Document: 471 U.S. 159 105 S.Ct. 1881 85 L.Ed.2d 173 CENTRAL INTELLIGENCE AGENCY, et al., Petitionersv.John Cary SIMS and Sidney M. Wolfe. John Wolfe, Petitioners v. AGENCY William J. Casey, Director, Central Intelligence Agency. Nos. 83-1075, 83-1249. Argued Dec. 4, 1984. Decided April 16, 1985. Syllabus Between 1953 1966, the Agency (CIA) financed a research project, code-named MKULTRA, that was established to counter Soviet Chinese advances in brainwashing interrogation techniques. Subprojects were contracted out various universities, foundations, similar institutions. In 1977, respondents No. 83-1075 (hereafter respondents) filed request with CIA under Freedom of Information Act (FOIA), seeking, inter alia, names institutions individuals who had performed MKULTRA. Citing Exemption 3 FOIA—which provides an agency need not disclose "matters are . specifically exempted from disclosure by statute provided such refers particular types matters be withheld"—the declined requested information. The invoked, as exempting referred 3, § 102(d)(3) National Security 1947, which states "the Director shall responsible for protecting intelligence sources methods unauthorized disclosure." Respondents then suit FOIA Federal District Court. Applying, directed Court Appeals on earlier appeal, definition "intelligence sources" meaning only those guarantee confidentiality order obtain information, held identities researchers received express guarantees disclosed, also other ground their work CIA, apart required remain secret. court further there no institutional affiliations individual whose exempt disclosure. affirmed this latter holding, but reversed Court's ruling respect satisfied need-for-confidentiality" aspect its formulation sources." it error automatically whom been promised, qualifies source" when offers sufficient proof needs protect efforts type information researcher. Held: 1. Section withholding 3. clearly "particular matters" within Moreover, FOIA's legislative history confirms Congress intended Exemption. And plain 102(d)(3)'s language, well Act's history, indicates vested broad authority all To narrow limiting contravenes Congress' intention overlooks practical necessities modern gathering. Pp. 166-173. 2. MKULTRA protected meaning, because they provided, or engaged provide, needed fulfill statutory obligations foreign intelligence. force source whenever determines, after fact, could have obtained kind supplied without promising confidentiality, devastating impact CIA's ability carry mission. record establishes did fact provide related function, therefore authorized withhold these researchers' FOIA. 173-177. does require researchers. This conclusion is supported record. reasonably concluded observer knowledgeable about could, upon learning at certain institution, deduce 177-181. 228 U.S.App.D.C. 269, 709 F.2d 95 (1983), part part. Richard K. Willard, Washington, D.C., petitioners Paul Alan Levy, Chief Justice BURGER delivered opinion 1 we granted certiorari decide whether incorporated Act, exempts 83-1249, cross-petition, requires persons 2 * wide-ranging concerned development chemical, biological, radiological materials capable employment clandestine operations control human behavior."1 program consisted some 149 subprojects At least 80 185 private participated. Because funded indirectly, many participating unaware dealing perceived Over years included medical psychological experiments, led untoward results.2 These aspects surfaced publicly during 1970's became subject executive congressional investigations.3 4 On August 22, C. Sims, attorney, M.D., director Public Citizen Health Research Group,4 seeking invoked 5 U.S.C. 552. Specifically, sought grant proposals contracts awarded research.5 Pursuant respondents' request, made available contracts. FOIA, 552(b)(3)(B),6 however, 21 institutions.7 withheld." Ibid. relied 61 Stat. 498, 50 403(d)(3), 6 7 Dissatisfied Agency's limited disclosure, 552(a)(4)(B), United States Columbia. That ordered withheld names, holding affiliated 102(d)(3). 479 F.Supp. 84 (1979). 8 concluded, Court, held, analysis lacked coherent Accordingly, remanded case reconsideration light following definition: 9 "[A]n 'intelligence source' person institution provides, has perform function effectively, yet expect guaranteeing it." 206 157, 166, 642 562, 571 (1980). 