Baldrige v. ShapiroBaldrige v. Shapiro
delivered the opinion of the Court.
We granted certiorari to determine whether lists of addresses collected and utilized by the Bureau of the Census are exempt from disclosure, either by way of civil discovery or the Freedom of Information Act, under, the confidentiality provisions of the Census Act,
HH
Under Art. I, § 2, cl. 3, of the United States Constitution, responsibility for conducting the decennial census rests with
The 1980 enumeration conducted by the Bureau of the Census indicated that Essex County, N. J., which includes the city of Newark, and Denver, Colo., among other areas, had lost population during the 1970’s. This information was conveyed to the appropriate officials in both Essex County and Denver. Under Bureau procedures a city has 10 working days from receipt of the preliminary counts to challenge the accuracy of the census data. 2 Both Essex County and Denver challenged the census count under the local review procedures. Both proceeded on the theory that the Bureau had erroneously classified occupied dwellings as vacant, and both sought to compel disclosure of a portion of the address lists used by the Bureau in conducting its count in their respective jurisdictions.
BALDRIGE v. SHAPIRO (No. 80-1436)
The Essex County Executive filed suit in the United States District Court for the District of New Jersey to compel the Bureau to release the “master address” register under the Freedom of Information Act (FOIA),
The District Court concluded that the FOIA required disclosure of the requested information. The court began its analysis by noting that public policy favors disclosure under the FOIA unless the information falls within the statutory exemptions. The District Court concluded that the Census Act did not provide a “blanket of confidentiality” for all census materials. Rather, the confidentiality limitation is
B
McNICHOLS v. BALDRIGE (No. 80-1781)
The city of Denver, through its officials, filed suit in the United States District Court for the District of Colorado seeking a preliminary injunction to require the Bureau to cooperate with the city in verifying its vacancy data.
5
The
The United States Court of Appeals for the Tenth Circuit reversed.
Thus, the United States Court of Appeals for the Third Circuit ordered disclosure of the master address list under the FOIA. App. to Pet. for Cert. la. The United States Court of Appeals for the Tenth Circuit denied discovery of similar information, concluding that the data was privileged from disclosure.
B
<
The broad mandate of the FOIA is to provide for open disclosure of public information.
7
The Act expressly recognizes, however, that public disclosure is not always in the public interest and consequently provides that agency records may be withheld from disclosure under any one of the nine exemptions defined in
B
Although the national census mandated by Art. I, § 2, of the Constitution fulfills many important and valuable functions for the benefit of the country as a whole, its initial constitutional purpose was to provide a basis for apportioning representatives among the states in the Congress. 8 The census today serves an important function in the allocation of federal grants to states based on population. In addition, the census also provides important data for Congress and ultimately for the private sector. 9
“Neither the Secretary, nor any other officer or employee of the Department of Commerce or bureau or agency thereof, may, except as provided in section 8 of this title—
“(1) use the information furnished under the provisions of this title for any purpose other than the statistical purposes for which it is supplied; or
“(2) make any publication whereby the data furnished by any particular establishment or individual under this title can be identified; or
“(3) permit anyone other than the sworn officers and employees of the Department or bureau or agency thereof to examine the individual reports.”
C
Essex County and various
amici
vigorously argue that §
The language of each section refers to protection of the “information” or “data” compiled. In addition, the provisions of
The legislative history also makes clear that Congress was concerned not solely with protecting the identity of individuals. Since 1879 Congress has expressed its concern that confidentiality of data reported by individuals also be preserved. At that time each census taker was required by law to take an oath “not [to] disclose any information contained in the schedules, lists, or statements.” Act of Mar. 3, 1879, ch. 195, §7, 20 Stat. 475, and Act of Apr. 20, 1880, ch. 57, 21 Stat. 75.
11
As a result of the detailed questions asked in the 1880 and 1890 censuses, Congress amended the Census Act
In 1929 Congress again amended the Census Act and provided the confidentiality provisions of § 9. Act of June 18,
The foregoing history of the Census Act reveals a congressional intent to protect the confidentiality of census information by prohibiting disclosure of raw census data reported by or on behalf of individuals. Subsequent congressional action is consistent with this interpretation. In response to claimed undercounts in the census of 1960 and of 1970, Congress considered, but ultimately rejected, proposals to allow local officials limited access to census data in order to challenge the census count. See H. R. 8871, 95 Cong., 1st Sess. (1977); Hearings on H. R. 8871 before the Subcommittee on Census and Population of the House Committee on Post Office and Civil Service, 95th Cong., 1st Sess. (1977).
A list of vacant addresses is part of the raw census data— the information — intended by Congress to be protected. The list of addresses requested by the County of Essex constitutes “information reported by, or on behalf of,” individuals responding to the census. The initial list of addresses is taken from prior censuses and mailing lists. This information then is verified both by direct mailings and census enumerators who go to areas not responding. See,
e. g.,
1980
Under the clear language of the Census Act it is not relevant that the municipalities seeking the data will use it only for statistical purposes. Section 9(a)(1) permits use of the data only for “the statistical purposes for which it is supplied.” There is no indication in the Census Act that the hundreds of municipal governments in the 50 states were intended by Congress to be the “monitors” of the Census Bureau. 12 In addition, limiting use of data only for “statistical” purposes in no way indicates that raw data may be revealed outside the strict requirements of the Census Act that data be handled by census employees sworn to secrecy. 13
Because
The discovery provisions of the Federal Rules of Civil Procedure, similar to the FOIA, are designed to encourage open exchange of information by litigants in federal courts. Unlike the FOIA, however, the discovery provisions under the Federal Rules focus upon the need for the information rather than a broad statutory grant of disclosure.
