomes our dispositive finding that the magistrate judge acted outside of her jurisdiction under § 636(a). As the D.C. Circuit aptly put it, "[e]ven if we assume that an imperfect authorizing order could be thought facially sufficient, we do not see how a blatant disregard of a ... judge's jurisdictional limitation can be regarded as only 'technical.' " United States v. Glover , 736 F.3d 509, 515 (D.C. Cir. 2013).9
*215D. The Exclusionary Rule and Good Faith Exception
Having established that a Fourth Amendment violation occurred, we must now address an issue of first impression for this Court: does the good-faith exception to the exclusionary rule apply when a warrant is void ab initio due to the magistrate judge lacking jurisdiction to issue it? We must consider the purpose of the exclusionary rule to address this inquiry. See United States v. Wright , 777 F.3d 635, 640 (3d Cir. 2015) (considering "the extent to which the violation ... undermined the purposes of the Fourth Amendment" when applying exclusionary rule).
The exclusionary rule is a prudential doctrine that "prevent[s] the government from relying at trial on evidence obtained in violation of the [Fourth] Amendment's strictures." Franz , 772 F.3d at 145. However, the rule is not intended to remedy Fourth Amendment violations, and does not necessarily apply each time a violation occurs. See Herring v. United States , 555 U.S. 135, 140, 129 S.Ct. 695, 172 L.Ed.2d 496 (2009). Put differently, "there is no constitutional right to have the evidentiary fruits of an illegal search or seizure suppressed at trial." United States v. Katzin , 769 F.3d 163, 170 (3d Cir. 2014) (en banc); see Davis v. United States , 564 U.S. 229, 236, 131 S.Ct. 2419, 180 L.Ed.2d 285 (2011) (noting that the Fourth Amendment "says nothing about suppressing evidence obtained in violation of [its] command."); United States v. Leon , 468 U.S. 897, 906, 104 S.Ct. 3405, 82 L.Ed.2d 677 (1984) ("[T]he use of fruits of a past unlawful search or seizure 'work[s] no new Fourth Amendment wrong.' " (quoting United States v. Calandra , 414 U.S. 338, 354, 94 S.Ct. 613, 38 L.Ed.2d 561 (1974) ) ).
Rather, the exclusionary rule aims to deter government violations of the Fourth Amendment. See Krueger , 809 F.3d at 1125 (Gorsuch, J., concurring) ("Even when an unreasonable search does exist, the Supreme Court has explained, we must be persuaded that 'appreciable deterrence' of police misconduct can be had before choosing suppression as the right remedy for a Fourth Amendment violation." (quoting Herring , 555 U.S. at 141, 129 S.Ct. 695 ) ); see also Elkins v. United States , 364 U.S. 206, 217, 80 S.Ct. 1437, 4 L.Ed.2d 1669 (1960) ("The [exclusionary] rule is calculated to prevent, not repair."). Accordingly, "[i]n determining whether the exclusionary rule applies, we engage in a cost-benefit analysis, balancing the 'deterrence benefits of suppression' against its 'substantial social costs.' " Franz , 772 F.3d at 145 (quoting Davis , 564 U.S. at 236, 131 S.Ct. 2419 ). These costs "almost always require[ ] courts to ignore reliable, trustworthy evidence bearing on guilt or innocence" of the defendant and "in many cases ... to suppress the truth and set the criminal loose in the community without punishment." Davis , 564 U.S. 229, 237, 131 S.Ct. 2419, 180 L.Ed.2d 285 (2011). As a result, "[s]uppression of evidence ... has always been our last resort, not our first impulse." Hudson v. Michigan , 547 U.S. 586, 591, 126 S.Ct. 2159, 165 L.Ed.2d 56 (2006).
In Katzin , we explained how the good-faith exception to the exclusionary rule effectuates this balance:
Where the particular facts of a case indicate that law enforcement officers *216act[ed] with an objectively reasonable good-faith belief that their conduct [was] lawful, or when their conduct involve[d] only simple, isolated negligence, there is no illicit conduct to deter. In such circumstances, the deterrence rationale loses much of its force and exclusion cannot pay its way. Alternatively, where law enforcement conduct is deliberate, reckless, or grossly negligent or involves recurring or systemic negligence, deterrence holds greater value and often outweighs the associated costs.
769 F.3d at 171 (internal quotation marks and citations omitted). We also acknowledged that the Supreme Court has applied the good-faith exception "across a range of cases." Id . (quoting Davis , 564 U.S. at 238, 131 S.Ct. 2419 ); see, e.g. , Davis , 564 U.S. at 241, 131 S.Ct. 2419 (good-faith exception applicable when warrant is invalid due to later-reversed binding appellate precedent); Herring , 555 U.S. at 147-48, 129 S.Ct. 695 (undiscovered error in police-maintained database); Arizona v. Evans, 514 U.S. 1, 14-16, 115 S.Ct. 1185, 131 L.Ed.2d 34 (1995) (undiscovered error in court-maintained database); Illinois v. Krull, 480 U.S. 340, 349-50, 107 S.Ct. 1160, 94 L.Ed.2d 364 (1987) (subsequently overturned statute); Massachusetts v. Sheppard, 468 U.S. 981, 990, 104 S.Ct. 3424, 82 L.Ed.2d 737 (1984) (judicial clerical error on warrant); Leon, 468 U.S. at 922, 104 S.Ct. 3405 (later-invalidated warrant).
On appeal, Werdene contends that the good-faith exception should not apply when a Fourth Amendment violation arises from a warrant that was void ab initio . He argues that the common theme in all of the Supreme Court's good-faith cases is that police reasonably relied on some positive law that was appropriately issued, even though it was later invalidated. According to Werdene, each of those sources-i.e., a warrant, a statute, binding case law, or non-binding case law-had the force of law, but a warrant that is void ab initio is different because "[a]ll proceedings of a court beyond its jurisdiction are void." Appellant Br. at 49 (quoting Ex parte Watkins , 28 U.S. 193, 197, 3 Pet. 193, 7 L.Ed. 650 (1830) ).
However, the fundamental flaw with Werdene's argument is that it does not appreciate the distinction between the validity of the warrant and the deterrence rationale of the exclusionary rule and the good-faith exception. Implicit in his argument is the assumption that where "the magistrate lacks authority to issue the contested warrant, the supposed 'good faith' of the officer who executes the warrant can do nothing to confer legal status upon the [void] warrant." Master , 614 F.3d at 242. But "whether to suppress evidence under the exclusionary rule is a separate question from whether the Government has violated an individual's Fourth Amendment rights." Katzin , 769 F.3d at 170 ; see also Master , 614 F.3d at 242 ("[T]he decision to exclude evidence is divorced from whether a Fourth Amendment violation occurred.").
Thus, in each of the Supreme Court's good-faith exception cases, "the Court has not focused on the type of Fourth Amendment violation at issue, but rather confined the 'good-faith inquiry ... to the objectively ascertainable question whether a reasonably well trained officer would have known that the search was illegal' in light of 'all of the circumstances.' " Horton , 863 F.3d at 1051 (quoting Herring , 555 U.S. at 145, 129 S.Ct. 695 ). We therefore hold that the good-faith exception applies to warrants that are void ab initio because "the issuing magistrate's lack of authority has no impact on police misconduct, if the officers mistakenly, but inadvertently, presented the warrant to an *217innocent magistrate." Master , 614 F.3d at 242.10
Having determined that the good-faith exception is applicable, we turn to whether it precludes suppression in this case. Here, the FBI sought and received a warrant, and we have identified only four scenarios in which reliance on a warrant is unreasonable:
(1) the magistrate issued the warrant in reliance on a deliberately or recklessly false affidavit;
(2) the magistrate abandoned his judicial role and failed to perform his neutral and detached function;
(3) the warrant was based on an affidavit so lacking in indicia of probable cause as to render official belief in its existence entirely unreasonable; or
(4) the warrant was so facially deficient that it failed to particularize the place to be searched or the things to be seized.
United States v. Pavulak , 700 F.3d 651, 664 (3d Cir. 2012) (quoting United States v. Stearn , 597 F.3d 540, 561 n.19 (3d Cir. 2010) ). The first three scenarios are entirely inapplicable here-Werdene contends only that the NIT warrant was facially deficient because it allegedly did not identify the location to be searched. But the NIT warrant adequately described the "Place to be Searched" as the "activating computers ... of any user or administrator who logs into [Playpen] by entering a username and password," and it described the "Information to be Seized ... from any 'activating' computer' " as seven discrete pieces of information. App. 106-07. The warrant was therefore far from facially deficient because it specified which computers would be searched and what information would be retrieved. See United States v. McLamb , 880 F.3d 685, 691 (4th Cir. 2018) ("Nor was the [NIT] warrant so 'facially deficient ... that the executing officers [could not] reasonably presume it to be valid.' " (second alteration in original) (quoting Leon , 468 U.S. at 923, 104 S.Ct. 3405 ) ); United States v. Levin , 874 F.3d 316, 323 (1st Cir. 2017) (same).
Here, the NIT warrant was issued by a neutral and detached, duly appointed magistrate judge, who determined that the warrant was supported by probable cause and particularly described the places to be searched and things to be seized. This, on its own, is sufficient for us to determine that the FBI acted in good-faith, especially because there is no evidence that it exceeded the scope of the warrant. See Leon , 468 U.S. at 922, 104 S.Ct. 3405 (" '[A] warrant issued by a magistrate normally suffices to establish' that a law enforcement officer has 'acted in good faith in conducting the search.' " (quoting United States v. Ross , 456 U.S. 798, 823, n.32, 102 S.Ct. 2157, 72 L.Ed.2d 572 (1982) ) ); see also Pavulak , 700 F.3d at 663 ("Ordinarily, the 'mere existence of a warrant ... suffices to prove that an officer conducted a search in good faith.' " (quoting Stearn , 597 F.3d at 561 ) ).
The Rule 41(b) error, therefore, was committed by the magistrate judge, not *218the FBI agents who reasonably relied on the NIT warrant, and we have repeatedly recognized that "officer[s] normally should not be penalized for the magistrate's mistake." Doe v. Groody , 361 F.3d 232, 244 (3d Cir. 2004) ; see also United States v. $ 92,422.57 , 307 F.3d 137, 152 (3d Cir. 2002) ("When a Magistrate Judge has [issued a warrant], law enforcement officers, who are rarely attorneys, are entitled to rely on the Magistrate Judge's judgment").
More importantly, the exclusionary rule "applies only where it 'result[s] in appreciable deterrence.' " Herring , 555 U.S. at 141, 129 S.Ct. 695 (quoting Leon , 468 U.S. at 909, 104 S.Ct. 3405 ) (emphasis added). Thus, even though Rule 41(b) did not authorize the magistrate judge to issue the NIT warrant, future law enforcement officers may apply for and obtain such a warrant pursuant to Rule 41(b)(6), which went into effect in December 2016 to authorize NIT-like warrants.11 Accordingly, a similar Rule 41(b) violation is unlikely to recur and suppression here will have no deterrent effect. This is dispositive because when the deterrent value of suppression is diminished, the "deterrence rationale loses much of its force and exclusion cannot pay its way." Katzin , 769 F.3d at 181 (quoting Leon , 468 U.S. at 907 n.6, 104 S.Ct. 3405 ).12
*219IV. CONCLUSION
For the reasons above, we will affirm on alternative grounds the District Court's decision to deny Werdene's suppression motion.
I join Judge Greenaway's well-reasoned opinion without reservation. However, I write separately to highlight a somewhat nuanced legal point that would go unnoticed were I not to comment. In an attempt to save the search at issue here from the strictures of the Fourth Amendment, the Government not only argued for application of the good faith exception, but also for the application of the tracking device exception set out in Fed. R. Crim. P. 41(b)(4) in the District Court. Anticipating that the Government might bring this argument up on appeal, Werdene argued in his opening brief that it was waived because the Government, contrary to its own interests, conceded in the District Court that none of Rule 41 's exceptions applied. And, indeed, the Government did concede-both in their opposition to the motion to suppress and in open court-that Rule 41 does not explicitly authorize a judge to issue a search warrant in the circumstances presented here. App. at 91-92, 250-251.
Now, the Government says that their tracking device argument is not waived because we can affirm on any basis that is supported by the record, see, e.g., Murray v. Bledsoe , 650 F.3d 246, 247 (3d Cir. 2011), and the Appellant does not quibble with that notion. Instead, Werdene argues that this prerogative is not available to an appellate court when a party has conceded the point on which we wish to affirm in district court. This is an interesting question and one that in my nearly three decades on this court I have not encountered.
The Government offers no authority to the contrary. Werdene points to one Supreme Court opinion and a couple of court of appeals opinions in support of his position. For example, in Steagald v. United States , 451 U.S. 204, 101 S.Ct. 1642, 68 L.Ed.2d 38 (1981), the Government conceded a particular factual point in the District Court (related to the ownership of a residence) and did so again in opposition to the petition for certiorari in the Supreme Court. But, in its brief to the Court, the Government argued the very point it had previously conceded in the District Court, maintaining that the Court could affirm by relying on any basis present on the record.
*220451 U.S. at 209, 101 S.Ct. 1642. The Supreme Court, to loosely paraphrase, would have none of it. The Court instructed that the Government loses its right to raise factual issues in the Supreme Court "when it has made contrary assertions in the courts below, when it has acquiesced in contrary findings by those courts, or when it has failed to raise such questions in a timely fashion during the litigation." Id . The other cases cited by the Appellant, United States v. Ornelas-Ledesma , 16 F.3d 714, 721 (7th Cir. 1994), United States v. Albrektsen , 151 F.3d 951, 954 (9th Cir. 1998), and United States v. Scales , 903 F.2d 765, 770 (10th Cir. 1990), all hold the Government to be bound by concessions it made in District Court.