10 remand, applied 47 affiliated. rejected contention explaining 11 "[i]n view agency's concern potential enemies desire take effective counter-measures, [the Agency] determine function." App. Pet. Cert. pp. 22a-23a. 12 turned question show, Appeals' requires, expected them. policy considering relationships confidential satisfy chief CIA." Id., 24a. recognized sought, received, Agency, disclosed. secret compromise networks countries. 26a-27a, 30a-31a. Finally, disclosure; justified eliminate unnecessary risk would identified indirectly. 27a, 34a. 13 Both appealed. judgment found sources. However, 275, 95, 101 (1983). 14 outset, suggestion reconsider 271, F.2d, 97. criticized focusing inquiry promised decision erroneous; remand focus offered cloak Only showing qualify FOIA.8 15 We certiorari, 465 1078, 104 1438, 79 759, 82 818 (1984) 467 1240, 3509, (1984). now reverse affirm II A. 16 mandate calls Government records.9 recognized, public always interest thus records may any nine exemptions defined 552(b). Under "specifically statute" if affords discretion 552(b)(3)(A), criteria material withheld, 552(b)(3)(B). 17 twofold: first, 1947 constitute exemption 3; second, protection B 18 "responsible 403(d)(3). As postwar reorganization national defense system, chartered responsibility coordinating activities relating security.10 mission, expressly entrusted heart operations—"sources methods." 19 methods," "refers matters," 552(b)(3)(B), "plain meaning" relevant provisions resolve question, see, e.g., Garcia States, 469 70, 75, 479, 483, 83 472 (1984); Weber Aircraft Corp., 792, 798, 1488, 1492, 814 3.11 Indeed, uniform among federal courts.12 20 Our first step inquiry. extent contain methods" reveal otherwise C contend sources," desired, draws proper line deserving very narrowing Congress, gathering—the reason sweeping power 22 begin language Baldrige Shapiro, 455 345, 356, 102 1103, 1110, 71 199 (1982); Steadman SEC, 450 91, 97, 999, 1005, 67 69 (1981). authorizes Plainly sweep comports nature unique responsibilities. keep informed nations' bearing our security must rely host same time, shield disclosures unnecessarily efforts. 23 squared goes beyond requirement fall conduct state, suggests, acquired. Nor state nonpublic protected.13 contains language. simply pointedly duties ignored. supra, U.S., S.Ct., 1492. 24 makes clear give secrecy integrity process. reasons too obvious call enlarged discussion; protections virtually impotent. 25 Enacted shortly World War II, empowered it, things, "to correlate evaluate security." tragedy Pearl Harbor reported deficiencies American course war convinced country's gather analyze intelligence, peacetime war, improved. See, H.R.Rep. 961, 80th Cong., 1st Sess., 3-4 (1947); S.Rep. 239, (1947). 26 knew quite almost infinite variety diverse one primary creating recognition shepherd "mass information" safeguard world. See ibid. Witnesses experience field testified before concerning realities work. Fleet Admiral Nimitz, example, explained composite authenticated evaluated covering armed forces establishment possible enemy, his industrial capacity, racial traits, religious beliefs, aspects." Defense Establishment: Hearings S. 758 Senate Committee Armed Services, 132 (1947) (Senate Hearings). General Vandenberg, Group, immediate predecessor, emphasized "foreign [gathering] consists securing data pertaining governments States." 497.14 27 spoke extraordinary diversity Allen Dulles, third shattered myth classic "secret agent" typical source, "American businessmen professors Americans descriptions travel around world greatest repositories have." 1947: H.R. 2319 House Expenditures Executive Departments, (Closed Hearings).15 vein, Vandenberg great open roughly percent should based," "books, magazines, technical scientific surveys, photographs, commercial analyses, newspapers, radio broadcasts, general people knowledge affairs abroad." Hearings, 492. 28 aware importance field. Dulles grim consequences facing known. Closed 10-11, 20. even citizens freely supply "close up like clam" unless can hold complete turn over." 22.16 plainly alert maintaining confidentiality—both Houses went into session consider legislation Agency—a rare practice sessions. n. 15, supra. 29 Against background highlighting requirements operations, "protecting stemmed President Truman's Directive January 1946, Fed.Reg. 1337, he Authority predecessors. charged "assur[ing] most accomplishment mission security," ibid., accordingly fully id., 1339. derives Presidential reinforces reading gave III 30 Applying fashioned 102(d)(3), ruled "could function,"17 ruling. shows intelligence-gathering revealed use drugs physical agents warfare against adversaries. During height cold period, concerned, reason, countries charting new techniques.18 31 Consistent maintain security, determined major necessary adversaries' threat. conclude 32 Respondents' belated effort engage scientists academic fail. wide range developed Notable examples include pioneered radar group took nuclear weapons Manhattan Project. 