Document: 445 U.S. 169 100 S.Ct. 977 63 L.Ed.2d 293 Peter H. FORSHAM et al., Petitioners,v.Patricia Roberts HARRIS, Secretary Department of Health, Education, and Welfare, al. No. 78-1118. Argued Oct. 31, 1979. Decided March 3, 1980. Syllabus Under federal grants awarded by the National Institute Arthritis, Metabolism, Digestive Diseases (NIAMDD) (a agency), University Group Diabetes Program (UGDP), a group private physicians scientists, conducted long-term study effectiveness certain diabetes treatment regimens. Pertinent regulations authorized some supervision UGDP gave NIAMDD right access to, or permanent custody of, raw data generated UGDP. However, day-to-day administration grant-supported activities was in UGDP's hands, did not exercise its to review obtain data, which remained at all times possession under ownership. The reports on results study, indicating that use drugs increased risk heart disease, ultimately resulted proceedings Welfare (HEW) Food Drug Administration (FDA) restrict labeling drugs. After both HEW denied petitioners' request for underlying published reports, petitioners filed suit Federal District Court require make available Freedom Information Act (FOIA), empowers courts order an "agency" produce "agency records improperly withheld" from individual requesting access. granted summary judgment respondents, holding properly ground constitute records" FOIA. Appeals affirmed. Held: need requested because they are within meaning Data privately controlled organization has received (grantee), but any time been obtained agency, accessible Pp. 177-187. (a) There is no merit claim were least UGDP, funding alone provide close connection necessary render as term used While record" defined Act, Congress excluded grantees FOIA disclosure obligations excluding them Act's definition "agency," action consistent with prevalent practice preserving autonomy their records. Since found (short Government control) justify direct grantee's records, it cannot be concluded those identical intended permit indirect through expansive records." 178-182. (b) Nor may broad invoked so include documents created grantee used. Such supported either language, structure, legislative history Instead, contemplated agency must first create record prerequisite becoming This conclusion also other Acts associated creation acquisition concept governmental record. Although this case if chooses context applies have fact obtained, merely could obtained. Without establishing document, agency's reliance document similarly irrelevant. 182-186. 190 U.S.App.D.C. 231, 587 F.2d 1128, Michael R. Sonnenreich, Washington, D. C., petitioners. Kenneth S. Geller, respondent Harris. Thomas E. Plank, Baltimore, Md., Klimt. Mr. Justice REHNQUIST delivered opinion Court. 1 5 U.S.C. § 552, 552(a)(4)(B). We hold here written generated, owned, possessed receiving when copies subject participation generation means grant does terms Act. combination HEW, 2 * In 1959, scientists specializing formed (UGDP). five Two these regimens involved diet control tolbutamide, phenformin hydrochloride, "oral hypoglycemic" participating located 12 clinics nationwide coordinated Coordinating Center Maryland. 3 more than 55 million documenting over 1,000 diabetic patients who monitored 5- 8-year period. 1970, presented initial adult-onset diabetics tolbutamide death cardiovascular disease present treated methods studied. later expanded findings report incident hydrochloride. These turn substantial professional debate. 4 Committee Care Diabetic (CCD), national association mellitus patients, among critical study. CCD facilitate findings, declined comply request. therefore sought information essential facts dispute, we hereafter set forth relevant our decision. solely funded neighborhood $15 between 1961 1978. (NIAMDD), agency,1 pursuant Public Health Service 42 241(c). only exercised amount activity. governing allow periodic submitted on-site visits, approval major program budgetary changes. 45 CFR §§ 74.80-74.85 (1979); 52.20(b) (1979). It undisputed, however, hands grantee, NIAMDD's conformed regulations.2 6 retained records: patient entity, neither nor related shift ownership such Government. does, insure compliance grant. 74.24(a) And upon 74.21(c). But data. 7 employees reviewed contract 1972 another Biometric Society, assessment validity Society given NIAMDD. seek actually transmitted submit issued 1974 concluding "mixed" "moderately strong." 8 An additional occurred Administration. FDA apprised results, statement recommending limited circumstances. reported finding higher incidence phenformin, proposed changes oral hypoglycemic warn hazards. Bulletin (June 23, 1971). deferred further proposal, until completed study.3 9 issued, renewed proposal label warning hypoglycemics should cases adult-onset, stable adequately insulin. clearly relied renewing position. 40 Fed.Reg. 28587, 28591 (1975). At published, invited public comment. response criticism Society's audit, own audit delegation authority conducting examined copied small sample made inspection. 43 52733 (1978). 10 yet become final, regulatory taken. On July 25, 1977, suspended New Application one medications studied decision premised part See Order 1977. Secretary's temporary suspension before continued. Administrative Law Judge ordered possession. then produced portions had copied, abstracted, directly transferred premises during audit. ALJ evidence. November 15, 1978, Commissioner Drugs affirmed ALJ's shown safe withdrawn market. 