Our case differs slightly in that the concession here was legal, not factual. In my view, this is a difference without a distinction. If, as here, the issue or argument has been conceded or waived before a district court, then we must not affirm on that basis. Judge Greenaway elided the issue as unnecessary to a decision in the cause before us. Slip Op. at 13. I do not disagree. I point out my thoughts on this matter nonetheless solely to remind practitioners of that old adage, "you cannot have it both ways." In my opinion, conceding a fact or a legal point in the District Court prevents us from affirming on that basis.
4.2.3 WhatsApp Inc. v. NSO Group Technologies Ltd., 472 F. Supp. 3d 649 (N.D. Cal. 2020) 4.2.3 WhatsApp Inc. v. NSO Group Technologies Ltd., 472 F. Supp. 3d 649 (N.D. Cal. 2020)
Subsequent history: aff’d, 17 F.4th 930 (9th Cir. 2021); petition for cert. filed, Apr. 6, 2022 (No. 21-1338)
Need help understanding this case? Here's news coverage of the ruling. Want to know more about how NSO Group helps foreign governments violate human rights? Read this New Yorker article... and then check out this brand-new (Nov. 12, 2022) New York Times article about how close our own FBI came to buying NSO's technology.
WHATSAPP INC., et al., Plaintiffs,
v.
NSO GROUP TECHNOLOGIES LIMITED, et al., Defendants.
United States District Court, N.D. California.
658*658 Travis LeBlanc, Joseph Douglas Mornin, Kyle Christopher Wong, Michael Graham Rhodes, Cooley LLP, San Francisco, CA, Antonio J. Perez-Marques, Pro Hac Vice, Craig Cagney, Pro Hac Vice, Greg D. Andres, Pro Hac Vice, Davis Polk, and Wardwell LLP, Ian Shapiro, Pro Hac Vice, Cooley LLP, New York, NY, Daniel Joseph Grooms, Pro Hac Vice, Elizabeth B. Prelogar, Cooley LLP, Michael R. Dreeben, Pro Hac Vice, OMelveny Myers LLP, Washington, DC, Micah Galvin Block, Davis Polk and Wardwell LLP, Menlo Park, CA, for Plaintiffs.
Joseph N. Akrotirianakis, Aaron S. Craig, King & Spalding LLP, Los Angeles, CA, for Defendants.
ORDER GRANTING IN PART AND DENYING IN PART MOTION TO DISMISS AND DENYING MOTION TO STAY DISCOVERY
Re: Dkt. Nos. 45, 95
PHYLLIS J. HAMILTON, United States District Judge.
Before the court is defendants NSO Group Technologies, Ltd. ("NSO") and Q Cyber Technologies Ltd.'s ("Q Cyber," and together with NSO, "defendants") motion to dismiss. The matter is fully briefed and suitable for decision without oral argument. Having read the parties' papers and carefully considered their arguments and the relevant legal authority, and good cause appearing, the court rules as follows.
BACKGROUND
On October 29, 2019, plaintiffs WhatsApp Inc. ("WhatsApp") and Facebook, Inc. ("Facebook" and together with WhatsApp, "plaintiffs") filed a complaint ("Compl.") alleging that defendants sent malware, using WhatsApp's system, to approximately 1,400 mobile phones and devices designed to infect those devices for the purpose of surveilling the users of those phones and devices. Dkt. 1, ¶ 1. The complaint alleges four causes of action: (1) violation of the Computer Fraud and Abuse Act ("CFAA"), 18 U.S.C. § 1030; (2) violation of the California Comprehensive Computer Data Access and Fraud Act, *659 Cal. Penal Code § 502; (3) breach of contract; and (4) trespass to chattels.
Plaintiff WhatsApp is a Delaware corporation with its principal place of business in Menlo Park, California and is owned by plaintiff Facebook, which is also a Delaware corporation with its principal place of business in Menlo Park, California. Compl. ¶¶ 3-4. WhatsApp provides an encrypted communication service that is accessed through the WhatsApp application ("app") that users must download to their personal devices. Id. ¶ 17. Defendant NSO is an Israeli limited liability company and defendant Q Cyber is an Israeli corporation and NSO's only active director and the majority shareholder. Id. ¶¶ 5-6. Defendants are alleged to manufacture, distribute, and operate surveillance technology "designed to intercept and extract information and communications from mobile phones and devices" Id. ¶ 24.
In order to use the WhatsApp app and service, WhatsApp users consent to WhatsApp's terms of service in which they agree to "use [WhatsApp's] Services according to [WhatsApp's] Terms and policies" and further agree to "access and use [WhatsApp's] Services only for legal, authorized, and acceptable purposes." Id. ¶¶ 19-20. WhatsApp's terms prohibit users from using services in ways that "violate, misappropriate, or infringe the rights of WhatsApp, [its] users, or others," "are illegal, intimidating, harassing, ... or instigate or encourage conduct that would be illegal, or otherwise inappropriate;" or "involve sending illegal or impermissible communications." Id. ¶ 21. Additionally, users are not permitted to:
(a) reverse engineer, alter, modify, create derivative works from, decompile, or extract code from our Services, (b) send, store, or transmit viruses or other harmful computer code through or onto our Services; (c) gain or attempt to gain unauthorized access to our Services or systems; (d) interfere with or disrupt the safety, security, or performance of our Services; [or] ... (f) collect the information of or about our users in any impermissible or unauthorized manner.
Id. ¶ 22.
Plaintiffs allege that defendants created a data program, termed Pegasus, that could "remotely and covertly extract valuable intelligence from virtually any mobile device." Id. ¶ 27. Defendants licensed Pegasus and sold support services to customers. Id. ¶ 29. According to public reporting and as alleged, defendants' customers include sovereign nations such as the Kingdom of Bahrain, the United Arab Emirates, and Mexico. Id. ¶ 43. Defendants could customize Pegasus for different purposes such that, once installed on a user's device, they could intercept communications, capture screenshots, or exfiltrate browser history and contacts from that user's device. Id. ¶¶ 27, 41. Defendants used a network of computers to monitor and update the version of Pegasus implanted on a user's phone as well as control the number of devices that a customer could compromise using Pegasus. Id. ¶ 28.
Between January 2018 and May 2019, defendants are alleged to have created WhatsApp accounts that could be used to send malicious code to personal devices in April and May 2019. Id. ¶ 33. Defendants also leased servers and internet hosting services from third parties such as Choopa, QuadraNet, and Amazon Web Service; the leased servers were used to distribute malware and relay commands to users' devices. Id. ¶ 34. Defendants reverse engineered the WhatsApp app and developed Pegasus to emulate legitimate WhatsApp network traffic. Id. ¶ 35.
Pegasus is alleged to operate by first routing malicious code through WhatsApp's relay servers to a user's device. Id. ¶ 36. Defendants formatted certain messages *660 containing the malicious code to appear like a legitimate call and concealed the code within the call settings. Id. ¶ 37. To avoid technical restrictions built into the WhatsApp signaling servers, defendants formatted call initiation messages that contained the malicious code to appear as a legitimate call. Id. The call would inject the malicious code into a device's memory whether or not the user answered the call. Id. After the malicious code was delivered to a device, defendants caused encrypted data packets to be sent to a user's device via WhatsApp's relay servers, designed to activate the malicious code residing on the memory of the target devices. Id. ¶ 39. Once activated, the malicious code caused the target device to connect to one of the leased, remote servers hosting defendants' malware, which was then downloaded and installed on the target devices. Id. ¶ 40. The malware would then give defendants and their customers access to information on the target devices. Id. ¶ 41.
Between April 29, 2019 and May 10, 2019, defendants caused their malicious code to be transmitted over WhatsApp's servers reaching approximately 1,400 devices used by "attorneys, journalists, human rights activists, political dissidents, diplomats, and other senior foreign government officials." Id. ¶ 42. On May 13, 2019, Facebook announced that it had investigated the vulnerability and WhatsApp and Facebook closed the vulnerability around that time. Id. ¶ 44.
DISCUSSION
A. Legal Standard
1. Rule 12(b)(1)
A federal court may dismiss an action under Federal Rule of Civil Procedure 12(b)(1) for lack of federal subject matter jurisdiction. Fed. R. Civ. P. 12(b)(1). Because "[a] federal court is presumed to lack jurisdiction in a particular case unless the contrary affirmatively appears," the burden to prove its existence "rests on the party asserting federal subject matter jurisdiction." Pac. Bell Internet Servs. v. Recording Indus. Ass'n of Am., Inc., No. C03-3560 SI, 2003 WL 22862662, at *3 (N.D. Cal. Nov. 26, 2003) (quoting Gen. Atomic Co. v. United Nuclear Corp., 655 F.2d 968, 969 (9th Cir. 1981); and citing Cal. ex rel. Younger v. Andrus, 608 F.2d 1247, 1249 (9th Cir. 1979)). A jurisdictional challenge may be facial or factual. Safe Air for Everyone v. Meyer, 373 F.3d 1035, 1039 (9th Cir. 2004) (citing White v. Lee, 227 F.3d 1214, 1242 (9th Cir. 2000)). When the attack is facial, the court determines whether the allegations contained in the complaint are sufficient on their face to invoke federal jurisdiction. Id. Where the attack is factual, however, "the court need not presume the truthfulness of the plaintiff's allegations." Id.
When resolving a factual dispute about its federal subject matter jurisdiction, a court may review extrinsic evidence beyond the complaint without converting a motion to dismiss into one for summary judgment. McCarthy v. United States, 850 F.2d 558, 560 (9th Cir. 1988) (holding that a court "may review any evidence, such as affidavits and testimony, to resolve factual disputes concerning the existence of jurisdiction"); see also Land v. Dollar, 330 U.S. 731, 735 n.4, 67 S.Ct. 1009, 91 L.Ed. 1209 (1947) ("[W]hen a question of the District Court's jurisdiction is raised ... the court may inquire by affidavits or otherwise, into the facts as they exist."). "Once the moving party has converted the motion to dismiss into a factual motion by presenting affidavits or other evidence properly brought before the court, the party opposing the motion must furnish affidavits or other evidence necessary to satisfy its burden of establishing subject matter jurisdiction." Safe Air for Everyone, 373 F.3d at 1039.
2. Rule 12(b)(2)
A federal court may dismiss an action under Federal Rule of Civil Procedure 12(b)(2) for lack of personal jurisdiction. When resolving a motion to dismiss under Rule 12(b)(2) on written materials, the court accepts uncontroverted facts in the complaint as true and resolves conflicts in affidavits in the plaintiffs' favor. Mavrix Photo, Inc. v. Brand Techs., Inc., 647 F.3d 1218, 1223 (9th Cir. 2011). The party seeking to invoke a federal court's jurisdiction bears the burden of demonstrating jurisdiction. Picot v. Weston, 780 F.3d 1206, 1211 (9th Cir. 2015). "Federal courts ordinarily follow state law in determining the bounds of their jurisdiction over persons." Daimler AG v. Bauman, 571 U.S. 117, 125, 134 S.Ct. 746, 187 L.Ed.2d 624 (2014); see Fed. R. Civ. P. 4(k)(1)(a). California's long arm statute permits exercise of personal jurisdiction to the fullest extent permissible under the U.S. Constitution, therefore, the court's inquiry "centers on whether exercising jurisdiction comports with due process." Picot, 780 F.3d at 1211; see Cal. Code Civ. P. § 410.10.
The Due Process Clause of the Fourteenth Amendment "limits the power of a state's courts to exercise jurisdiction over defendants who do not consent to jurisdiction." Martinez v. Aero Caribbean, 764 F.3d 1062, 1066 (9th Cir. 2014). Due process requires that the defendant "have certain minimum contacts with it such that the maintenance of the suit does not offend traditional notions of fair play and substantial justice." Int'l Shoe Co. v. Washington, 326 U.S. 310, 316, 66 S.Ct. 154, 90 L.Ed. 95 (1945) (internal quotation marks omitted). Under the "minimum contacts" analysis, a court can exercise either "general or all-purpose jurisdiction," or "specific or conduct-linked jurisdiction." Daimler, 571 U.S. at 121-22, 134 S.Ct. 746 (citing Goodyear Dunlop Tires Operations, S.A. v. Brown, 564 U.S. 915, 919, 131 S.Ct. 2846, 180 L.Ed.2d 796 (2011)).
A court may exercise specific jurisdiction over a defendant if its less-substantial contacts with the forum give rise to the claim or claims pending before the court—that is, if the cause of action "arises out of" or has a substantial connection with that activity. Hanson v. Denckla, 357 U.S. 235, 250-53, 78 S.Ct. 1228, 2 L.Ed.2d 1283 (1958); see also Goodyear, 564 U.S. at 924-25, 131 S.Ct. 2846. The inquiry into whether a forum state may assert specific jurisdiction over a nonresident defendant focuses on the relationship among the defendant, the forum, and the litigation. Walden v. Fiore, 571 U.S. 277, 283-84, 134 S.Ct. 1115, 188 L.Ed.2d 12 (2014) (citation omitted).
To determine whether a defendant's contacts with the forum state are sufficient to establish specific jurisdiction, the Ninth Circuit employs a three-part test:
(1) The non-resident defendant must purposefully direct his activities or consummate some transaction with the forum or resident thereof; or perform some act by which he purposefully avails himself of the privilege of conducting activities in the forum, thereby invoking the benefits and protections of its laws;
(2) the claim must be one which arises out of or relates to the defendant's forum-related activities; and
(3) the exercise of jurisdiction must comport with fair play and substantial justice, i.e. it must be reasonable.
Morrill v. Scott Fin. Corp., 873 F.3d 1136, 1142 (9th Cir. 2017). A plaintiff bears the burden of satisfying the first two prongs. Id. If the plaintiff does so, then the burden shifts to the defendant to "set forth a `compelling case' that the exercise of jurisdiction would not be reasonable." College-Source, 662*662 Inc. v. AcademyOne, Inc., 653 F.3d 1066, 1076 (9th Cir. 2011) (quoting Burger King Corp. v. Rudzewicz, 471 U.S. 462, 477-78, 105 S.Ct. 2174, 85 L.Ed.2d 528 (1985)).