43; p. 88a.19 33 narrowed Director's unattainable confidentiality. crabbed statute's harsh present day. dangerous suggest why chose vest operation. 34 underestimated providing assurance absolute possible. court's approach, forced confidentiality.20 "The compelling both important appearance so essential operation service." Snepp 444 507, 509, 100 763, 765, 62 704 (1980) (per curiam ). Haig Agee, 453 280, 307, 2766, 2782, 640 If potentially valuable come think will unable relationship them, refuse place. 35 Even small chance source's identity impair gathering cause clam." induce cooperate, tender possibly can. continued availability [intelligence] depends might them endanger [their] personal safety." 512, 767. 36 seriously doubt rest assured knowing judges, little delicate business gathering, examining facts actually promise An "not underlying rationale of" cooperation secured "under assurances confidentiality." 361, 1113. harmed often complex political, historical, judgments. Fitzgibbon 578 (DC 1983). There welfare safety stake, confidence judges make judgments correctly. 37 failed recognize noted above, depicted novels media source; members obtain. available. ignores work, involves seemingly innocuous unsuspecting 38 Disclosure matter inquiries much A government learn deal pursued tell adversaries something value U.S.App.D.C., 277, 103 (Bork, J., concurring dissenting part). For subscribes obscure Eastern European journal thwart exploit Similarly, learned using journals ongoing projects "brainwashing" countermeasures, able infer project scope taking.21 39 "statutory mandate" clear: "protec[t] obligations. function. IV 83-1249 40 correctly previously renders extended discussion discrete issue. 41 exercising must, course, do more than Such withholding, standing alone, Congress. Foreign services what being studied researched agencies done. capacity domain substantial expertise deducing unimportant details. 42 context, apparatus country try find concerns others; bits pieces "may aid piecing together piece itself." Halperin 203 110, 116, 629 144, 150 Thus, 43 " '[w]hat seem trivial uninformed, appear moment scene put questioned item context.' Halkin Helms, 194 82, 90, 598 1, (1978), quoting Marchetti, 466 1309, 1318 (CA4), cert. denied, 409 1063, 93 553, 516 (1972). 44 superficially enable discover source. Gardels 223 88, 91-92, 689 1100, 1103-1104 113, 147. 45 Here lead identifying themselves posed unacceptable revealing sources."22 decisions familiar whole picture," not, worthy deference given magnitude interests risks stake. It conceivable mere explanation convey agency. 46 Appeals, permitted indirect 27a. record.23 circumstances. already performed, somehow estopped others. political which, choose release deliberately "send message" allies adversaries.24 disclosures. 48 sometimes advisable, imperative, Intelligence, judiciary, weigh subtle factors determining compromising Turner, decided benefits disclosing objection outweighed costs doing so. But discretionary Turner determination 1978 bind successors determination, different requesting Salisbury 243, 248, 690 966, 971 (1982). V 49 properly supports sources' identities. regarding affiliations. 51 ordered. 52 MARSHALL, BRENNAN joins, result. 53 term used today concludes incorrect.1 erred compel alternative correct one.2 nonetheless adopts wholesale source." mandated neither nor legitimate considerations, thwarts balance public's Government's secrecy. I decline join 54 (FOIA Act) governmental requiring "unless explicitly allowed kept exemptions. ." 813, 89th (1965). courts review de novo claims exemption, places burden defending 552(a)(4)(B). clear, assure operate behind veil secrecy, narrowly tailored exceptions fundamental goal 55 Two few issue case. focuses, statute," rightly identifies refers; section 56 second known covers "(A) (B) classified pursuant order." 552(b)(1). gives Branch define amendment courts, ascertain documents classified, substantively procedurally. 57 keystone scheme balances Executive's judicial oversight. past, taken affirmative steps 5, infra. allows scrutiny Nation's classes warrant protection, long proceeds through issued, congressionally scrutinized, judicially enforced order. Hearing Order Classification Subcommittee Operations Representatives, 97th 2d Sess. (1982) (Hearing). 