Zuckerbraun v. General Dynamics Corp.

935 F.2d 544, 1991 WL 101613
CourtCourt of Appeals for the Second Circuit
DecidedJune 13, 1991
DocketNo. 1405, Docket 91-6002
StatusPublished
Cited by26 cases

This text of 935 F.2d 544 (Zuckerbraun v. General Dynamics Corp.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Zuckerbraun v. General Dynamics Corp., 935 F.2d 544, 1991 WL 101613 (2d Cir. 1991).

Opinion

WINTER, Circuit Judge:

This appeal arises from a wrongful death action against the manufacturers of a missile defense system that allegedly failed to repel a missile attack upon a United States Navy frigate as a result of the defendants’ negligence. We hold that the district court properly dismissed the suit because the government properly invoked the state secrets privilege and thereby prevented appellant from offering evidence sufficient to establish a prima facie case.

BACKGROUND

During part of the protracted war between Iran and Iraq in the 1980’s, the United States maintained a naval presence in the Persian Gulf to protect shipping in those waters. On May 17,1987, the frigate U.S.S. Stark, an Oliver Hazard Perry class frigate, was patrolling the Gulf when it was struck by two Exocet missiles fired by an Iraqi F-l Mirage fighter jet. The attack killed thirty-seven crewmen, including Earl Patton Ryals.

On May 16, 1990, David Zuckerbraun, as administrator of Ryals’s estate, filed the instant action in the District of Connecticut against General Dynamics Corporation, Raytheon Company, FMC Corporation, [546]*546Hughes Aircraft Company, Unisys Corporation, and RCA Corporation, Government Systems Division. The complaint alleged that the defendants negligently designed, manufactured, tested, and marketed the weapons systems aboard the U.S.S. Stark, including the Phalanx Anti-Missile System, that were intended to destroy hostile aircraft or missiles approaching the vessel. It is claimed that defendants’ negligence rendered the U.S.S. Stark incapable of defending against the Iraqi Exocet attack, thereby causing Ryals’s death.

On August 24, 1990, Judge Burns granted a motion by the United States to intervene as a party defendant. Thereafter, H. Lawrence Gárrett, III, Secretary of the Navy, formally asserted on behalf of the United States the state secrets privilege with respect to information regarding the specifications of the weapons and defense systems aboard the U.S.S. Stark as well as the procedures governing their use. Secretary Lawrence’s Declaration and Claim of the State Secrets Privilege is appended as Appendix A. In that Declaration and Claim, the Secretary stated that the U.S.S. Stark belongs to the most advanced class of frigate in the Navy, which class is expected to be a primary surface combat vessel well into the twenty-first century. Consequently, the Secretary stated, technical data regarding the design, performance, and functional characteristics of the weapons and defense systems of the U.S.S. Stark are classified. Similarly classified are the “rules of engagement” under which the ship’s commanders operate when determining whether and when to use these systems. In the Secretary’s opinion, disclosure of this information in litigation would cause “grave damage” to the national security of the United States by enabling potential enemies to exploit weaknesses in the pertinent weapons systems and to develop specific countermeasures to those systems.

On September 5, 1990, after Secretary Lawrence’s invocation of the privilege, the United States filed a motion to dismiss the complaint pursuant to Fed.R.Civ.P. 12(b)(1) and (6), for lack of subject matter jurisdiction and failure to state a claim upon which relief may be granted. On September 10, 1990, the corporate defendants followed with a similar motion.

The district court granted the motions and entered judgment in favor of the defendants. See Zuckerbraun v. General Dynamics Cory., 755 F.Supp. 1134 (D.Conn.1990). The court found that the state secrets privilege had been properly invoked as to the weapons systems on the U.S.S. Stark and as to the rules of engagement, thereby denying access to information essential to appellant’s establishing a prima facie case. Consequently, the court concluded, dismissal for failure to state a claim was appropriate. See id. at 1137-40. Alternatively, the district court found that the suit must be dismissed because it presents a nonjusticiable political question concerning military decision-making. See id. at 1140-42.

DISCUSSION

The state secrets privilege is a common law evidentiary rule that allows the government to withhold information from discovery when disclosure would be inimical to national security. See In re United States, 872 F.2d 472, 474 (D.C.Cir.1989). In United States v. Reynolds, 345 U.S. 1, 7-11, 73 S.Ct. 528, 531-34, 97 L.Ed. 727 (1953), the Supreme Court recognized this privilege and set forth standards governing its use. The privilege may be invoked only by the government and may be asserted even whén the government is not a party to the case. See, e.g., Fitzgerald v. Penthouse Int’l Ltd., 776 F.2d 1236 (4th Cir.1985). The privilege must be claimed by the head of the department with control over the matter in question after personal consideration by that officer. See Reynolds, 345 U.S. at 7-8, 73 S.Ct. at 531-32. Once properly invoked, the effect of the privilege is to exclude the evidence from the case. See Ellsberg v. Mitchell, 709 F.2d 51, 65 (D.C.Cir.1983), cert. denied, 465 U.S. 1038, 104 S.Ct. 1316, 79 L.Ed.2d 712 (1984).

A court before which the privilege is asserted must assess the validity of the [547]*547claim of privilege, satisfying itself that there is a reasonable danger that disclosure of the particular facts in litigation will jeopardize national security. In making this assessment, however, the court must not “forc[e] a disclosure of the very thing the privilege is designed to protect,” Reynolds, 345 U.S. at 8, 73 S.Ct. at 532, and, although the privilege is not to be lightly invoked, see id. at 7, 73 S.Ct. at 531, the court must accord the “ ‘utmost deference’ ” to the executive’s determination of the impact of disclosure on military or diplomatic security. Halkin v. Helms, 598 F.2d 1, 9 (D.C. Cir.1978) (Halkin I) (quoting United States v. Nixon, 418 U.S. 683, 710, 94 S.Ct. 3090, 3108, 41 L.Ed.2d 1039 (1974)). “[Ejven the most compelling necessity cannot overcome the claim of privilege if the court is ultimately satisfied that military secrets are at stake.” Reynolds 345 U.S. at 11, 73 S.Ct. at 533.

In some cases, the effect of an invocation of the privilege may be so drastic as to require dismissal. Thus, if proper assertion of the privilege precludes access to evidence necessary for the plaintiff to state a prima facie claim, dismissal is appropriate. See Halkin v. Helms, 690 F.2d 977, 998-99 (D.C.Cir.1982) (Halkin II); Farnsworth Cannon, Inc. v. Grimes, 635 F.2d 268, 281 (4th Cir.1980) (en banc).

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Zuckerbraun v. General Dynamics Corporation
935 F.2d 544 (Second Circuit, 1991)

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935 F.2d 544, 1991 WL 101613, Counsel Stack Legal Research, https://law.counselstack.com/opinion/zuckerbraun-v-general-dynamics-corp-ca2-1991.