3. Rule 12(b)(6)
A motion to dismiss under Federal Rule of Civil Procedure 12(b)(6) tests for the legal sufficiency of the claims alleged in the complaint. Ileto v. Glock Inc., 349 F.3d 1191, 1199-1200 (9th Cir. 2003). Under Federal Rule of Civil Procedure 8, which requires that a complaint include a "short and plain statement of the claim showing that the pleader is entitled to relief," Fed. R. Civ. P. 8(a)(2), a complaint may be dismissed under Rule 12(b)(6) if the plaintiff fails to state a cognizable legal theory, or has not alleged sufficient facts to support a cognizable legal theory. Somers v. Apple, Inc., 729 F.3d 953, 959 (9th Cir. 2013).
While the court is to accept as true all the factual allegations in the complaint, legally conclusory statements, not supported by actual factual allegations, need not be accepted. Ashcroft v. Iqbal, 556 U.S. 662, 678-79, 129 S.Ct. 1937, 173 L.Ed.2d 868 (2009). The complaint must proffer sufficient facts to state a claim for relief that is plausible on its face. Bell Atl. Corp. v. Twombly, 550 U.S. 544, 555, 558-59, 127 S.Ct. 1955, 167 L.Ed.2d 929 (2007).
"A claim has facial plausibility when the plaintiff pleads factual content that allows the court to draw the reasonable inference that the defendant is liable for the misconduct alleged." Iqbal, 556 U.S. at 678, 129 S.Ct. 1937. "[W]here the well-pleaded facts do not permit the court to infer more than the mere possibility of misconduct, the complaint has alleged—but it has not `show[n]'—`that the pleader is entitled to relief.'" Id. at 679, 129 S.Ct. 1937 (quoting Fed. R. Civ. P. 8(a)(2)). Where dismissal is warranted, it is generally without prejudice, unless it is clear the complaint cannot be saved by any amendment. In re Daou Sys., Inc., 411 F.3d 1006, 1013 (9th Cir. 2005).
Review is generally limited to the contents of the complaint, although the court can also consider documents "whose contents are alleged in a complaint and whose authenticity no party questions, but which are not physically attached to the plaintiff's pleading." Knievel v. ESPN, 393 F.3d 1068, 1076 (9th Cir. 2005) (quoting In re Silicon Graphics Inc. Sec. Litig., 183 F.3d 970, 986 (9th Cir. 1999), superseded by statute on other grounds as stated in In re Quality Sys., Inc. Sec. Litig., 865 F.3d 1130 (9th Cir. 2017)); see also Sanders v. Brown, 504 F.3d 903, 910 (9th Cir. 2007) ("[A] court can consider a document on which the complaint relies if the document is central to the plaintiff's claim, and no party questions the authenticity of the document." (citation omitted)). The court may also consider matters that are properly the subject of judicial notice (Lee v. City of Los Angeles, 250 F.3d 668, 688-89 (9th Cir. 2001)), and exhibits attached to the complaint (Hal Roach Studios, Inc. v. Richard Feiner & Co., Inc., 896 F.2d 1542, 1555 n.19 (9th Cir. 1989)).
4. Rule 12(b)(7)
Federal Rule of Civil Procedure 12(b)(7) permits a party to move for dismissal for failure to join a party recognized as indispensable by Federal Rule of Civil Procedure 19. Fed. R. Civ. P. 12(b)(7); Quileute Indian Tribe v. Babbitt, 18 F.3d 1456, 1458 (9th Cir. 1994). Federal Rule of Civil Procedure 19 "governs compulsory party joinder in federal district courts." E.E.O.C. v. Peabody W. Coal Co. ("Peabody I"), 400 F.3d 774, 778 (9th Cir. 2005). When determining whether dismissal is appropriate under Rule 12(b)(7), the court undertakes "three successive inquiries." Id. at 779.
663*663 "First, the court must determine whether a nonparty should be joined under Rule 19(a)"—that is, whether a non-party is "necessary." Id. A nonparty is "necessary" if joinder is "`desirable' in the interests of just adjudication." Id. (quoting Fed. R. Civ. P. 19 Advisory Committee Note (1966)). "There is no precise formula for determining whether a particular non-party should be joined under Rule 19(a).... The determination is heavily influenced by the facts and circumstances of each case." E.E.O.C. v. Peabody W. Coal Co. ("Peabody II"), 610 F.3d 1070, 1081 (9th Cir. 2010) (quoting N. Alaska Envtl. Ctr. v. Hodel, 803 F.2d 466, 468 (9th Cir. 1986)).
A nonparty can be necessary under Rule 19(a)(1)(A) or Rule 19(a)(1)(B). A nonparty is necessary under Rule 19(a)(1)(A) if "in that person's absence, the court cannot accord complete relief among existing parties." Fed. R. Civ. P. 19(a)(1)(A). A nonparty is necessary under Rule 19(a)(1)(B) if that person "claims a legally protected interest in the subject of the suit such that a decision in its absence will (1) impair or impede its ability to protect that interest; or (2) expose [an existing party] to the risk of multiple or inconsistent obligations by reason of that interest." Dawavendewa v. Salt River Project Agr. Imp. & Power Dist., 276 F.3d 1150, 1155 (9th Cir. 2002).
Second, if a nonparty is necessary, the court determines "whether it is feasible to order that the absentee be joined." Peabody I, 400 F.3d at 779. Joinder is not feasible "when venue is improper, when the absentee is not subject to personal jurisdiction, and when joinder would destroy subject matter jurisdiction." Id. Third, if joinder is not feasible, the court must determine whether the party is "indispensable" under Rule 19(b), that is, whether "in equity and good conscience, the action should proceed among the existing parties or should be dismissed." Fed. R. Civ. P. 19(b). "The inquiry is a practical one and fact specific and is designed to avoid the harsh results of rigid application." Makah Indian Tribe v. Verity, 910 F.2d 555, 558 (9th Cir. 1990) (citations omitted).
When considering a motion to dismiss under Rule 12(b)(7), the court accepts as true the allegations in the plaintiff's complaint and draws all reasonable inferences in the plaintiff's favor. Paiute-Shoshone Indians of Bishop Cmty. of Bishop Colony, Cal. v. City of Los Angeles, 637 F.3d 993, 996 n.1 (9th Cir. 2011). But the court may consider evidence outside of the pleadings. See McShan v. Sherrill, 283 F.2d 462, 464 (9th Cir. 1960). "The moving party has the burden of persuasion in arguing for dismissal" for failure to join. Makah Indian Tribe, 910 F.2d at 558.
B. Analysis
1. Subject Matter Jurisdiction
As an initial observation, plaintiffs' complaint pleads a cause of action under the Computer Fraud and Abuse Act, 18 U.S.C. § 1030, invoking the court's federal question jurisdiction. See Gully v. First Nat'l Bank, 299 U.S. 109, 111, 57 S.Ct. 96, 81 L.Ed. 70 (1936). Defendants' attack on the court's subject matter jurisdiction is, therefore, not facial, but factual.
Defendants contend that the court lacks subject matter jurisdiction because the conduct giving rise to the complaint was performed by foreign sovereigns and the Foreign Sovereign Immunity Act ("FSIA"), 28 U.S.C. §§ 1602-11, bars any lawsuit on that basis. Mtn. at 8-9. Defendants also assert that the court should extend the doctrine of derivative sovereign immunity to them because defendants were contractors of the foreign sovereigns 664*664 acting within the scope of their employment. Id. at 9-10.
The FSIA provides that "a foreign state shall be immune from the jurisdiction of the courts of the United States and of the States" except as provided in the FSIA. 28 U.S.C. § 1604. The parties agree that defendants, as private foreign entities, do not qualify as foreign states and cannot directly avail themselves of the FSIA. Opp. at 3; Reply at 9. More pertinent is whether defendants may avail themselves of some sort of derivative sovereign immunity. There are two relevant doctrines implicated by defendants' argument: foreign official immunity and derivative sovereign immunity. The court addresses each in turn.
a. Foreign Official Immunity
In Samantar v. Yousuf, 560 U.S. 305, 308, 130 S.Ct. 2278, 176 L.Ed.2d 1047 (2010), the Supreme Court addressed whether the FSIA afforded a former Somali vice president and defense minister with immunity from suit based on actions taken in his official capacity. While the Court ultimately concluded that the FSIA did not extend to foreign officials, the Court separately discussed the common law doctrine of foreign sovereign immunity, which potentially applies to the acts of foreign officials not covered by the FSIA. See id. at 311, 130 S.Ct. 2278 (citing Schooner Exchange v. McFaddon, 7 Cranch 116, 3 L.Ed. 287 (1812)). Over time, courts formulated a "two-step procedure developed for resolving a foreign state's claim of sovereign immunity." Id. The first step involves requesting a "suggestion of immunity" from the U.S. State Department. Id. If the State Department declines to issue the suggestion, then a district court "ha[s] authority to decide for itself whether all the requisites for immunity exist[]." Id. (quoting Ex parte Peru, 318 U.S. 578, 587, 63 S.Ct. 793, 87 L.Ed. 1014 (1943)). At this second step, the court will grant immunity if "the ground of immunity is one which it is the established policy of the [State Department] to recognize." Id. at 312, 130 S.Ct. 2278 (quoting Republic of Mex. v. Hoffman, 324 U.S. 30, 36, 65 S.Ct. 530, 89 L.Ed. 729 (1945)).
At the second step of foreign official immunity, courts distinguish between status-based immunity and conduct-based immunity. "Status-based immunity is reserved for diplomats and heads of state and attaches `regardless of the substance of the claim.'" Lewis v. Mutond, 918 F.3d 142, 145 (D.C. Cir. 2019) (quoting Chimène I. Keitner, The Common Law of Foreign Official Immunity, 14 Green Bag 2d 61, 64 (2010)). "Conduct-based immunity is afforded to `any [] [p]ublic minister, official, or agent of the state with respect to acts performed in his official capacity if the effect of exercising jurisdiction would be to enforce a rule of law against the state.'" Id. (alterations in original) (quoting Restatement (Second) of Foreign Relations Law § 66(f) (1965) ("Restatement")); accord Doğan v. Barak, 932 F.3d 888, 894 (9th Cir. 2019). While the Supreme Court "expressed no view on whether Restatement § 66 correctly sets out the scope of common-law immunity applicable to current or former foreign officials," Samantar, 560 U.S. at 321 n.15, 130 S.Ct. 2278, in Doğan v. Barak, 932 F.3d at 893-94, the Ninth Circuit cited with approval Restatement § 66 to determine conduct-based immunity. Restatement § 66 provides a three factor test for such immunity: "First, whether the actor is a public minister, official, or agent of the foreign state. Second, whether the acts were performed in her official capacity. And third, whether exercising jurisdiction would serve to enforce a rule of law against the foreign state." Lewis, 918 F.3d at 146.
Here, defendants do not argue that the U.S. State Department has issued them a suggestion of immunity or that 665*665 status-based immunity is available to them. Instead, they contend that conduct-based foreign sovereign immunity applies to a foreign sovereign's private agents when the agent acts on behalf of the state and that this standard applies to their conduct on behalf of foreign sovereigns.[1] Reply at 10.
With respect to the first factor, plaintiffs do not contest that defendants are agents of foreign governments; indeed, the complaint alleges that defendants' customers include the Kingdom of Bahrain, the United Arab Emirates, and Mexico. Compl. ¶ 43. With respect to the second factor, defendants argue that foreign states used defendants' technology to fight terrorism and serious crime, which are official public acts. Mtn. at 9 n.9. Plaintiffs do not contend that defendants were acting outside the scope of their contracts with their customers, though they take issue with the idea that attacks on journalists and attorneys is consistent with fighting terrorism and crime. Opp. at 4 n.2. Regardless of the character of the governments' actions, no argument is made that defendants operated outside their official capacity.
With regard to the third factor, plaintiffs argue that a judgment enjoining NSO from creating or using accounts with WhatsApp would bind only NSO and that a monetary judgment would not be paid from a foreign state's coffers. Opp. at 6. Defendants do not directly address whether exercising jurisdiction would enforce a rule of law against a foreign state. However, in the context of their Rule 12(b)(7) motion to dismiss for failure to join necessary parties, defendants argue that, because defendants' customers were the entities that accessed plaintiffs' services, injunctive relief would necessarily bind those sovereign nations. Mtn. at 19.
In Lewis, 918 F.3d at 147, the D.C. Circuit, in evaluating the third factor, reasoned that the defendants in that case failed to demonstrate that the plaintiff sought "to draw on the [foreign state's] treasury or force the state to take specific action, as would be the case if the judgment were enforceable against the state. Defendants in this case are being sued in their individual capacities and Plaintiff [did] not seek[] compensation out of state funds." Applying here, defendants have not argued that any of their foreign sovereign customers would be forced to pay a judgment against defendants if plaintiffs were to prevail in this lawsuit. Plaintiffs also request injunctive relief against defendants "and all other persons acting in concert or conspiracy with any of them or who are affiliated with" defendants. Compl., Request for Relief. This issue is addressed in greater depth with respect to defendants' 12(b)(7) motion, but, briefly, the court can craft injunctive relief that does not require a foreign sovereign to take an affirmative action. Thus, plaintiffs do not seek to enforce a rule of law against defendants' customers.
For the foregoing reasons, defendants do not qualify as foreign officials under the content-based prong of the foreign official immunity test.
b. Derivative Sovereign Immunity
Next, defendants argue that the court should apply the derivative sovereign immunity doctrine articulated by the Fourth Circuit in Butters v. Vance International, 666*666 Inc., 225 F.3d at 466. That case involved a suit by a U.S. employee against her employer, a U.S. corporation. Id. at 464. The employer provided "security services to corporations and foreign sovereigns," specifically to the wife of the king of Saudi Arabia while she was undergoing medical treatment in California. Id. The employee was employed to provide security services but, because of the religious beliefs of the Saudi entourage, was not permitted to work in the command post and eventually filed a gender discrimination suit against her employer. Id.