58 plays crucial role mention once, lengthy broadly interpreting provision, extraordinary. By myopically single provision chosen asserting right, rewards invoke cases.3 Of fairly assert decision, duty select narrowest. intent protected, hands stretching exception natural limit; while ignoring grounds—on rely. cost acceding litigation strategy, rather undertaking thorough entire scheme, mangle, seriously, carefully crafted scheme. 59 turn, then, framework After concluding incorporates sets First, looks phrase self-evidently "information Ante, 169-170. Second, history. Pulling testimony hearings establish centralized collect sources, "Congress confidentiality" lose covert 172; see Brief 18-21. Third, chastises adopting "crabbed" explains how, matter, "forced mission." 175; 31. highly sensitive that, lower reading, ante, 176-177; 34-37. 60 Before argued source," substituted own offering, recounted litany nightmares surely befall Nation lesser standard; buys analysis. thereby several facts. compelled statute, relies. sole adopted today. noted, exist, apply here way pose suggests. reliance misplaced far exclusive, potent, resource keeping probing eyes documents. haste adopt definition, completely bypasses considerably rational maintains imposed limits exercise area. my mind, either implied protects amply wholly inappropriate. connotes clandestine, answer obvious. readily susceptible interpretations, past itself less Reagan's Order, Steven Garfinkel, Oversight Office, encompass information: 63 "[C]ertain sources.' They involved happen confidence." Hearing, 204. 64 current administration's interpretation longstanding statute. administration read ways purposes certainly undercuts argument apparent definition. 65 "[P]lain beauty, eye beholder," Florida Power & Light Co. Lorion, 470 729, 737, 1598, 1603, 643 (1985), instance one, carries plausible inappropriate label meaning." Government, argues say "confidential 169, 13; 16. meant class identifies. reject basic premise necessarily single, interpretation. 66 anything silenced assistance become quoted brief, "deadly peril" faced revealed, possibility 'close claim' protection. ----; addressed preventing face peril, cease known, identify That, start finish source"—one contributes implicit understanding explicit source.4 fits comfortably whole, not. focus, recent particularly events reflect constrain endorsed Executive, breadth naturally fluctuates over time. time action begun, 12065, promulgated Carter, effect. three levels secrecy—top secret, confidential—the lowest "confidential," "applied identifiable damage CFR 191 68 listed categories considered classification, including "military plans, weapons, operations," information," [and] 193. now, nondisclosure premised review. reviewing claim document met Order. contained military security. showing. believed Judiciary qualified undertake task. EPA Mink, 410 73, 827, 119 (1973), discussed disagreed, overruling veto precisely sort ought struck between practice.5 Today's enables avoid making embodied limit discretion. two information—the entities, confidential, contribute "source"—and rules per se conceivably affect damage. classify demonstrate classified. had, effect No choosing litigate receiving blessing, cleverly evaded requirements.6 70 freed defined, result sense. mean slice existing defines boundless. difficult conceive files where gathers newspapers libraries, road maps telephone books cast irrebuttable presumption expansive array files, detrimental rid individualized showings compliance Perhaps believes way. recalled, expressed strong disagreement passing, amending, ruling, circumvent procedure undermine unreviewable reads phrase, justify words wary, itself, allow observers resources topics interest. "Disclosure 176, observes, bear weight well. points legislator witness irrelevant each topic interest, provisions, moment.7 knows case, except researchers, "topics interest" appropriate consequence. finally, unlimited "secret," contravention confine procedurally, importance. Instead, undertakes task cover cannot imagine canon construction reasoning based. 72 considerable means decides nonconfidential contributors kinds pursuing, seek right withhold. Executive. elsewhere regardless existence order, employees, or, recently, contents operational files. 