Center for National Policy Review On Race & Urban Issues v. Weinberger

502 F.2d 370, 163 U.S. App. D.C. 368
CourtCourt of Appeals for the D.C. Circuit
DecidedMay 21, 1974
DocketNos. 73-1090, 73-1093
StatusPublished
Cited by44 cases

This text of 502 F.2d 370 (Center for National Policy Review On Race & Urban Issues v. Weinberger) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Center for National Policy Review On Race & Urban Issues v. Weinberger, 502 F.2d 370, 163 U.S. App. D.C. 368 (D.C. Cir. 1974).

Opinions

LEVENTHAL, Circuit Judge:

The issue before us is whether the Secretary of Health, Education and Welfare may resist disclosure of the material of 22 “open and active” files involving agency review of public school segregation and discrimination practices in northern localities. We hold that such material falls within exemption 7 of the Freedom of Information Act and reverse the order of the District Court requiring disclosure under that statute.

A. Statutory and Judicial Background

Racial discrimination in any activity or program that receives financial assistance from the Federal Government is prohibited by 42 U.S.C. § 2000d. Available enforcement procedures are outlined in § 2000d-l; the ultimate sanction is a termination of financial assistance following an administrative determination that racial discrimination exists.

To carry out its mandate under these provisions, the Office for Civil Rights of the Department of Health, Education and Welfare “undertake[s] factual investigations when there is reason to suspect that a public school or district which is the recipient of federal aid may be practicing racial segregation or discrimination.” (complaint, item 5). Plaintiffs sought disclosure of files compiled in a large number of these investigations. After negotiations with HEW yielded a substantial number, but not all, of these files, plaintiffs brought an action to compel disclosure of the rest, asserting that the agency had a duty to disclose under the Freedom of Information Act, 5 U.S.C. § 552(a)(3). The agency claims that these files are exempt from disclosure under section 552(b)(7) of the FOIA, which provides:

(b) This section does not apply to matters that are—
* # * -x- # *
(7) investigatory files compiled for law enforcement purposes. . . .

Recent decisions of this court1 construing exemption 7 have considerably narrowed the scope of our inquiry. The sole question before us is whether the materials in question are “investigatory files compiled for law enforcement purposes.” Should we answer that question in the affirmative, our role is “at an end.” Weisberg v. Department of Justice, supra note 1. We therefore consider, in reverse order, the requirements that the files be (1) investigatory in nature, and (2) compiled for law enforcement purposes.

[371]*371B. “Compiled for law enforcement purposes”

For a file to be deemed to have been compiled for law enforcement purposes it is not necessary that an adjudication have been imminent or even likely, either at the time the material was amassed or at the time disclosure is sought under the FOIA. In Weisberg, supra, we held that exemption 7 applied to material relating to the assassination of President Kennedy long after the prospect of prosecution had passed. In Aspin v. Laird, supra, note 1, we held the exemption applicable to a report that formed the basis for prosecutions that, with one exception, had been concluded. See also Frankel v. SEC, 460 F.2d 813 (2d Cir.), cert. denied, 409 U.S. 889, 93 S.Ct. 125, 34 L.Ed.2d 146 (1972). And in Ditlow v. Brinegar, supra, note 1, we held the exemption applicable to material amassed in connection with an enforcement proceeding that was merely “conceivable.” Likelihood of adjudication is not the decisive determinant of whether a file has been compiled for law enforcement purposes.