On appeal, the Fourth Circuit determined that the U.S. company could assert derivative sovereign immunity. Id. at 466. The court cited Yearsley v. W.A. Ross Construction Co., 309 U.S. 18, 21-22, 60 S.Ct. 413, 84 L.Ed. 554 (1940), for the proposition that "contractors and common law agents acting within the scope of their employment for the United States have derivative sovereign immunity." Id. (emphasis added). The court then extended the rule of derivative sovereign immunity to American private agents of foreign governments:
It is but a small step to extend this privilege to the private agents of foreign governments. All sovereigns need flexibility to hire private agents to aid them in conducting their governmental functions. This is especially true for foreign sovereigns given their lack of human resources while operating within the United States. To abrogate immunity would discourage American companies from entering lawful agreements with foreign governments and from respecting their wishes even as to sovereign acts.
Id.
Plaintiffs argue that the court should not apply Butters because no court in this circuit has extended derivative domestic sovereign immunity to work performed for foreign sovereigns. Opp. at 4. They also argue that Samantar effectively abrogated Butters' holding because Butters cited and relied on the FSIA to extend sovereign immunity to a private entity working for a foreign sovereign. Id. at 6. In response, defendants contend that Butters remains good law and compare the facts here to Yearsley where a contractor's performance was "authorized and directed" by the government. Reply at 10-11 (quoting Yearsley, 309 U.S. at 20, 60 S.Ct. 413).
The court need not decide whether Samantar abrogated Butters because Butters is neither controlling nor persuasive authority. Significantly, as plaintiffs note, the Ninth Circuit has not held that the doctrine of derivative sovereign immunity applies to the foreign contractors of foreign sovereigns.[2] Nor is it clear that the circuit would do so because, as the district court in Broidy Capital Management LLC v. Muzin, No. 19-CV-0150 (DLF), 2020 WL 1536350, at *7 667*667 (D.D.C. Mar. 31, 2020), pointed out, there are different rationales underlying domestic and foreign sovereign immunity. Foreign sovereign immunity is "a matter of grace and comity on the part of the United States, and not a restriction imposed by the Constitution." Verlinden B.V. v. Central Bank of Nigeria, 461 U.S. 480, 486, 103 S.Ct. 1962, 76 L.Ed.2d 81 (1983). Conversely, domestic derivative sovereign immunity stems from a valid exercise of constitutional authority where the contractor does not exceed such authority. Yearsley, 309 U.S. at 20-21, 60 S.Ct. 413 ("[I]t is clear that if this authority to carry out the project was validly conferred, that is, if what was done was within the constitutional power of Congress, there is no liability on the part of the contractor for executing its will."). Moreover, the Supreme Court has cautioned that while "`government contractors obtain certain immunity in connection with work which they do pursuant to their contractual undertakings with the United States[,]' ... [t]hat immunity,... unlike the sovereign's, is not absolute." Campbell-Ewald Co. v. Gomez, 577 U.S. 153, 136 S. Ct. 663, 672, 193 L.Ed.2d 571 (2016) (quoting Brady v. Roosevelt S.S. Co., 317 U.S. 575, 583, 63 S.Ct. 425, 87 L.Ed. 471 (1943)). In light of these divergent doctrines and the lack of controlling authority, there is no compelling reason to extend derivative sovereign immunity to a foreign entity working on behalf of a foreign sovereign.
Even if the court were to apply Butters as persuasive authority, defendants fail to meet its standard because they are not incorporated or formed in the United States. In Butters, the defendant asserting derivative sovereign immunity was a U.S. corporation and the Fourth Circuit's reasoning indicated that the U.S. citizenship of the company was necessary to its holding. 225 F.3d at 466 ("To abrogate immunity would discourage American companies from entering lawful agreements with foreign governments and from respecting their wishes even as to sovereign acts." (emphasis added)). None of the other cases cited by defendants involve the application of derivative sovereign immunity to foreign entities.[3] E.g., Ivey for Carolina Golf Dev. Co. v. Lynch, No. 1:17CV439, 2018 WL 3764264, at *7 (M.D.N.C. Aug. 8, 2018) (applying Butters to find that United States citizen acting as agent of foreign sovereign was immune); see also Broidy Capital Mgmt. LLC v. Muzin, No. 19-CV-0150 (DLF), 2020 WL 1536350, at *6 (D.D.C. Mar. 31, 2020) (recognizing Butters, Ivey, and Alicog v. Kingdom of Saudi Arabia, 860 F. Supp. 379, 384 (S.D. Tex. 1994), as cases "in which courts have extended foreign sovereign immunity to U.S. citizens").
Accordingly, the doctrine of derivative domestic sovereign immunity is not applicable to defendants. For the foregoing reasons, defendants' motion to dismiss for lack of subject matter jurisdiction is DENIED.
2. Personal Jurisdiction
a. Consent
Defendants argue that they have not consented to personal jurisdiction by accepting WhatsApp's terms of service. 668*668 Mtn. at 11. The Ninth Circuit has recognized that accepting a forum selection clause evidences consent to personal jurisdiction in that forum. SEC v. Ross, 504 F.3d 1130, 1149 (9th Cir. 2007) (citing Nat'l Equip. Rental, Ltd. v. Szukhent, 375 U.S. 311, 315-16, 84 S.Ct. 411, 11 L.Ed.2d 354 (1964); and Dow Chem. Co. v. Calderon, 422 F.3d 827, 831 (9th Cir. 2005)). Forum selection clauses are presumptively valid, M/S Bremen v. Zapata Off-Shore Co., 407 U.S. 1, 10, 92 S.Ct. 1907, 32 L.Ed.2d 513 (1972), and courts "apply federal law to the interpretation of the forum selection clause." Doe 1 v. AOL LLC, 552 F.3d 1077, 1081 (9th Cir. 2009) (citing Manetti-Farrow, Inc. v. Gucci Am., Inc., 858 F.2d 509, 513 (9th Cir. 1988)).
"Contract terms are to be given their ordinary meaning, and when the terms of a contract are clear, the intent of the parties must be ascertained from the contract itself. Whenever possible, the plain language of the contract should be considered first." Klamath Water Users Protective Ass'n v. Patterson, 204 F.3d 1206, 1210 (9th Cir. 1999). A contract is interpreted as a whole and each part is interpreted with reference to the whole. Id. "A primary rule of interpretation is `[t]hat the common or normal meaning of language will be given to the words of a contract unless circumstances show that in a particular case a special meaning should be attached to it.'" Hunt Wesson Foods, Inc. v. Supreme Oil Co., 817 F.2d 75, 77 (9th Cir. 1987) (quoting 4 Williston, A Treatise on the Law of Contracts, § 618 (W. Jaeger 3d ed. 1961)).
Here, the forum selection clause in WhatsApp's terms of service that were in effect at the time of the alleged conduct provided:
If you are not subject to the "Special Arbitration Provision for United States or Canada Users" section below, you agree that you will resolve any Claim you have with us relating to, arising out of, or in any way in connection with our Terms, us, or our Services (each, a "Dispute," and together, "Disputes") exclusively in the United States District Court for the Northern District of California or a state court located in San Mateo County in California, and you agree to submit to the personal jurisdiction of such courts for the purpose of litigating all such Disputes.
Declaration of Joseph N. Akrotirianakis ("Akro. Decl."), Ex. 6, Dkt. 45-7, at 9; Declaration of Michael P. Duffy ("Duffy Decl."), Ex. 1, Dkt. 55-4, at 4. As defined earlier in the terms of service, "us" is defined as WhatsApp and "you" is not defined but appears to refer to the counterparty accepting the terms of service, i.e., the user. Duffy Decl., Ex. 1 at 2.
Defendants do not argue that the terms of service are unreasonable, unjust, or otherwise inapplicable to them. Instead, they contend that the present litigation does not fall within the defined term "Dispute" because a dispute involves "any Claim you have with us," which would not apply to claims WhatsApp has with its users. Mtn. at 11-12. Plaintiffs contend that the better reading of that phrase would include any claim between WhatsApp and its users, regardless of who initiated the claim. Opp. at 11.
The question here is whether the parties to the terms of service intended for the definition of the term "Dispute" to apply as a one-way street, i.e., a user filing a claim against WhatsApp, or a two-way street, either a user or WhatsApp filing a claim against the other. By creating a parenthetical with the word "Dispute," WhatsApp defined that term in reference to the sentence preceding the parenthetical. In relevant part, the term "Dispute" means "any Claim you have with us relating to, arising out of, or in any way in connection 669*669 with our Terms, us, or our Services." The common or normal meaning of the word "have" in the phrase "any Claim you have with us" is as a transitive verb meaning "to hold or maintain as a possession, privilege, or entitlement." Merriam-Webster Dictionary, https://www.merriam-webster.com/dictionary/have (last visited June 22, 2020). In the phrase "any Claim you have with us," the subject that has "any Claim" is "you," not "us." Thus, the entity holding or maintaining the claim as a possession, privilege, or entitlement is the user not WhatsApp. Reading the foregoing together, the ordinary meaning of the term "Dispute" is that a user holds in possession any claim against WhatsApp and not that WhatsApp possesses a claim against a user.
Plaintiffs argue that the court should read the choice of law provision to interpret the way in which the term "Dispute" is read in the forum selection clause. The choice of law provision states: "The laws of the State of California govern our Terms, as well as any Disputes, whether in court or arbitration, which might arise between WhatsApp and you, without regard to conflict of law provisions." Duffy Decl., Ex. 1 at 4. The phrase "any Disputes ... between WhatsApp and you" indicates that it applies to a dispute shared by or common to the parties. It is notable that WhatsApp chose to use "between" in the choice of law provision but not the forum selection clause. Had WhatsApp intended to provide for claims initiated by either a user or by WhatsApp, WhatsApp could have (but did not) use the term "between" when defining the term "dispute." Additionally, the choice of law provision uses the defined term "Disputes," which indicates that the definition from the forum selection clause should simply be applied in the choice of law provision but not that the term accumulates an additional meaning (i.e., between) because of the choice of law provision.
Accordingly, the terms of service's forum selection clause do not apply to claims initiated by WhatsApp against its users and, therefore, defendants did not consent to personal jurisdiction.
b. Specific Jurisdiction
Plaintiffs contend that the court should exercise specific jurisdiction over defendants under both a purposeful direction theory (based on their tort claims) and a purposeful availment theory (based on their contract claim). Opp. at 12.
i. Purposeful Direction
Under the Calder effects test, plaintiffs must show that defendants (1) committed an intentional act, (2) expressly aimed at the forum state, (3) caused harm that the defendant knew was likely to be suffered in the forum state. Calder v. Jones, 465 U.S. 783, 789-90, 104 S.Ct. 1482, 79 L.Ed.2d 804 (1984).
With regard to the first element, plaintiffs have identified the intentional act as the targeting of WhatsApp's systems and servers by defendants to disseminate malicious code and malware. Opp. at 14. Defendants contend that they did not commit the intentional act in question; instead, foreign governments committed the intentional acts and have submitted a declaration to that effect. Mtn. at 14. Plaintiffs respond that the court cannot accept defendants' contention at the pleading stage. Opp. at 14 n.11.
For purposes of personal jurisdiction, there does not appear to be any dispute that someone sent malicious code and malware through WhatsApp's servers, accessed WhatsApp's servers without authorization, and sent unauthorized commands to WhatsApp's computers. Rather the dispute concerns whether defendants' evidence demonstrates that someone other than defendants committed the intentional act. Plaintiffs allege that defendants accessed 670*670 WhatsApp's computers and servers and user's devices without authorization. Compl. ¶¶ 54, 60. To rebut those allegations, defendants offer the declaration of Shalev Hulio, NSO's CEO and co-founder, wherein he declares that "NSO markets and licenses the Pegasus technology to its sovereign customers, which then operate the technology themselves ...." Hulio Decl. ¶ 14. "Defendants role is limited to NSO providing advice and technical support to assist customers in setting up— not operating—the Pegasus technology." Id.
Two points limit the persuasiveness of the declaration. First, the declaration itself leaves open the possibility of defendants' involvement in the intentional act because Hulio qualifies his statement on defendants' limited advice and technical support role by stating "[w]hen Defendants provide those support services, they do so entirely at the direction of their government customers, and Defendants follow those directions completely." Id. Thus, it appears defendants retained some role in conducting the intentional act, even if it was at the direction of their customers. Second, the complaint goes beyond the statements in the Hulio declaration because plaintiffs allege that defendants designed and manufactured a program to exploit WhatsApp's app, servers, and infrastructure. At this stage, the boundary between defendants' conduct and their clients' conduct is not clearly delineated or definitively resolved by the Hulio declaration. Because the court resolves conflicts in affidavits in plaintiffs' favor and plaintiffs only need to demonstrate that they have established a prima facie showing of jurisdictional facts, Mavrix Photo, 647 F.3d at 1223, plaintiffs have sufficiently demonstrated that defendants committed an intentional act.
The second element "asks whether the defendant's allegedly tortious action was `expressly aimed at the forum.'" Picot, 780 F.3d at 1214 (quoting Brayton Purcell LLP v. Recordon & Recordon, 606 F.3d 1124, 1129 (9th Cir. 2010), abrogated on other grounds by Walden, 571 U.S. 277, 134 S.Ct. 1115). "The `express aiming' analysis depends, to a significant degree, on the specific type of tort at issue." Schwarzenegger v. Fred Martin Motor Co., 374 F.3d 797, 807 (9th Cir. 2004). The alleged torts in the complaint center on the improper access to and misuse of WhatsApp's application, servers, and network.
Defendants advance several arguments why plaintiffs fail to show express aiming, including a lack of allegations that the leased, third-party servers are located in California and, if they are in California, courts have rejected the argument that the mere location of a server may give rise to personal jurisdiction. Mtn. at 14. Further, the complaint does not allege that any of defendants' code was routed through WhatsApp's servers located in California or that they even have California servers. Id. at 14-15. Defendants also argue that the contact created between an out-of-state defendant and a server is de minimis. Id. at 15. In response, plaintiffs argue that defendants' acts targeted a California-based company and used WhatsApp's and third-party QuadraNet's California-based servers. Opp. at 14-15. Plaintiffs distinguish the cases cited by defendants on the grounds that they dealt with incidental access to third-party servers rather than intentional targeting of WhatsApp's California-based servers. Id. at 15. Plaintiffs also point to marketing by a U.S.-based advertising arm that advertised defendants' ability to target WhatsApp. Id.