403g (exempting organization, functions, official titles, salaries, numbers personnel employed Agency); Pub.L. 98-477, 701(a), 98 2209, 431 (1982 ed., Supp. III) FOIA). Each categorical reflects tip favor nondisclosure. cases, absolutely indication ever hereinafter enshrouded inherently confidential. Nevertheless, reaches substitute 73 along support based leading poses threat "clam up" fear exposure, avoids injection additional Members believe deem Final Report Select Study Respect Activities, 94-755, Book I, 389 (1976) (footnote omitted) (Final Report). began proposal Assistant Deputy Plans. Helms outlined special funding mechanism study biological chemical altering behavior. approved 13, 1953. Several experiments surreptitiously administered drugs, LSD, unwitting subjects. died others suffered impaired health testing. 392-403. experimentation forbidden Exec. 12333, 2.10, 213 generally Report, 385-422, 471-472; Commission Activities Within 226-228 (June 1975); Project Program Behavioral Modification: Joint Scientific Human Resources, 95th (1977); Drug Testing 1977: S.1893 (1977). internal report Inspector documented controversial 1963. Inspection (July 26, 1963). Sims Wolfe cross-petitioners confusion, refer throughout opinion. Twenty conception destroyed. 389-390, 403-405. located 8,000 pages undisclosed mostly financial inadvertently survived 1973 destruction. Upon discovery, Stansfield notified later joint hearing Resources Resources. Although list institutions, honored treat surviving cited 6, 552(b)(6), insulates "personnel unwarranted invasion privacy." claim, longer tried contact ask permission identity; released consented. Evidently, parallel Judge Bork wrote separate opinion, He majority's urging "no 403(d)(3) information." 103. "[i]t seems purpose [§ ] discovery subjects break honorable behave," produce "pernicious results." 276-277, 102-103. consistently principle. 352, 1108, NLRB Robbins Tire Rubber Co., 437 214, 220, 2311, 2316, (1978); 80, 832, (1973). 94-880, pt. 2, (1976), U.S.Code Cong. Admin.News 1976, 2183, 2225. H.R.Conf.Rep. 93-1380, (1974); S.Conf.Rep. 93-1200, (1974), 1974, 6267, 6290; 93-854, (1974). background, DeLaurentiis Haig, 686 192, 195-197 (CA3 1982) Recently, enacted "operational files" reveals position 98-726, (1984), 1984, 3741, 3743; 98-305, 7, Miller 235 11, 730 773, 777 1103 147 (1980); Comm'n Law Enforcement Social 576 1373, 1376 (CA9 1978). drafting narrows category Privacy source[s]," §§ 552(b)(7)(D), 552a(k)(2) (5). Congressmen appreciated Representative Wadsworth remarked "function point coming channels." Cong.Rec. 9397 Boggs, hearings, commented "is evaluation wherever get 112 session. transcript declassified 1982. closed doors. Secrecy key successful operations. issuing orders George Washington agent: necessity procuring good urged. All remains me add is, you success Enterprises kind, want defeated. Writings 478-479 (J. Fitzpatrick ed. 1933) (letter Colonel Elias Dayton, July 1777). affidavit initiated confronted "learning art behavioral modification inexplicable behavior 'iron curtain' prisoners subjected called 'brainwashing.' 89a. recently III), suggested betray determines necessary, "unreasonably atypically leery" cooperating 273, 99. "[g]reat nations, men, word." FPC Tuscarora Indian Nation, 362 99, 142, 543, 567, 584 (1960) (Black, dissenting). affidavit, stated "[t]hroughout [MKULTRA] Project, involvement association concealed stimulating hostile areas." 89a-90a. conducted. Many advised involvement; "a [designed to] identification experimental subjects." 92a, program, disclosed public. Others institutions; objected officer intelligence-related arrangements exposure institutions." 27. well-known example phenomenon: "[D]uring Cuban missile crisis, Kennedy installations Cuba. Soviets told precise counter-measures Government." 90a. (Sims "provides, function," 177, holds withhold, 178. cases curious strategy. Despite repeated steadfastly refused lists once elected declassify 84, 88 1979). postpone date "act classifying disclosable," so, however. anywhere everything regard. Far acknowledge, early expressions focused anonymity covered policy," 552(b)(1) (1970 ed.), basis stating duly camera inspection follow matters." 81, 833. Shortly thereafter, overrode amended Mink decision. modified addition, novo, examine thereof set forth subsection (b) section, sustain action." unequivocally appropriate. moves closer manner interprets exemption. Like classification levels, unlike prior "confidential" reasonable 12356, 166 creates shifts proving consequence result, material. avid narrower puzzling. suggests 177; 36. Assuming method obtaining 3's incorporation Act. addition encompasses close access 176; 39, again, "source" expects

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