Public Citizen Health Research Group v. Food & Drug Administration

185 F.3d 898, 337 U.S. App. D.C. 343, 1999 U.S. App. LEXIS 18332
CourtCourt of Appeals for the D.C. Circuit
DecidedAugust 6, 1999
DocketNos. 98-5161, 98-5162
StatusPublished
Cited by226 cases

This text of 185 F.3d 898 (Public Citizen Health Research Group v. Food & Drug Administration) 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
Public Citizen Health Research Group v. Food & Drug Administration, 185 F.3d 898, 337 U.S. App. D.C. 343, 1999 U.S. App. LEXIS 18332 (D.C. Cir. 1999).

Opinions

Opinion for the Court filed by Circuit Judge GINSBURG.

Opinion concurring in the result filed by Circuit Judge GARLAND.

GINSBURG, Circuit Judge:

Pursuant to the Freedom of Information Act, the Public Citizen Health Research Group asked the Food and Drug Administration for documents relating to drug applications that had been abandoned for health or safety reasons. The FDA denied this request and Public Citizen sued the agency in district court, where Schering Corporation, which had submitted five in-vestigational new drug applications (INDs) of the sort requested by Public Citizen, intervened as a defendant. The FDA and Schering claimed that certain of the documents in those five INDs contained confidential commercial information and therefore could be withheld under Exemption 4 of the FOIA, 5 U.S.C. § 552(b)(4). Public Citizen argued that the documents could not be withheld under that exemption and that in any event disclosure was required under 21 U.S.C. § 355(l), which it asserted sets a standard for nondisclosure higher than that in Exemption 4 of the FOIA.

The district court ordered the release of all the disputed documents on the ground that, although some could be withheld under Exemption 4, the FDA had not met the higher standard of § 355(l). We affirm the judgment of the district court in part, albeit on a different ground, reverse it in part, and remand the case for further proceedings consistent with this opinion.

[901]*901I. Background

Before marketing a new drug in the United States a manufacturer must obtain the approval of the FDA contingent upon clinical (¿a, human) tests showing that the drug is safe and effective. See 21 U.S.C. § 355(a), (d). Before a company may begin clinical testing, however, it must first submit an IND describing the drug, the results of laboratory and pre-clinical (ie., animal) testing, and the proposed clinical testing. See id. § 355(i). An applicant may begin the proposed clinical testing 30 days after submitting its IND; the FDA, however, may place the testing on hold at any time. See 21 C.F.R. §§ 312.40(b), 312.42. During clinical testing the company must update its IND with safety reports, annual reports on the progress of the testing, any amendments to the testing protocols, and other information. See id. §§ 312.30-312.33. After clinical testing, the company must file a new drug application (NDA), which must include information about the results of both pre-clinical and clinical testing; information previously submitted in the IND may be incorporated by reference into the NDA. See 21 U.S.C. § 355(b); 21 C.F.R. § 314.50.

This case began when Public Citizen filed a. FOIA request, with the FDA for “[a]ll documents concerning pre-clinical and clinical studies for all prescription drugs which had a discontinuance of the clinical trials because of death or serious injury of patients or because of safety concerns from preclinical studies ... between January ■ 1, 1990 and [July 12, 1993].” When the agency denied the request Public Citizen filed suit in. the district court seeking release of the documents.

The FDA moved to dismiss, arguing that although a search of its database identified 230 INDs for which the agency had received safety reports and which were either withdrawn, terminated, or placed on hold by the FDA, it could not without an unduly burdensome manual search of each file determine which of these were discontinued “because of’ health or safety concerns. The district court denied the motion to dismiss, and the agency then determined that 14 of the 230 INDs were responsive to the FOIA request; of those, only portions of the five filed by Sehering are at issue in this appeal.

On cross-motions for summary judgment, the district court first held that the disputed documents in the five INDs could be withheld under Exemption 4, because they contain “commercial or financial information obtained from a person [that is] privileged or confidential.” 5 U.S.C. § 552(b)(4). Schering’s affidavits demonstrated to the court that disclosure would “cause substantial harm to [its] competitive position.” National Parks & Conservation Ass’n v. Morton (“National Parks I”), 498 F.2d 765, 770 (D.C.Cir.1974). The district court then held that under 21 U.S.C. § 355(l)(1) the FDA must nonetheless disclose the same documents absent “extraordinary circumstances.” Finding no such circumstances here, the court granted summary judgment for Public Citizen and ordered the agency to release the disputed documents. Both the FDA and Sehering appealed to this court.

II. Analysis

The FDA and Sehering argue that the agency may under § 355(l) withhold any data pertaining to the safety and effectiveness of an abandoned drug that it may withhold under Exemption 4 of the FOIA — in other words, that the standards in the two statutes are the same. Public Citizen contends that § 355(l) imposes a more stringent standard for nondisclosure than that in Exemption 4. We need not resolve this dispute over the relationship between the two statutes, however, because we hold that § 355(2) does not apply to INDs. Viewing the documents solely through the lens of Exemption 4, we conclude that the FDA has justified withholding at least some information in four of the five INDs.

[902]*902A. Section 355(l)

Section 355(l) requires the FDA, upon request, to disclose "[s]afety and effectiveness data and information which has been submitted in an application under subsection (b) [of § 355] for a drug" that subsequently was abandoned by its sponsor, "unless extraordinary circumstances are shown." 21 U.S.C. § 355(1)(1). No one disputes that an "application under subsection (b)" is an NDA. Schering argues that § 355(l), therefore, simply does not apply to information in an IND, which is submitted under subsection (i), not subsection (b). That is indeed the plain meaning of the provision, and we cannot understand how "submitted in an application under subsection (b)" could include anything other than information submitted in an NDA. Public Citizen's arguments to the contrary are not convincing.

First, Public Citizen contends that the agency applies § 355(l) to the disclosure of material submitted in an IND and that we should accord "substantial weight" to the FDA's view of its regulatory structure. As Schering notes, however, the FDA has never promulgated a regulation-nor are we apprised of any FDA decision or other document-so interpreting § 355(l).

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Bluebook (online)
185 F.3d 898, 337 U.S. App. D.C. 343, 1999 U.S. App. LEXIS 18332, Counsel Stack Legal Research, https://law.counselstack.com/opinion/public-citizen-health-research-group-v-food-drug-administration-cadc-1999.