Much of the express aiming argument centers on the role of computer servers. There are two categories of servers at issue in the personal jurisdiction analysis: third-party servers that were leased by defendants for the alleged purpose of transmitting malware from the leased server 671*671 to a user's phone (Compl. ¶ 34) and WhatApp's signaling and relay servers through which defendants routed malicious code to a user's phone (id. ¶ 36). The servers leased by defendants were owned by third parties such as Choopa, QuadraNet, and Amazon Web Services and located in different countries, including the United States. Id. ¶ 34. The complaint does not allege any of these third-party servers are located in California, but declarations attached to plaintiffs' opposition brief aver that QuadraNet is a California-based company with California-based servers. Dkt. 55-1 ¶¶ 3-5; Dkt. 55-6 ¶¶ 2-4, Exs. 1-5.
With respect to the leased third-party servers, plaintiffs have not demonstrated that defendants expressly aimed their conduct at the forum state. As other district courts have noted, "the mere location of a third party or its servers is insufficient to give rise to personal jurisdiction." Hungerstation LLC v. Fast Choice LLC, No. 19-CV-05861-HSG, 2020 WL 137160, at *5 (N.D. Cal. Jan. 13, 2020) (collecting cases). Plaintiffs have identified one third party, QuadraNet, that allegedly leased servers, located in California, to defendants.[4] Defendants filed a supplemental declaration[5] with their reply brief that expressly denies that defendants contracted with QuadraNet for use of servers. Dkt. 62-1, ¶ 3. This supplemental declaration casts doubt on the fact that defendants used the QuadraNet servers in California. Even without the declaration, the connection between defendants and any leased server located in California is fortuitous. Neither party controlled where the third parties placed their servers and the servers were not the ultimate target of the intentional act. The leased servers were utilized to send malware and other commands to users' devices but not WhatsApp's servers. Yet, these users are not alleged to be located in California.
With respect to the location of WhatsApp's relay and signaling servers, two critical facts are relevant. First, the servers in question are not owned by third parties but are WhatsApp's own servers and, contrary to defendants' contention in their motion, plaintiffs allege that at least some of those servers were located in California. Compl. ¶ 60 ("Defendants knowingly and without permission used and caused to be used WhatsApp Signaling Servers and Relay Servers, including servers located in California, in violation of California Penal Code § 502(c)(3)." (emphasis added)). Defendants have not controverted the allegation that WhatsApp's servers were located in California and the court accepts the allegation as true. Second, defendants are alleged to have targeted WhatsApp's signaling and relay servers and caused malicious code to be routed through those servers. Id. ¶ 36 ("WhatsApp's Signaling Servers facilitated the initiation of calls between different devices using the WhatsApp Service. WhatsApp's Relay Servers facilitated certain data transmissions over the WhatsApp Service."). These allegations 672*672 indicate that defendants' program sought out specific servers—including servers in California—in order to transmit malicious code through those servers.
Because defendants are alleged to have targeted WhatsApp's own servers, this case is distinguishable from Hungerstation LLC, 2020 WL 137160, at *5, and Rosen v. Terapeak, Inc., No. CV-15-00112-MWF (EX), 2015 WL 12724071, at *9 (C.D. Cal. Apr. 28, 2015), where the servers in question were incidental to the alleged conduct and owned by third parties. Instead, this case is similar to Seattle Sperm Bank, LLC v. Cryobank Am., LLC, No. C17-1487 RAJ, 2018 WL 3769803, at *1 (W.D. Wash. Aug. 9, 2018), where former employees, located in Phoenix, of the Seattle-based plaintiff were alleged to have "copied 10 folders onto a removable hard drive .... contain[ing] more than 1,500 documents.... These materials were housed on a server in Seattle, Washington." The court went on to reason that
[d]efendants worked for a company whose principal place of business in Seattle, Washington, a fact that they had knowledge of, as Defendants attest that Blaine interviewed for his job there and Kumar had his initial training there. [The defendant employees] downloaded the allegedly misappropriated information from servers located in Seattle, Washington. Not only is Plaintiff headquartered in Seattle, but Defendants' actions allegedly caused harm likely to be suffered in Washington.
Id. at *2 (citation omitted).
Here, similar to Seattle Sperm Bank, defendants sought out and accessed plaintiffs' servers.[6] Defendants are alleged to have reverse-engineered the WhatsApp app and developed a program that emulated legitimate WhatsApp network traffic in order to transmit malicious code over WhatsApp servers. Compl. ¶ 35. This indicates a knowledge of how WhatsApp's servers worked and where they were located such that defendants could exploit WhatsApp's servers for their own use and the use of their customers.
In their reply brief, defendants argue that, even if WhatsApp had servers in California and NSO sent messages through those servers, there is no allegation or argument that NSO selected the location of the server. Reply at 6. In other words, defendants contend the location of the server is fortuitous and their claims would have been the same if the servers were located in Cleveland, Paris, or Timbuktu. Id. at 7. The express aiming prong depends on the type of tort alleged, Picot, 780 F.3d at 1214, and here plaintiffs allege that defendants targeted and accessed WhatsApp's servers without authorization. The location of the servers is, therefore, not a fortuity but central to the alleged tortious conduct. For example, courts have analogized a CFAA cause of action to digital "breaking and entering" and a "trespass offense" hiQ Labs, Inc. v. LinkedIn Corp., 938 F.3d 985, 1001 (9th Cir. 2019) (citations omitted), similar to the common law trespass to chattels offense alleged. By sending malicious code to the California based servers, defendants allegedly caused a digital transmission to enter California, which then effectuated a breaking and entering of a server in California. Cf. Picot, 673*673 780 F.3d at 1215 (concluding personal jurisdiction not appropriate in California where the defendant interfered with a contract "without entering California, contacting any person in California, or otherwise reaching out to California").
Finally, defendants argue that even if defendants targeted plaintiffs and knew plaintiffs to be California residents, plaintiffs have not shown defendants targeted California. Mtn. at 13-14. Defendants are correct to note that plaintiffs cannot rely on a theory of individualized targeting. Prior to Walden v. Fiore, courts in this circuit found the express aiming element to be satisfied where a defendant knew of the plaintiff's connection to the forum and there was a foreseeable harm to the plaintiff. See, e.g., Amini Innovation Corp. v. JS Imports, Inc., 497 F. Supp. 2d 1093, 1105 (C.D. Cal. 2007). As the Ninth Circuit's opinion in Axiom Foods, Inc. v. Acerchem International, Inc., 874 F.3d 1064, 1069-70 (9th Cir. 2017), held, Walden requires more than knowledge of a plaintiff's forum connections combined with the foreseeable harm that plaintiffs suffered in the forum. This holding effectively abrogated any individualized targeting theory. Rather, a court "must look to the defendant's `own contacts' with the forum, not to the defendant's knowledge of a plaintiff's connections to a forum." Id. at 1070 (quoting Walden, 571 U.S. at 289, 134 S.Ct. 1115). "Calder made clear that mere injury to a forum resident is not a sufficient connection to the forum.... The proper question is not where the plaintiff experienced a particular injury or effect but whether the defendant's conduct connects him to the forum in a meaningful way."[7] Walden, 571 U.S. at 290, 134 S.Ct. 1115.
Applying here, it is clear that the alleged conduct goes beyond defendants' knowledge that plaintiffs are located in California and would suffer harm in California. The complaint avers that defendants sought out WhatsApp's California-based servers for the purpose of routing malicious code through those servers to ultimately reach individual users' phones. By sending the malicious code, defendants electronically entered the forum state seeking out plaintiffs' servers, which were a necessary component to transmit the malicious code to the users. Defendants created a connection with the forum beyond an individualized targeting theory. Accordingly, plaintiffs have demonstrated that defendants expressly aimed their intentional act at the forum state.
The third element of the Calder effects test is whether the defendants caused harm that they knew would likely be suffered in the forum state. Defendants do not offer any argument as to this element. Plaintiffs have alleged that defendants harmed them by interfering with the WhatsApp service and burdening their network and have injured plaintiffs' reputation, public trust, and goodwill. Compl. ¶¶ 46-47. If defendants did access plaintiffs' servers without authorization (or exceeded authorized access), then they would have known they were harming plaintiffs. 674*674 See id., Ex. 10 at 33 (product description naming Facebook and WhatsApp as applications to be monitored). Defendants also knew that such harm would be suffered in California; for example, the Hulio declaration states that Facebook contacted NSO to inquire about certain capabilities of Pegasus, indicating that defendants were well aware of plaintiffs and their principal place of business in California. Hulio Decl. ¶ 10. Therefore, plaintiffs have demonstrated the purposeful direction element of specific jurisdiction. For that reason, the court does not reach plaintiffs' argument that the court has jurisdiction under Rule 4(k)(2).
ii. Purposeful Availment
A prima facie showing of purposeful availment "typically consists of evidence of the defendant's actions in the forum, such as executing or performing a contract there. By taking such actions, a defendant `purposefully avails itself of the privilege of conducting activities within the forum State, thus invoking the benefits and protections of its laws.'" Schwarzenegger, 374 F.3d at 802 (quoting Hanson, 357 U.S. at 253, 78 S.Ct. 1228). When analyzing purposeful availment, the court must "use a highly realistic approach that recognizes that a contract is ordinarily but an intermediate step serving to tie up prior business negotiations with future consequences which themselves are the real object of the business transaction." Burger King, 471 U.S. at 479, 105 S.Ct. 2174 (internal quotation marks and citation omitted). Generally, an individual's contract with an out-of-state party alone cannot establish sufficient minimum contracts. Id. at 478, 105 S.Ct. 2174. "To have purposefully availed itself of the privilege of doing business in the forum, a defendant must have `performed some type of affirmative conduct which allows or promotes the transaction of business within the forum state.'" Boschetto v. Hansing, 539 F.3d 1011, 1016 (9th Cir. 2008) (quoting Sher v. Johnson, 911 F.2d 1357, 1362 (9th Cir. 1990)). Courts examine the "prior negotiations and contemplated future consequences, along with the terms of the contract and the parties' actual course of dealing" that "determin[e] whether the defendant purposefully established minimum contacts with the forum." Burger King, 471 U.S. at 479, 105 S.Ct. 2174.
Defendants argue that plaintiffs cannot demonstrate purposeful availment because defendants did not take any actions in the forum, such as executing or performing a contract in California. Mtn. at 16. While defendants acknowledge they accepted the terms of service, they contend a contract alone does not establish minimum contacts and there are no other allegations of affirmative conduct in California. Id. Plaintiffs argue that defendants purposefully availed themselves of California's benefits for three reasons. First, the terms of service included a California choice-of-law clause, which shows an intent by defendants to avail themselves of California law. Opp. at 12. Second, defendants continuously performed under the terms of service. Id. at 12-13. Third, defendants engaged in activities directed at California such as developing Pegasus with financing from a California-based private equity firm and contracting with a California-based technology company, QuadraNet. Id. at 13.
Beginning with prior negotiations, there is no allegation or evidence that the parties engaged in prior negotiations. Nor would one expect there to be any negotiations because terms of service are contracts of adhesion that users choose to either accept or reject based on whether they desire to use a company's service. Next, the contemplated performance does not center on California. WhatsApp's terms of service apply to every user no matter where they are located. As plaintiffs point out, the terms of service committed defendants to 675*675 continuously perform under the contract, but nothing about that performance had anything to do with California—especially in this instance where defendants are not alleged to have traveled to or otherwise performed in California after they agreed to the terms of service.
With respect to the terms of the contract, plaintiffs point to the choice-of-law provision in the terms of service. That provision stated: "[t]he laws of the State of California govern our Terms, as well as any Disputes, whether in court or arbitration, which might arise between WhatsApp and you, without regard to conflict of law provisions." Duffy Decl., Ex. 1. WhatsApp's choice of law provision would be relevant if it were combined with other facts to demonstrate that defendants purposefully availed themselves of California law. In Google, Inc. v. Eolas Technologies Inc., No. 13-cv-05997-JST, 2014 WL 2916621, at *3 (N.D. Cal. June 24, 2014), the court found the choice of law provision persuasive in the context of a 20-year licensing agreement whereby the defendant entered into the agreement in California, was formerly a California entity, and agreed to ongoing marketing, litigation, and bookkeeping obligations as part of a patent royalty agreement. Similarly, in Facebook, Inc. v. Rankwave Co., No. 19-cv-03738-JST, 2019 WL 8895237, at *6 (N.D. Cal. Nov. 14, 2019), the court assumed that the defendant, as a "sophisticated entity... consented to the [terms of service] and its choice-of-law provision for seven of the years during which it created and operated apps on Facebook's platform." Thus, the choice of law provision may be relevant but only when combined with other facts that defendants intended to avail themselves of California law.
There are no such facts here. This case involves a contract of adhesion where defendants, despite being sophisticated entities, had no ability to negotiate the terms of service. Unlike Eolas (licensing agreement) and Rankwave (creating apps), defendants were only using WhatsApp's service as any individual consumer might. If the court were to accept plaintiffs' argument, then any user simply by accepting the terms of service and otherwise having no interaction with California could be said to have purposefully availed him or herself of California's laws.
Plaintiffs advance a few other arguments that involve conduct outside the four corners of the terms of service. First, defendants are alleged to have received financing from a California-based private equity firm. From 2014 to February 2019, a San Francisco-based entity owned a controlling interest in NSO. Compl. ¶ 5 & Ex. 4. This fact represents a potential connection with California, but plaintiffs have not connected it to the WhatsApp terms of service, the alleged conduct (which occurred after Q Cyber acquired NSO), or that the funding was instrumental to the alleged conduct. Second, plaintiffs argue that defendants intentionally exploited WhatsApp's California-based infrastructure. This allegation is relevant to the purposeful direction test but is not relevant to purposeful availment. Third, plaintiffs point to defendants' contract with QuadraNet to use QuadraNet's servers to direct malware to WhatsApp's users. Defendants have denied this fact in a supplemental declaration. Nor is it clear how a contract with a third party informs the purposeful availment analysis concerning the terms of service agreed to by WhatsApp and defendants.