44 20967 based substantially study.4 11 Petitioners long since initiated series requests seeking August 7, 1975, grounds branch ever seen data; FDA's relabeling analysis property group; agencies required acquire FOIA.5 following month United States Columbia compiled favor same rationale. Forsham v. Califano, 1128 court although agencies. rejected argument nevertheless documents, reasoned "created . course doing work."6 Id., 239, F.2d, 1136. dissenting judge "significantly involved" funding, actions. II 13 As companion Kissinger Reporters Press, 136, 960, 267, established "improperly withheld action. holding, reject three separate claims petitioners: (1) "records" funds funds; (2) concededly sufficient agreement chosen do so; (3) basis actions described above.7 14 undoubtedly expand rights enacted expansion finite one. records," 552(a)(4)(B),8 word modifier demonstrates relationship "record" With due regard policies language FOIA, conclude (hereafter grantee),9 15 examine provides define "agency." reveals great deal about congressional intent availability thus, relevance definitional scope autonomy. has, example, disclaimed virtue funding. agree light circumstances very insufficient makes 16 552(e) 17 "any executive department, military corporation, establishment ., independent agency." 18 indicates unequivocally organizations financial assistance Report, conferees stated "not intend corporations receive appropriated chartered it, Corporation Broadcasting." H.Conf.Rep.No.93-1380, pp. 14-15 (1974), reprinted Amendments Source Book 231-232 (Jt. Comm. Print 1975). Through operation exclusion, chose confer federally project information.10 19 areas law. Grants generally partnership joint venture recipient, serve convert acts recipient absent extensive, detailed, virtually supervision. Orleans, 425 807, 818, 96 1971, 48 390 (1976). Measured standards, instrumentality agency.11 20 provided even though adopted entity. done so, reflecting itself. expressly requires "procurement contracts" "principal purpose instrument services benefit ." Grant Cooperative Agreement 4, 92 Stat. 41 503 (1976 ed., Supp. II). contrast, "grant agreements" money "in accomplish support stimulation statute, rather 5, 504 case, where used, there dispute 74.133 retain documents. Those regulations, demonstrate unless "records grantees." 74.24 (1979).12 Therefore, prevail action, would created, funds. itself dispositive outcome, nonetheless important consideration viewed attempts maintain 21 vest resolve mathematical precision question whether granting supervisory Records nonagency certainly well. did, fail see why records."13 implement Congress; defeat it. 22 considerations finally inquiry, conceivably might indicate grantee. policy towards indicate, short reveal determination keep free imposed ascertaining expanse then, must, course, construe increasing equally explicit retaining B 23 second third theories, rejected, invoking access, believe undefined history. instead opinions below stretching ordinary words call rest "plain language" rule statutory construction. two Acts, structure alike conclusion. 24 supplied formulated Acts. Disposal effect threshold requirement 25 " 'records' includes books, papers, maps, photographs, machine readable materials, documentary regardless physical form characteristics, law transaction business 3301.14 (Emphasis added.) 26 Attorney General's Memorandum Section Procedure 23-24 (1967), S.Doc.No.93-82, 222-223 concludes aspect apply 27 standard emerges Presidential "presidential "documentary materials President 2201(2) added). definitions proper interpretation insignificant text, reinforce significance case. 28 reference history, aware, Senate hearings leading enactment A representative Interstate Commerce Commission commented "[s]ince defined, assume papers preserves performance functions." Act: Hearings 1160 Subcommittee Practice Judiciary, 89th Cong., 1st Sess., 244 (1965).15 abounds references acquired agency. For Reports clarify confidential "submitted "obtained Government," "given agency" otherwise disclosure, exempt. S.Rep.No.813, (1965), Book, p. (Comm. 1974); H.R.Rep.No.1497, 2d Sess. (1966), 31. 29 552(b)(4) strongest structural section exempts trade secrets commercial person." exemption designed protect "submitted" borrower lending Government" questionnaires inquiries, "would customarily released person whom obtained." supra, 9; 10. significant similar contained never obvious omission reflect remaining deserving exemption, passed exemption. possessory emphasis buttressed implicit "withholding" framework. 267.16 30 focus amendment Securities Exchange 1934. That standards amended provide: 31 "For purposes [the FOIA] applications, statements, contracts, correspondence, notices, chapter otherwise." 78x. 32 think weight construction lends overborne potential carrying out various duties entrusted Congress. deals abstract. place 74.24, 74.21 obtained.17 To embrace latter class extend reach beyond what intended. NLRB Sears, Roebuck & Co., 421 132, 161-162, 95 1504, 1521-1522, (1975), imposes duty By ordering effectively compelling "create" prior Thus without 33 foregoing reasons dispose arguments. "federal Having failed establish requirement, fail, accordingly 34 Affirmed. 35 BRENNAN, MARSHALL joins, dissenting. 36 I "[r]ecords well." Ante, 181. explain conversion occur case.1 Because articulate analyze test dissent. 