Court Opinion

ID: 9465295
Source: CourtListenerOpinion
Date Created: 2023-08-05 00:41:52.903592+00
Date Added: 2024-06-11T17:39:05.614934
License: Public Domain

On Petition for Rehearing
ORDER
PER CURIAM.
Upon consideration of appellants’ petition for rehearing, it is
ORDERED, by the Court, that the aforesaid petition for rehearing is denied.
Circuit Judge BAZELON voted to grant rehearing for the reasons set forth in the attached statement.
Statement of BAZELON, Circuit Judge, as to why he voted for rehearing:
In their petition for rehearing, the physicians who requested the UGDP data point out the unusual degree of federal involvement in the initiation and conduct of the UGDP study, which, even under the approach taken by the majority, would bring these data within the scope of “agency records.” Specifically, plaintiffs suggest that rather than an independently conceived project by scientists who “developed their own methodology,” see Maj. op. at p.of 190 U.S.App.D.C., at p. 1138 of 587 F.2d, the UGDP study was in fact initiated by NIH, which was responsible for developing the research protocol. Petition for Rehearing at 4. Moreover, as a condition of the renewal of the UGDP grant, NIH established a Policy Advisory Board, which, according to plaintiffs, “took initiatives in directing the course of the [UGDP] study,” further evidence of government involvement in the on-going UGDP research. Id. at 3-4.
The majority opinion notes that “where records are created by a private entity, we believe the applicability of FOIA will turn on whether the government is involved in the core planning or execution of the program.” Majority op. at p. - of 190 U.S.App.D.C., at pp. 1136-1137 of 587 F.2d. Plaintiffs make a strong case that, from the inception of the study, the government involvement in planning and execution has been pervasive.
Thus, in addition to the reasons set forth in my dissenting opinion, plaintiffs’ contentions might well furnish an additional basis for finding these data to be “agency records.” Plaintiffs, could not previously have known precisely what showing was required under the majority’s novel criteria for determining whether the data were agency records.1 They have now raised a significant factual question which, under the majority’s approach, warrants a remand to determine the degree of NIH involvement in the initiation and conduct of the UGDP study, rather than an affirmance of the district court, which had focused exclusively *1149on the physical possession and ownership of records.2

. Admittedly, the contentions raised in the peti- . tion for rehearing are somewhat conclusory. If, however, the plaintiffs lack factual support sufficient to show government involvement in the core of the program, the district court will then be justified in dismissing the suit.
A far less satisfactory course would be to permit plaintiffs to elaborate their contentions on rehearing in this court. Such supplementation would not consist of adducing evidence, but would more closely resemble a proffer, designed to permit us to assess whether a remand in lieu of affirmance would be any more than a formal gesture. I believe that this approach is inferior to directly remanding this case to the district court because the questions involved are largely factual, and to explore them here may work substantial prejudice to both sides by denying them the opportunity to develop the relevant facts through further investigation, discovery and stipulation in the district court. Only with such a record can a court adequately judge the degree of NIH’s involvement in the “core” of the UGDP study. However, I do not believe that we should cut off all avenues for the plaintiffs to show the requisite degree of government involvement in initiating and directing the UGDP study, and therefore I voted for rehearing.

. According to the majority, government involvement in the “core” of a program, see Maj. op. at -n. 19,---of 190 U.S.App. D.C., at 1136 n.19, 1138-1139 of 587 F.2d, is the key to determining whether records created by private individuals or groups are “agency records”, which appears to be the first use of that concept in connection with the definition of agency records under FOIA. Cf. Ciba-Geigy Corp. v. Mathews, 428 F.Supp. 523 (S.D.N.Y. 1977) where the district court, considering another FOIA request for the UGDP data noted that “[tjhere is little official authority to aid the Court in discerning whether documents are agency records.” Id. at 529. It is noteworthy that the principal authority which “lighted” the majority’s path was not even a FOIA case, but an action under the Federal Tort Claims Act. See Maj. op. at p.-of 190 U.S.App.D.C., at p. 1135 of 587 F.2d, discussing United States v. Orleans, 425 U.S. 807, 96 S.Ct. 1971, 48 L.Ed.2d 390 (1976).