In sum, plaintiffs have not met their burden to demonstrate purposeful availment. Because, however, plaintiffs have met their burden with respect to purposeful direction, the court turns to whether exercising personal jurisdiction would comport with fair play and substantial justice.
iii. Reasonableness and Pendent Jurisdiction
The factors that are relevant to the fair play and substantial justice evaluation are: "(1) the extent of the defendants' purposeful injection into the forum state's affairs; (2) the burden on the defendant of defending in the forum; (3) the extent of the conflict with the sovereignty of the defendant's state; (4) the forum state's interest in adjudicating the dispute; (5) the most efficient judicial resolution of the controversy; (6) the importance of the forum to the plaintiff's interest in convenient and effective relief; and (7) the existence of an alternative forum." College-Source, 653 F.3d at 1079. No one factor is dispositive and the court must balance all of the factors. Core-Vent Corp. v. Nobel Indus., AB, 11 F.3d 1482, 1488 (9th Cir. 1993). The more attenuated the contacts with the forum state, the less a defendant must show in terms of unreasonableness to defeat the court's exercise of jurisdiction. Id. At this step of the specific jurisdiction analysis, the burden shifts to defendants to present a compelling case that jurisdiction would be unreasonable. Burger King, 471 U.S. at 477, 105 S.Ct. 2174.
First, the purposeful injection factor is analogous to the purposeful direction analysis. Corp. Inv. Bus. Brokers v. Melcher, 824 F.2d 786, 790 (9th Cir. 1987) ("Ninth Circuit cases give the `purposeful interjectment' factor no weight once it is shown that the defendant purposefully directed its activities to the forum state ...." (citations omitted)). Because plaintiffs demonstrated purposeful direction, defendants injected themselves into the forum state.
Second, courts "examine the burden on the defendant in light of the corresponding burden on the plaintiff." Sinatra v. Nat'l Enquirer, Inc., 854 F.2d 1191, 1199 (9th Cir. 1988) (quoting Brand v. Menlove Dodge, 796 F.2d 1070, 1075 (9th Cir. 1986)). Here, the burden on defendants to litigate in California is substantial given that their witnesses and evidence are located in Israel. However, the burden on plaintiffs to litigate in Israel would be similarly burdensome as their witnesses and evidence are located in California. Defendants have also secured U.S.-based outside counsel and a U.S.-based public relations firm for the express purpose of this lawsuit (Dkt. 20-6), which indicates the burden is somewhat mitigated. Further, given the advances in technology, it is not clear that the burden of litigating is so great as to violate due process. See Sinatra, 854 F.2d at 1199 (observing, in 1988, that "modern advances in communications and transportation have significantly reduced the burden of litigating in another country" (citations omitted)). In sum, this factor is in equipoise.
Third, "conflict with the sovereignty of the defendant's state `is not dispositive because, if given controlling weight, it would always prevent suit against a foreign national in a United States court.'" Id. (quoting Gates Learjet Corp. v. Jensen, 743 F.2d 1325, 1333 (9th Cir. 1984)). "The Supreme Court, though, has cautioned against extending state long arm statutes in an international context." Id. (citing Asahi Metal Indus. Co. v. Superior Ct. of Cal., Solano Cty., 480 U.S. 102, 115, 107 S.Ct. 1026, 94 L.Ed.2d 92 (1987)). Here, while defendants have presented no evidence as to a particular interest, the state of Israel has some presumable interest in adjudicating conflicts concerning their corporate citizens. See Harris Rutsky & Co. Ins. Servs. v. Bell & Clements Ltd., 328 F.3d 1122, 1133 (9th Cir. 2003) ("While [defendant] has presented no evidence of the United Kingdom's particular interest in adjudicating this suit, we may presume for present purposes that there is such an interest."). This factor cuts in favor of defendants.
677*677 Fourth, California maintains a strong interest in providing an effective means of redress for its residents tortuously injured in California. Sinatra, 854 F.2d at 1200. Here, plaintiffs' principal places of business are Menlo Park, California and they were allegedly harmed in California. This factor militates in favor of exercising jurisdiction.
Fifth, in considering which forum could most efficiently resolve this dispute, courts "focus on the location of the evidence and witnesses." Harris Rutsky, 328 F.3d at 1133 (citing Caruth v. Int'l Psychoanalytical Ass'n, 59 F.3d 126, 129 (9th Cir. 1995)). Here, defendants' evidence and witnesses are located in Israel and plaintiffs' evidence and witnesses are in California. This factor is neutral especially given the advances of modern technology. See Panavision Int'l v. Toeppen, 141 F.3d 1316, 1323 (9th Cir. 1998) (noting factor is "no longer weighed heavily given the modern advances in communication and transportation" (citation omitted)).
Sixth, "[i]n evaluating the convenience and effectiveness of relief for the plaintiff, we have given little weight to the plaintiff's inconvenience." Id. at 1324 (citing Ziegler v. Indian River Cty., 64 F.3d 470, 476 (9th Cir. 1995)). Here, the maintenance of this suit in a foreign country would be inconvenient for plaintiffs. This factor tips in plaintiffs' favor, though only slightly.
Seventh, the parties dispute which party has the burden to show Israel is inadequate as an alternative forum. Defendants cite Ballard v. Savage, 65 F.3d 1495, 1502 (9th Cir. 1995), where the Ninth Circuit stated that the defendant "Royal claims that an Austrian court could hear [the plaintiff's] claims, but it presents absolutely no evidence on this issue, erroneously assuming that the burden is on [the plaintiff] to prove the lack of an alternate forum." Ballard cites no authority for the proposition that the defendant must prove lack of alternate forum. In contrast, defendants cite Amoco Egypt Oil Co. v. Leonis Navigation Co., where the court stated that the plaintiff "Amoco has the burden of proving the unavailability of an alternative forum." 1 F.3d 848, 853 (9th Cir. 1993) (citing Pac. Atl. Trading Co. v. M/V Main Exp., 758 F.2d 1325, 1331 (9th Cir. 1985)). Both Sinatra, 854 F.2d at 1201, and Harris Rutsky, 328 F.3d at 1134, cases decided before and after Ballard, hold that the burden is on plaintiffs to prove unavailability. The weight of authority holds that plaintiffs have the burden on this factor and they have not cited any evidence that Israel is not an available alternative forum whereas defendants cite several cases finding Israel to be an available forum. E.g., Israel Discount Bank Ltd. v. Schapp, 505 F. Supp. 2d 651, 659 (C.D. Cal. 2007). This factor points towards defendants.
In sum, some factors tip in defendants' favor and others tip in plaintiffs' favor. The Ninth Circuit has indicated that, in such an instance, a defendant has not carried its burden to present a compelling case that exercising jurisdiction would be unreasonable. See Harris Rutsky, 328 F.3d at 1134 ("The balance is essentially a wash, since some of the reasonableness factors weigh in favor of [defendant], but others weigh against it."); see also Roth v. Garcia Marquez, 942 F.2d 617, 625 (9th Cir. 1991) (finding exercise of jurisdiction was reasonable even though only two reasonableness factors favored plaintiff, while three favored defendant). Accordingly, exercising personal jurisdiction over defendants comports with fair play and substantial justice.
Finally, plaintiffs argue that, if the court finds personal jurisdiction is appropriate over some but not all claims, the court should exercise pendent jurisdiction over the remaining claims. Opp. at 18. They contend that NSO's unauthorized use 678*678 of WhatsApp's infrastructure underpins each of plaintiffs' claims. Id. at 19. Defendants do not address pendent jurisdiction.
"Personal jurisdiction must exist for each claim asserted against a defendant."[8] Action Embroidery Corp. v. Atl. Embroidery, Inc., 368 F.3d 1174, 1180 (9th Cir. 2004) (citing Data Disc, Inc. v. Sys. Tech. Assocs., Inc., 557 F.2d 1280, 1289 n.8 (9th Cir. 1977)). "[A] court may assert pendent personal jurisdiction over a defendant with respect to a claim for which there is no independent basis of personal jurisdiction so long as it arises out of a common nucleus of operative facts with a claim in the same suit over which the court does have personal jurisdiction." Id. In this case, the breach of contract claim involves the same common nucleus of operative facts as the tort claims and pendent jurisdiction is appropriate.
For the foregoing reasons, defendants' motion to dismiss the complaint for lack of personal jurisdiction is DENIED.
3. Failure to Join Necessary Parties
Defendants move to dismiss the complaint because plaintiffs failed to join defendants' foreign sovereign customers under Rule 19. Mtn. at 18. As an initial matter, defendants argue only that their customers are required parties under Rule 19(a)(1)(A), (id. at 19), and the court focuses its analysis on that provision.
Finding a party to be necessary under Rule 19(a)(1)(A) requires the court to determine that "complete relief" cannot be accorded between the existing parties absent the joinder of the nonparty. "This factor is concerned with consummate rather than partial or hollow relief as to those already parties, and with precluding multiple lawsuits on the same cause of action." Northrop Corp. v. McDonnell Douglas Corp., 705 F.2d 1030, 1043 (9th Cir. 1983) (citing Advisory Committee's Note, 39 F.R.D. 89, 91 (1966)). In conducting a Rule 19(a)(1)(A) analysis, courts ask whether the absence of the nonparty party would preclude the court from fashioning meaningful relief as between the parties. Id. at 1044. This prong only concerns current parties to the action. Disabled Rights Action Comm. v. Las Vegas Events, Inc., 375 F.3d 861, 879 (9th Cir. 2004); see also NGV Gaming, Ltd. v. Upstream Point Molate, LLC, 355 F. Supp. 2d 1061, 1068 (N.D. Cal. 2005) ("The effect a decision may have on the absent party is not material." (internal quotation marks and citation omitted)).
Here, the parties focus on whether the court can issue an injunction that would afford plaintiffs complete relief. The complaint requests the following: "[t]hat the Court enter a permanent injunction enjoining and restraining Defendants and their agents, servants, employees, successors, and assigns, and all other persons acting in concert with or conspiracy with 679*679 any of them or who are affiliated with Defendants from" various actions including accessing or attempting to access WhatsApp's service or platform. Compl., Request for Relief. There are two possible readings of the underlined language. On the one hand "all other persons acting in concert with or conspiracy with any of them" could be read as seeking an injunction against defendants' customers who both parties acknowledge are sovereign nations. On the other hand, the language could be read as standard boilerplate drawn from Rule 65(d)(2)(C) that does not necessarily bind the sovereign nations by requiring them to take an affirmative action.
In EEOC v. Peabody Western Coal Co., 610 F.3d 1070, 1079 (9th Cir. 2010), the Ninth Circuit encountered a similar Rule 19 challenge concerning the scope of potential injunctive relief. There, the defendant argued that a sovereign entity (previously a defendant to the suit but dismissed by an earlier appellate decision) was a necessary party because of the plaintiff's request for injunctive relief, using language drawn from Rule 65. Id. The court reasoned that the "better reading of the boilerplate language in the complaint" was that the plaintiff was not seeking injunctive relief against a non-party sovereign entity. This reasoning indicates that the better reading of plaintiffs' relief, which involves similar boilerplate language from Rule 65, is that plaintiffs are not seeking injunctive relief against defendants' foreign sovereign customers. Such reasoning is not a complete answer because Peabody Western relied, in part, on the fact that an earlier Ninth Circuit opinion in that case determined that the sovereign entity could not be sued. No such finding has been made in this case.
More importantly, defendants' customers are not required parties because the court can craft injunctive relief that excludes or carves out any sovereign nation. Peabody Western recognized as much stating, "the district court nonetheless erred in dismissing EEOC's suit. Because we had held in Peabody II that joinder of the Nation was feasible despite the unavailability of injunctive relief against it, the proper response of the district court would have been simply to deny EEOC's request for injunctive relief. 610 F.3d at 1080 (emphasis added). The district court in Broidy Capital Management, LLC v. Qatar, No. CV 18-2421-JFW(Ex), 2018 WL 6074570, at *10 (C.D. Cal. Aug. 8, 2018), arrived at a similar conclusion in a CFAA case involving the sovereign nation of Qatar. The district court determined that Qatar was a necessary party under Rule 19(a)(1)(A) because "[p]laintiffs seek injunctive relief prohibiting all defendants including Qatar, from accessing Plaintiffs' protected computers without authorization ...." Id. at *9. However, the court determined that Qatar was not an indispensable party because relief could be effected without Qatar. Id. at *10 ("[A]ny potential prejudice by Qatar's absence from this action can be lessened or avoided entirely by crafting injunctive relief that would affect only the remaining defendants, and not Qatar."). Though the court resolved the Rule 19 analysis at the subdivision (b) step, the reasoning is applicable to the Rule 19(a) analysis.
Defendants rely on the holding from Republic of Philippines v. Pimentel, 553 U.S. 851, 867, 128 S.Ct. 2180, 171 L.Ed.2d 131 (2008), that "[a] case may not proceed when a required-entity sovereign is not amenable to suit." In Pimentel, "[t]he application of subdivision (a) of Rule 19 [was] not contested" and the foreign sovereigns in that case were "required entities." Id. at 863-64, 128 S.Ct. 2180. Pimentel's analysis proceeds from the starting point that the sovereign is a necessary (or required party) under Rule 19(a). Thus, Pimentel is 680*680 distinguishable because Rule 19(a) is contested in this case and Peabody Western controls the Rule 19(a)(1)(A) analysis and outcome. Because defendants' foreign sovereign customers are not necessary parties, Pimentel's holding does not apply.
For the foregoing reasons, defendants' motion to dismiss the complaint for failure to join necessary parties is DENIED.