37 argues length simply issue Rather, 38 concedes, statute records."2 task consistently FOIA.3 detailed below, 244-245, 1141-1142 (1978) (Bazelon, J., dissenting), meant open processes reflects left themselves operate near secrecy.4 was, therefore, enable "an informed electorate," "vital democracy," govern (1965). Nothing whatever suggests insulate steps decisionmaking technical niceties "owns" crucial 39 Where nexus close, importance understanding decisions great, us Admittedly, bright line, evaluation calculus factors nothing new law.5 factor activities. If, instance, workings nonagency, FOIA-protected interest can tested examining role accorded material writings extent reached conclusions particular source. Mere materiality information, standing alone, enough.6 give unrestricted record." Thus, link record.7 suggests, outright creation. again drawing purposes, process, exists process. secrecy less destructive democracy carried serving value electorate affected governed formally procurement contract, "joint venture" agreement, grant.8 existence examining, inter alia, degree impetus came developed independently, publicly privately, record, continuing HEW. Both taken complete endorsed study's and, thereon, mandatory warnings criticized cited basic sources immediate hazard. suggestion administrative unrealistic. stronger weaker based. One begin evaluate based, especially nonduplicable. evaluating derivative recognized employed organization, check work. secured against background intense, often bitter,9 battle being waged medical community correct regimen diabetes. endorsing aligned side fight outlawed recommended side. questions raised scientific statistical conclusions. seems me archetypical instance dissemination information. Even doubt held deeply argued Institutes effect, completely project's operation, took responsibility developing research protocol U.S.App.D.C., 251, 1148 voting rehearing). They contend that, normal level NIH involvement grantees' studies Court, ante, 173, "Policy Advisory Board" condition renewals.10 supra. Finally, acknowledges, full regulations. Indeed, chose, remain pleasure my view abundantly establishes large part, purposes. respectfully III emphasize suggest mean opening files many Court's approach inevitably undermine FOIA's exposing people. unavoidable work mushrooms quantity complexity look outside assist tasks. Just explosion agencies, responsible electorate, worked hide voters understandable tendency rely nongovernmental perform myriad projects distances step. If organizations, drawn into immune inspection, government surely return. several (NIH). conduct fund diseases. 289a, 289c-1. component Service, Welfare. Reorg. Plan 1966, 1023 (1966-1970 Comp.), note 202, Reorganization April 1, 1968, 5426. extensive ordinarily exercised. not, infra, 180, n.11. Prior defer sued enjoin labeling, contesting First Circuit remanded exhaustion remedies. Bradley Weinberger, 483 410 (1973). discounts states evidentiary standpoint" "lack casts considerable reliability conclusions." 20969 expert opinion. permissible always admitted substantiate opinions. Nearly 400 articles included proceeding none accompanied noted referenced paragraph his eight-page summary. actual 12.85 Nevertheless, he "reviewed testimony Bureau Drugs' witnesses [found] reasonably characterized pivotal expressed witnesses." denial preceded suggested n.18, 1136, n. (Leventhal, J.). MacKinnon concurred separately reserve recoverable breadth principle 242, 1139. found, 236, 1133. Reliance well relevant, Kissinger, U.S., 157, S.Ct., 972. 552(a)(3) provides: "[E]ach shall promptly enforcement provision 552(a)(4)(B), refers limitation throughout "grantee" "private grantee" describe recipients subjected suggest, term, Numerous bills introduced each 92d, committee. H.R.11013, 92d (1969); H.R.1291, 93d (1973); H.R.1205, 94th (1975); H.R.3207, 95th (1977); H.R.1465, 96th Before characterizing entity "federal" purpose, showing activities, just assure goals Government's monitoring satellite indicated usual grantor-grantee requisite magnitude control. 815-816, 1976. confers grantee." distinction explained hypothetical preference placing burdens production searching producing, providing necessarily accrue party possession, i. e., "preserved appropriate preservation evidence functions, policies, decisions, procedures, operations, informational them." referred "nonrecord materials." 101-11.401-3(d) settled extends meet "made received" interesting witness concern "all-expansive meaning" necessitated clear categorical exemptions. creation, sufficient. categorize "obtained" unexercised satisfy requirement. central astronomical numbers mere sampling statutes includes: Internal Revenue Code 1954, 7602, 7602 (taxpayers taxpayers); 78q, 78u (persons 1934); 657 (each employer Occupational Safety 1970). accept contractual rise status, appear readily supportable, still staggering. 18,000 outstanding. 180. Likewise, different result buy Ibid. involving nonagency. becomes belong overstates saying "clearly" justified, 181, Congress' silence "reflect[s] itself," Moreover, "purpose autonomy" "equally explicit" 182. find unenlightening. 1978 Executive physically possess. aimed destruction settling destroy take possessed. "structural" 552(b)(4), imagine short, kind submitted. turned predecessor head, transforming statute. 22, 25-27 1974). offers manageable kind. No guidance decisionmaker how determine point ripens venture." And, key guide "become insisting analyzing contentions separately, addresses full, combined force alluded tell story success scheme disclosing Note, Definition "Agency Records" Stan.L.Rev. 1093, 1106-1114 Certainly legal consequences attaches relationship. former investigator challenged honesty coordinator, current custodian comes affirmance respondents' motion judgment, version disputed facts. de-emphasize alleged

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