Our cases have also established that the term “law enforcement” extends beyond criminal proceedings. Both Ditlow v. Brinegar, supra, and Bristol-Myers Co. v. FTC, 138 U.S.App.D.C. 22, 424 F.2d 935, cert. denied, 400 U.S. 824, 91 S.Ct. 46, 27 L.Ed.2d 52 (1970), endorsed the view propounded in the legislative history2 that civil as well as criminal law enforcement activities are within the purview of the exemption. While an administrative determination of ineligibility for governmental benefit is not attended by the same safeguards and procedures as a judicial determination in a criminal or civil proceeding, it is a governmental action that must be accompanied by due procedure.3 We think it has the salient characteristics of “law enforcement” contemplated by the wording of exemption 7. Here the statute, 42 U.S.C. § 2000d-l, places initial reliance on voluntary compliance, and indeed requires discussion with local entities before formal steps are taken. But the effectiveness of these informal procedures is derived in large part from the sanction held in reserve, and the file that is compiled for negotiation is also compiled for ultimate use, if need be, in a formal action.

It is not decisive for purposes of the applicability of exemption 7 that a relatively small number of investigations result in formal action. Where an agency, like HEW, has both voluntary compliance and formal determination functions, though the investigations may end up directed to one or both, the pertinent files are “compiled for law enforcement purposes.”4

C. “Investigatory files”

It is claimed that HEW is engaged merely in administering federal aid programs, and that the documents in question are ancillary to that task rather than investigatory in nature. If this characterization is correct, the material is not protected by exemption 7.5 There is no clear distinction between investigative reports and material that, despite occasionally alerting the administrator to violations of the law, is acquired essentially as a matter of routine. What is clear, however, is that where the inquiry departs from the routine and focuses with special intensity upon a particular party, an investigation is under way. We think plaintiffs were entitled to access to those parts of the “open and [372]*372active” files of the Office of Civil Rights that contain the kind of factual data submitted to the agency as a matter of routine (A. 64). But plaintiffs have already gained access to such materials in the course of this dispute. What remains for decision at the present juncture is the claim of access to the balance of materials in these 22 files, and these, in our view, were compiled through “investigations” rather than routine monitoring. Indeed, although this is not dispositive, plaintiffs’ complaint itself characterized the inquiries as “investigations.” (A. 7). More important, it appears that as to these files the HEW inquiry typically involved “access to every file and perhaps [a]' visit [to] every school in the system, and interview [s with] teachers and children.” (A. 41). This is the kind of special scrutiny that goes beyond general administration and is properly characterized as an “investigation.”

D. Overall Consequences

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Scarlett v. Office of Inspector General
District of Columbia, 2023
Douglas v. Windham Superior Court
597 A.2d 774 (Supreme Court of Vermont, 1991)
Gould Inc. v. General Services Administration
688 F. Supp. 689 (District of Columbia, 1988)
W. Lee Birch v. United States Postal Service
803 F.2d 1206 (D.C. Circuit, 1986)
Faulk v. STATE'S ATTORNEY FOR HARFORD CTY.
474 A.2d 880 (Court of Appeals of Maryland, 1984)
John R.. Williams v. Federal Bureau Of Investigation
730 F.2d 882 (Second Circuit, 1984)
Peoples Drug Stores, Inc. v. District of Columbia
470 A.2d 751 (District of Columbia Court of Appeals, 1983)
Miller v. Bell
661 F.2d 623 (Seventh Circuit, 1981)
Dougal C. Pope v. United States
599 F.2d 1383 (Fifth Circuit, 1979)
Pacheco v. Federal Bureau of Investigation
470 F. Supp. 1091 (D. Puerto Rico, 1979)
Ray v. Turner
468 F. Supp. 730 (District of Columbia, 1979)
Gregory v. Federal Deposit Ins. Corp.
470 F. Supp. 1329 (District of Columbia, 1979)
Peter Hanlon Irons v. Griffin B. Bell
596 F.2d 468 (First Circuit, 1979)
Nemacolin Mines Corp. v. National Labor Relations Board
467 F. Supp. 521 (W.D. Pennsylvania, 1979)

Cite This Page — Counsel Stack

Bluebook (online)
502 F.2d 370, 163 U.S. App. D.C. 368, Counsel Stack Legal Research, https://law.counselstack.com/opinion/center-for-national-policy-review-on-race-urban-issues-v-weinberger-cadc-1974.