4. Failure to State a Claim
a. First Claim: CFAA
"The CFAA prohibits acts of computer trespass by those who are not authorized users or who exceed authorized use." Facebook, Inc. v. Power Ventures, Inc., 844 F.3d 1058, 1065 (9th Cir. 2016). "It creates criminal and civil liability for whoever "intentionally accesses a computer without authorization or exceeds authorized access, and thereby obtains ... information from any protected computer." Id. at 1065-66 (alteration in original) (quoting 18 U.S.C. § 1030(a)(2)(C)). "The statute thus provides two ways of committing the crime of improperly accessing a protected computer: (1) obtaining access without authorization; and (2) obtaining access with authorization but then using that access improperly." Musacchio v. United States, ___ U.S. ___, 136 S. Ct. 709, 713, 193 L.Ed.2d 639 (2016). "[T]he CFAA is best understood as an anti-intrusion statute and not as a `misappropriation statute.'" hiQ Labs, Inc. v. LinkedIn Corp., 938 F.3d 985, 1000 (9th Cir. 2019) (quoting United States v. Nosal ("Nosal I"), 676 F.3d 854, 857-58 (9th Cir. 2012) (en banc)). The operative question is whether "the conduct at issue is analogous to `breaking and entering.'" Id. at 1001 (citation omitted).
i. WhatsApp's Servers
Defendants argue that the allegations in the complaint are analogous to LVRC Holdings LLC v. Brekka, 581 F.3d 1127 (9th Cir. 2009), because, as WhatsApp users, they had authorization, pursuant to the terms of service, to access WhatsApp's computers and servers to send messages over the WhatsApp app. Mtn. at 21. Plaintiffs respond that whether access to a computer is "authorized" depends on actions by the computer's owner to grant or deny permission. Opp. at 20. In this case, no WhatsApp user had permission to access the technical call settings or evade WhatsApp's security and, thus, there was no authorization. Id. at 21.
In Brekka, 581 F.3d at 1129, an employee was given permission by his employer to access the employer's website using an administrative login that gave the employee broad access to the data on the website. During this time, the employee emailed documents he obtained to his personal computer. Id. The employee eventually ceased working for the employer but continued to use his administrative login, which had not been revoked by the employer, to access the employer's website. Id. at 1130.
The court first determined that because the employer gave the employee permission to access a company computer, the employee could not have been acting "without authorization." Id. at 1133. Further, an employee is not acting "without authorization" simply because the "employee resolves to use the computer contrary to the employer's interest." Id. In support of that conclusion, the court examined the difference between the "without authorization" and "exceeds authorized access" prongs of the CFAA. The CFAA defines the term "exceeds authorized access" as meaning "to access a computer with authorization and to use such access to obtain or alter information in the computer that the accesser is not entitled so to obtain or alter." 18 U.S.C. § 1030(e)(6).
As this definition makes clear, an individual who is authorized to use a computer *681 for certain purposes but goes beyond those limitations is considered by the CFAA as someone who has "exceed[ed] authorized access." ... In other words, for purposes of the CFAA, when an employer authorizes an employee to use a company computer subject to certain limitations, the employee remains authorized to use the computer even if the employee violates those limitations.
Brekka, 581 F.3d at 1133 (first alteration in original). The court then summarized the two prongs as follows: "a person who `intentionally accesses a computer without authorization,' accesses a computer without any permission at all, while a person who `exceeds authorized access,' has permission to access the computer, but accesses information on the computer that the person is not entitled to access." Id. (citing 18 U.S.C. § 1030(a)(2), (a)(4)).
Applying here, the complaint confirms that "[d]efendants created WhatsApp accounts that they used and caused to be used to send malicious code to Target Devices in April and May 2019." Compl. ¶ 33. By creating WhatsApp accounts and accepting the terms of service, defendants, as is true of any WhatsApp user, had authorization to send messages using the WhatsApp app, which would be transmitted over WhatsApp's servers. For that reason, this case is similar to the Brekka employee's conduct prior to his termination because defendants here had at least some level of authorized access to the protected computers in question. Therefore, the facts alleged are not an instance where a person accesses a computer without any permission at all. With regard to the WhatsApp servers, plaintiffs have not stated a claim for a violation of 18 U.S.C. § 1030(a)(2) and (a)(4) by intentionally accessing information on a protected computer "without authorization."
This is not the end of the inquiry because the factual allegations detail conduct that meets the "exceeds authorized access" prong of 18 U.S.C. § 1030(a)(2) and (a)(4). WhatsApp imposes certain limitations on accessing portions of its servers, such as prohibiting access to the technical call settings. Defendants are alleged to have created a program that went beyond those restrictions by evading WhatsApp's security features and manipulating the technical call settings. For example, plaintiffs allege that defendants used their program to "avoid the technical restrictions built into WhatsApp Signaling Servers" and "formatted call initiation messages containing malicious code to appear like a legitimate call and concealed the code within call settings." Compl. ¶ 37. Defendants' program would then use "WhatsApp servers to route malicious code, which masqueraded as a series of legitimate calls and call settings, to a Target Device using telephone number (202) XXX-XXXX." Id. ¶ 38. Defendants also are alleged to have used "WhatsApp's Relay Servers without authorization to send encrypted data packets designed to activate the malicious code injected into the memory of the Target Devices." Id. ¶ 39. These factual allegations meet the definition of exceeds authorized access because defendants had permission to access a portion of the computer in question (the WhatsApp servers) but did not have permission to access other portions. See Nosal I, 676 F.3d at 857 ("[A]ssume an employee is permitted to access only product information on the company's computer but accesses customer data: He would "exceed [] authorized access" if he looks at the customer lists." (second alteration in original)).
Defendants offer two rejoinders to the exceeds authorized access prong. Neither is persuasive. First, defendants argue that even if the court applies the "exceeds *682 authorized access" prong of the CFAA, the Ninth Circuit has held that the CFAA does not apply to "violations of corporate computer use restrictions." Mtn. at 21-22 (quoting Nosal I, 676 F.3d at 862). Defendants are correct that "a violation of the terms of use of a website—without more— cannot establish liability under the CFAA." Power Ventures, 844 F.3d at 1067. Plaintiffs' allegations go beyond any restrictions imposed by WhatsApp's terms of service because they allege that defendants' program "avoid[ed] the technical restrictions built into WhatsApp Signaling Servers." Compl. ¶ 37. Avoiding technical restrictions goes beyond any contractual limits imposed by the terms of service. See Nosal I, 676 F.3d at 863 (purpose of CFAA is "to punish hacking—the circumvention of technological access barriers").
Second, defendants cite hiQ Labs for the proposition that technical restrictions imposed by plaintiffs cannot state a "without authorization" theory. Reply at 13. That case involved a data scraping company that scraped LinkedIn's servers for information that was publicly available. hiQ Labs, 938 F.3d at 992. The court summarized:
it appears that the CFAA's prohibition on accessing a computer "without authorization" is violated when a person circumvents a computer's generally applicable rules regarding access permissions, such as username and password requirements, to gain access to a computer. It is likely that when a computer network generally permits public access to its data, a user's accessing that publicly available data will not constitute access without authorization under the CFAA. The data hiQ seeks to access is not owned by LinkedIn and has not been demarcated by LinkedIn as private using such an authorization system.
Id. at 1003-04. hiQ Labs turned on the fact that the data in question was publicly available, not owned by LinkedIn, and the servers in question were not protected by generally applicable access permissions. Those facts are not present here. The information defendants are alleged to have accessed is private and WhatsApp's servers are protected from access by generally applicable access permissions.
In sum, plaintiffs have stated a claim for violation of 18 U.S.C. § 1030(a)(2) and (a)(4) under the exceeds authorized access prong.
ii. Harm Based on Access to Users' Devices
Next, defendants argue that, with regard to alleging a claim based on accessing individual users' devices without authorization, plaintiffs did not suffer a loss as defined by the CFAA. This argument stems from plaintiffs' allegations that defendants accessed "Target Devices" (i.e., individual user's devices) without authorization. Compl. ¶¶ 53-54. As plaintiffs point out, the Ninth Circuit has held that a plaintiff can recover for violation of the CFAA when a defendant accesses a third party's device as long as the plaintiff is harmed by such an act, particularly if the plaintiff has a right to data stored on the third party device. Theofel v. Farey-Jones, 359 F.3d 1066, 1078 (9th Cir. 2004).
With respect to harm, "[t]he statute permits a private right of action when a party has suffered a loss of at least $5,000 during a one-year period." Power Ventures, 844 F.3d at 1066 (citing 18 U.S.C. § 1030(c)(4)(A)(i)(I)). CFAA defines "loss" as "any reasonable cost to any victim, including the cost of responding to an offense, conducting a damage assessment, and restoring the data, program, system, or information to its condition prior to the offense, and any revenue lost, cost incurred, or other consequential damages incurred because of interruption of service." § 1030(e)(11).
*683 Here, plaintiffs' alleged losses include the expenditure of resources to investigate and remediate defendants' conduct. This type of loss is described by the statute's reference to "the cost of responding to an offense." 18 U.S.C. § 1030(e)(11). Defendants do not quarrel with this interpretation but instead contend that plaintiffs' loss derived from responding to a vulnerability in the WhatsApp system and not to the accessing of information on individual users' devices. Mtn. at 22. Citing Theofel, defendants argue that a plaintiff would be injured by a defendant's access to a third party's device if the plaintiff had rights to data stored on the device. Id.
However, as plaintiffs point out, they have alleged rights to at least some data on users' devices.[9] Moreover, they have alleged that they incurred costs responding to the unauthorized access to users' phones by upgrading the WhatsApp system in response to defendants' intrusion. See Multiven, Inc. v. Cisco Sys., Inc., 725 F. Supp. 2d 887, 895 (N.D. Cal. 2010) ("It is sufficient to show that there has been an impairment to the integrity of data ... and the rightful computer owner must take corrective measures `to prevent the infiltration and gathering of confidential information.'" (quoting Shurgard Storage Ctrs., Inc. v. Safeguard Self Storage, Inc., 119 F. Supp. 2d 1121, 1126-27 (W.D. Wash. 2000))). These allegations are sufficient to state a claim for loss based on responding to an offense on a third party's device.
Finally, assuming the court determines that plaintiffs' CFAA § 1030(a)(2) and (a)(4) claims survive the motion to dismiss, then the conspiracy claim under § 1030(b) would also survive because the only argument defendants make as to the conspiracy claim is that plaintiffs cannot state a claim under § 1030(a)(2) or (a)(4).
For the foregoing reasons, defendants' motion to dismiss plaintiffs' first cause of action for violation of the Computer Fraud and Abuse Act is DENIED.
b. Fourth Claim: Trespass to Chattels
"Under California law, trespass to chattels `lies where an intentional interference with the possession of personal property has proximately caused injury.'" Intel Corp. v. Hamidi, 30 Cal. 4th 1342, 1350-51, 1 Cal.Rptr.3d 32, 71 P.3d 296 (2003) (emphasis omitted) (quoting Thrifty-Tel, Inc. v. Bezenek, 46 Cal. App. 4th 1559, 1566, 54 Cal.Rptr.2d 468 (Ct. App. 1996)). A plaintiff may only recover "the actual damages suffered by reason of the impairment of the property or the loss of its use." Id. (emphasis omitted) (quoting Zaslow v. Kroenert, 29 Cal. 2d 541, 551, 176 P.2d 1 (1946)). To state a trespass to chattels claim, a plaintiff must plead that "(1) the defendant intentionally and without authorization interfered with plaintiff's possessory interest in the computer system; and (2) defendant's unauthorized use[ ] proximately caused damage." Brodsky v. Apple Inc., 445 F. Supp. 3d 110, 121-22, No. 19-CV-00712-LHK (N.D. Cal. Apr. 7, 2020) (alteration in original) (quoting In re Facebook Internet Tracking Litig., 263 F. Supp. 3d 836, 842 (N.D. Cal. 2017)).
In this case, defendants argue that plaintiffs cannot state a claim for trespass to chattels because they have not alleged that defendants' conduct caused actual damage to plaintiffs' servers. Mtn. at 23. Defendants contend that plaintiffs' allegations concerning investigating and remediation of defendants' conduct is not 684*684 harm to their servers. Id. While plaintiffs allege that the conduct burdened plaintiffs' computer network, defendants argue that such an allegation is unsupported by any factual allegations. Id. at 24. Plaintiffs respond that trespass to chattels includes claims that a defendant interfered with the intended functioning of a system and defendants have done so in here. Opp. at 24. Plaintiffs aver that the value of their system is based on their ability to securely and accurately transmit communications between users and argue that NSO's misuse of that system interfered with its intended functioning. Id. Plaintiffs focus not on the quantity of messages sent but the effect of those messages in impairing the integrity, quality, and value of WhatsApp's services. Id. at 25.
The leading California case on electronic trespass to chattels is Intel Corp. v. Hamidi, 30 Cal. 4th at 1347, 1 Cal.Rptr.3d 32, 71 P.3d 296, where the California Supreme Court held that trespass to chattels "does not encompass ... an electronic communication that neither damages the recipient computer system nor impairs its functioning." In Hamidi, Intel alleged that the defendant used Intel's email system to send six mass email to Intel's employees that criticized Intel's employment practices, urged Intel's employees to find other employment, and other anti-Intel messaging. Id. at 1348-49, 1 Cal.Rptr.3d 32, 71 P.3d 296. The mass emails did not involve the defendant breaching Intel's security and did not damage, slow, or impair Intel's computer system. Id. at 1349, 1 Cal. Rptr.3d 32, 71 P.3d 296. The court reasoned that "the undisputed evidence revealed no actual or threatened damage to Intel's computer hardware or software and no interference with its ordinary and intended operation." Id. at 1352-53, 1 Cal. Rptr.3d 32, 71 P.3d 296.
The following passage from the opinion succinctly summarizes the key issues relevant here:
[W]e conclude that under California law the tort does not encompass, and should not be extended to encompass, an electronic communication that neither damages the recipient computer system nor impairs its functioning. Such an electronic communication does not constitute an actionable trespass to personal property, i.e., the computer system, because it does not interfere with the possessor's use or possession of, or any other legally protected interest in, the personal property itself. The consequential economic damage Intel claims to have suffered, i.e., loss of productivity caused by employees reading and reacting to Hamidi's messages and company efforts to block the messages, is not an injury to the company's interest in its computers—which worked as intended and were unharmed by the communications—any more than the personal distress caused by reading an unpleasant letter would be an injury to the recipient's mailbox, or the loss of privacy caused by an intrusive telephone call would be an injury to the recipient's telephone equipment.
Id. at 1347, 1 Cal.Rptr.3d 32, 71 P.3d 296 (citations omitted).
This case is similar to Hamidi because the alleged actions did not degrade or damage WhatsApp's servers. Nor do plaintiffs advance the argument that approximately 1,400 messages out of the 1.5 billion people in 180 countries who use the WhatsApp service (Compl. ¶ 17) impaired the physical functioning of WhatsApp's servers. In fact, defendants' program was reliant on WhatsApp's servers to function exactly as intended. Defendants' program is alleged to emulate legitimate WhatsApp network traffic in order to transmit malicious 685*685 code, undetected, to a user's device over WhatsApp's servers. Id. ¶ 35.
Nonetheless, plaintiffs contend that defendants impaired the value and quality of WhatsApp's servers by designing a program that concealed malicious code and made it appear that WhatsApp, rather than defendants, sent the code. Opp. at 24. This argument conflates the impairment of the value and quality of WhatsApp's servers with the impairment to "the integrity, quality, and value of WhatsApp's services." Id. at 25 (emphasis added). Plaintiffs have not alleged that the value of the servers were degraded as a result defendants' actions. Instead, they only plead consequential economic damages, such as the expenditure of resources[10] responding to the breach, and the loss of goodwill in WhatsApp's business due to a perceived weakness in WhatsApp's encryption or its services. Compl. ¶ 78. Hamidi forecloses consequential economic damages, 30 Cal. 4th at 1347, 1 Cal.Rptr.3d 32, 71 P.3d 296, and questioned whether the "loss of business reputation and customer goodwill" is cognizable under an action for trespass to chattels. Id. at 1358, 1 Cal.Rptr.3d 32, 71 P.3d 296. Arguing that goodwill is cognizable, plaintiffs only cite out of circuit cases that did not apply Hamidi, Microsoft Corp. v. Does 1-18, No. 13cv139 (LMB/TCB), 2014 WL 1338677, at *10 (E.D. Va. Apr. 2, 2014); CompuServe Inc. v. Cyber Promotions, Inc., 962 F. Supp. 1015, 1023 (S.D. Ohio 1997), but district courts applying Hamidi and addressing similar financial injuries have found that a financial injury resulting from a trespass to a computer is not an actual harm actionable, see Hiossen, Inc. v. Kim, No. CV1601579SJOMRWX, 2016 WL 10987365, at *11 (C.D. Cal. Aug. 17, 2016); Fields v. Wise Media, LLC, No. C 12-05160 WHA, 2013 WL 5340490, at *4 (N.D. Cal. Sept. 24, 2013).
Plaintiffs are correct in pointing out that Hamidi did not explicitly foreclose a goodwill argument and the court considered such economic injuries as an alternative argument. 30 Cal. 4th at 1358, 1 Cal. Rptr.3d 32, 71 P.3d 296. The court went on to reject such an argument because the complaint did not concern the functioning of the computer system, but the content of the emails. Id. Even if this court were to follow a similar course and consider plaintiffs' allegations concerning goodwill, plaintiffs have not alleged that they have lost goodwill or customers because of the impairment to WhatsApp's servers as opposed to impairment of WhatsApp's service. Cf. CompuServe Inc., 962 F. Supp. at 1023 ("Many subscribers have terminated their accounts specifically because of the unwanted receipt of bulk e-mail messages. Defendants' intrusions into CompuServe's computer systems, insofar as they harm plaintiff's business reputation and goodwill with its customers, are actionable under Restatement § 218(d)." (emphasis added) (citations omitted)).
Finally, plaintiffs cite several cases, including Craigslist Inc. v. 3Taps Inc., 942 F. Supp. 2d 962, 981 (N.D. Cal. 2013), Coupons, Inc. v. Stottlemire, No. CV 07-03457 HRL, 2008 WL 3245006, at *6 (N.D. Cal. July 2, 2008), and Thrifty-Tel, 46 Cal. App. 4th at 1564, 1566, 54 Cal.Rptr.2d 468, for 686*686 the proposition that courts routinely find cognizable injury when the defendant impaired the ability of a plaintiff's equipment to serve customers as intended. Craigslist and Coupons, Inc. only stand for the proposition that whether the defendants caused actual damage or impairment to the computer systems was a question of fact more appropriate for summary judgment or trial than for a motion to dismiss. This point is true, assuming plaintiffs can allege actual harm. Thrifty-Tel, 46 Cal. App. 4th at 1564, 54 Cal.Rptr.2d 468, involved a computer hack that "den[ied] some subscribers access to phone lines." Plaintiffs in this case have not alleged that any WhatsApp customer was deprived or denied access to the WhatsApp system. The lack of an allegation similar to Thrifty-Tel only reinforces the conclusion that, as currently alleged, the complaint does not detail any actual harm caused by defendants' program or access to WhatsApp's computers or servers.
For the foregoing reasons, plaintiffs' fourth cause of action for trespass to chattels is DISMISSED WITH LEAVE TO AMEND.
5. Motion to Stay Discovery
While the present motion to dismiss was pending, defendants subsequently filed a motion to stay discovery pending final resolution of their motion to dismiss. Dkt. 95. Defendants argue that because their motion is based in part on a foreign sovereign immunity argument, they should be free from all burdens of litigation. Id. at 2. They also argue that good cause exists to stay discovery pending disposition of the motion beyond the sovereign immunity argument. Id. at 3-4.
Defendants advance no reason to stay discovery other than the pending motion to dismiss. Because this order adjudicates their pending motion, defendants' request to stay discovery is moot. Accordingly, the court DENIES AS MOOT defendants' motion to stay discovery.
CONCLUSION
For the foregoing reasons, the court GRANTS defendants' Rule 12(b)(6) motion to dismiss plaintiffs' fourth cause of action for trespass to chattels but DENIES their motion in all other respects. The court further DENIES AS MOOT defendants' motion to stay discovery. Because plaintiffs have not alleged actual harm, the court is skeptical that the fourth cause of action can be amended to state a claim. That said, it is not clear that amendment would be futile. Plaintiffs shall file any amended complaint within 21 days of the date of this order to amend only the fourth cause of action. No new parties or causes of action may be pleaded without leave of court or the agreement of defendants. Upon the filing of any amended complaint, plaintiffs must also file a redline clearly demarcating their changes from the existing complaint.
IT IS SO ORDERED.
[1] Defendants suggest that derivative immunity is grounded in the common law of foreign sovereign immunity and that Butters v. Vance International, Inc., 225 F.3d 462 (4th Cir. 2000), applied the common law of foreign sovereign immunity. Reply at 10. Defendants appear to be merging two distinct doctrines, foreign official immunity and derivative sovereign immunity. For clarity, the court only addresses foreign official immunity in this section and then addresses derivative immunity, as discussed in Butters.
[2] Other circuits are split on the issue of whether Yearsley constitutes a rule of jurisdictional immunity. Compare Adkisson v. Jacobs Eng'g Grp., Inc., 790 F.3d 641, 647 (6th Cir. 2015) ("Yearsley immunity is, in our opinion, closer in nature to qualified immunity for private individuals under government contract, which is an issue to be reviewed on the merits rather than for jurisdiction.") (citing Filarsky v. Delia, 566 U.S. 377, 389-92, 132 S.Ct. 1657, 182 L.Ed.2d 662 (2012)); Ackerson v. Bean Dredging LLC, 589 F.3d 196, 207 (5th Cir. 2009) ("Yearsley does not discuss sovereign immunity or otherwise address the court's power to hear the case ...."), with Cunningham v. Gen. Dynamics Info. Tech., Inc., 888 F.3d 640, 650 (4th Cir. 2018) (reaffirming holding that "Yearsley doctrine operates as a jurisdictional bar to suit and not as a merits defense to liability"). Because the court can resolve the derivative sovereign immunity question on other grounds, it need not wade into the circuit split concerning whether a Yearsley defense is jurisdictional.
[3] In a case cited by defendants, Moriah v. Bank of China Ltd., 107 F. Supp. 3d 272, 277 n.4 (S.D.N.Y. 2015), the district court cited Butters while discussing derivative foreign sovereign immunity as applied to a foreign official. However, the court's reasoning applied the "`two-step procedure' to assess common-law claims of foreign sovereign immunity" required by Samantar. Id. at 276 & n.27 (quoting Samantar, 560 U.S. at 312, 130 S.Ct. 2278). Thus, the court's citation of Butters was not necessary to its finding and did not discuss the distinction between derivative sovereign immunity and foreign official immunity.
[4] Plaintiffs request the court judicially notice information from nonparty QuadraNet's website. Dkt. 56. Specifically, plaintiffs request the court notice QuadraNet's terms of service as it appeared on its website on January 29, 2019 and the current version of the terms of service, which became effective March 4, 2020. Id. at 2-3. The request is unopposed. Generally, when considering whether to grant a request for judicial notice, a court may consider factual information from the internet as long as the facts are not subject to reasonable dispute. See, e.g., Perkins v. LinkedIn Corp., 53 F. Supp. 3d 1190, 1204 (N.D. Cal. 2014). Accordingly, the court GRANTS plaintiffs' request for judicial notice.
[5] Civil Local Rule 7-3(c) permits declarations to be submitted with a reply brief. Civil Local Rule 7-3(d)(1) permits an opposing party to file an objection to "new evidence [that] has been submitted in the reply ...." Plaintiffs did not file an objection (timely or otherwise) to the supplemental declaration.
[6] Defendants would distinguish Seattle Sperm Bank on the grounds that the plaintiff in that case intentionally stole data from the servers, which defendants are not alleged to have done here. Reply at 7 n.9. The difference between the misappropriation of trade secrets tort alleged in Seattle Sperm Bank, 2018 WL 3769803, at *2, and the trespass to chattels and unauthorized access torts alleged here is not material for purposes of express aiming. Both cases involve an intentional tort that seeks access to a computer system without permission.
[7] While Walden reaffirmed that a defendant's conduct remains the touchstone of specific jurisdiction, the Court expressly reserved deciding the amount of minimum contacts "where intentional torts are committed via the Internet or other electronic means (e.g., fraudulent access of financial accounts or `phishing' schemes)." Walden, 571 U.S. at 290 n.9, 134 S.Ct. 1115. The Court characterized intentional torts committed using electronic means as "present[ing] the very different questions whether and how a defendant's virtual `presence' and conduct translate into `contacts' with a particular State." Id. This footnote reinforces the court's conclusion that where a defendant enters a forum state with malicious code and seeks out servers owned by a plaintiff in that forum state and then commits an intentional tort, such conduct is sufficient to find personal jurisdiction.
[8] The court uses the term "pendent personal jurisdiction" to distinguish the concept from the supplemental jurisdiction statute, 28 U.S.C. § 1367. As explained by a leading treatise:
In recent years, there has been some debate about whether Section 1367 of Title 28, the supplemental jurisdiction statute, should be read to include the doctrine of pendent personal jurisdiction. Neither the plain meaning of this statute, which shows it to be a subject matter jurisdiction provision, nor its legislative history supports the conclusion that Congress intended Section 1367 to include personal jurisdiction .... [I]f pendent personal jurisdiction exists, it must be properly understood to be a federal common law doctrine. For the sake of clarity, this section will refer to "pendent personal jurisdiction" rather than "supplemental personal jurisdiction" to highlight the fact that Section 1367 should not be read to subsume personal as well as subject matter jurisdiction.
4A Wright & Miller, Federal Practice & Procedure, § 1069.7 (4th ed. 2020).
[9] Plaintiffs assert that the WhatsApp terms of service, which are referenced in the complaint, provide for WhatsApp to retain intellectual property rights on a user's device. Opp. at 23 (citing Compl. ¶ 19). Defendants do not appear to contest this point.
[10] In support of harm due to responding to a digital attack, plaintiffs cite Twitch Interactive, Inc. v. Does 1 Through 100, No. 19-CV-03418-WHO, 2019 WL 3718582, at *4 (N.D. Cal. Aug. 7, 2019), where the plaintiff asserted that the "defendants' breach caused it lost profits and led it to expend resources to combat the attack." Twitch is not persuasive because the court cited that harm in its analysis concerning the plaintiff's breach of contract claim, not its trespass to chattels claim. Further, due to the procedural posture of that case, the court did not engage at length with the actual harm argument advanced by defendants in this case.
4.2.4. Improving and Making the Vulnerability Equities Process Transparent is the Right Thing to Do – Rob Joyce (Nov. 15, 2017)
This is essentially a press release/blog post about the Vulnerabilities Equities Process. The VEP itself is the next document in your reading; this is basically an explainer about the VEP. At the time (late 2017), Rob Joyce was a special assistant to the President and the Cybersecurity Coordinator on the U.S. National Security Council.
4.2.5. Vulnerabilities Equities Policy and Process for the United States Government (Nov. 15, 2017)
4.2.6. Everything We Know About How the FBI Hacks People - Wired (May 15, 2016)
4.2.7. DOJ's Sandworm operation raises questions about how far feds can go to disarm botnets - CyberScoop (Apr. 8, 2022)
4.2.8. [OPTIONAL] Search warrant and supporting affidavit for Hafnium botnet takedown (April 2021)
After reading the CyberScoop article about botnet takedowns by the U.S. Government, you may find it interesting to read this unsealed search warrant and affidavit from the Hafnium case mentioned in the article. The DOJ's press release in the Hafnium matter is here.