14
It is well recognized that a privilege may be created by statute.
15
A statute granting a privilege is to be strictly construed so as “to avoid a construction that would suppress otherwise competent evidence.”
St. Regis Paper Co.
v.
United States,
IV
We hold that whether sought by way of requests under the FOIA or by way of discovery rules, raw data reported by or on behalf of individuals need not be disclosed. Congress, of course, can authorize disclosure in executing its constitutional obligation to conduct a decennial census. But until Congress alters its clear provisions under
Accordingly the judgment of the United States Court of Appeals for the Third Circuit in No. 80-1436 is reversed, and the judgment of the United States Court of Appeals for the Tenth Circuit in No. 80-1781 is affirmed.
It is so ordered.
Notes
Article I, § 2, cl. 3, provides:
“Representatives and direct Taxes shall be apportioned among the several States which may be included within this Union, according to their respective Numbers, which shall be determined by adding to the whole Number of free Persons, including those bound to Service for a Term of Years, and excluding Indians not taxed, three fifths of all other Persons. The actual Enumeration shall be made within three Years after the first Meeting of the Congress of the United States, and within every subsequent Term of ten Years, in such Manner as they shall by Law direct. . . .”
Article I, § 2, cl. 3, was amended by § 2 of the Fourteenth Amendment to provide:
“Representatives shall be apportioned among the several States according to their respective numbers, counting the whole number of persons in each State, excluding Indians not taxed.”
The Sixteenth Amendment also altered cl. 3 to provide for direct taxation without apportionment among the states and without regard to any census or enumeration.
See Revised Local Review Program Information Booklet (Apr. 1980), App. in No. 80-1436, pp. 22-48.
Under
We note in passing that there is no provision in the FOIA for this procedure.
Jurisdiction in the District Court for the District of Colorado was invoked under
The city of Denver originally sought a temporary restraining order to require the Bureau to keep open its Denver offices. The parties agreed that the offices could close so long as the Bureau kept its updated master address lists in Denver.
The District Court ordered that (1) the Government must produce the updated master address registers, described as “Follow-up Address Registers” (FAR’s), or a list of vacant addresses culled from the FAR’s; (2) all names and other identifying references must be eliminated; (3) all city employees with access to the information must take an oath of secrecy; (4) the information must be used only for adjustment of the census; and (5) Bureau officials may at their option accompany city employees as they verify the information.
This principle has been reiterated frequently by this Court. See,
e.g., Weinberger
v.
Catholic Action of Hawaii/Peace Education Project,
As originally enacted the decennial census was to serve both for apportioning representatives and apportioning direct taxes among the states. The ratification of the Sixteenth Amendment in 1913 amended Art. I, § 2, to provide for direct taxation without apportionment.
Even the first census takers, who had a relatively small population to deal with, encountered difficulty in taking a national census. 31 The Writings of George Washington 329 (J. Fitzpatrick ed. 1939) (“Returns of the Census have already been made from several of the States and a tolerably just estimate has been formed now in others, by which it appears that we shall hardly reach four millions; but one thing is certain our real numbers will exceed, greatly, the official returns of them; because the religious scruples of some, would not allow them to give in their lists; the fears of others that it was intended as the foundation of a tax induced them to conceal or diminished theirs, and thro’ the indolence of the people, and the negligence of many of the Officers numbers are omitted”); 8 The Writings of Thomas Jefferson 229 (A. Lipscomb ed. 1903) (Aug. 24,1791, letter to Wm. Carmi-cl je!) (“I enclose you a copy of our census .... Making very small allowance for omissions, which we know to have been very great, we may safely say we are above four millions”).
The information obtained from the national census is used for such varied purposes as computing federal grant-in-aid benefits, drafting of legislation, urban and regional planning, business planning, and academic and so-
During congressional debates James Madison emphasized the importance of census information beyond the constitutionally designated purposes and encouraged the new Congress to “embrace some other subjects besides the bare enumeration of the inhabitants.”
“This kind of information, [Madison] observed, all legislatures had wished for; but this kind of information had never been obtained in any country. ... If the plan was pursued in taking every future census, it would give them an opportunity of marking the progress of the society, and distinguishing the growth of every interest.” 13 The Papers of James Madison 8-9 (C. Hobson & R. Rutland eds. 1981) (Debate of Jan. 25,1790). A bill for obtaining information as described by Mr. Madison passed the House of Representatives but “was thrown out by the Senate as a waste of trouble and supplying materials for idle people to make a book.” Letter to Thomas Jefferson, id., at 41.
Respondent Shapiro does not dispute this conclusion. See Brief for Respondent in No. 80-1436, p. 8. The legislative history of the FOIA clearly indicates that Congress recognized that the Census Act constituted a specific exemption under Exemption 3. See, e. g., S. Rep. No. 1621, 85th Cong., 2d Sess., 9 (1958); 104 Cong. Rec. 6549-6550 (1958) (remarks of Rep. Moss); 112 Cong. Rec. 13646 (1966) (remarks of Rep. Olsen) (“information ... or sources of information” given to the Bureau of the Census will be held confidential under Exemption 3); H. R. Rep. No. 1497, 89th Cong., 2d Sess. (1966); 122 Cong. Rec. 24211 (1976) (remarks of Reps. Abzug and McCloskey).
Concern for confidentiality in census taking was expressed as early as the 1840 census in which each census enumerator was instructed to “consider all communications made to him in the performance of [his] duty, relative to the business of the people, as strictly confidential.” Subcommittee on Energy, Nuclear Proliferation and Federal Services of the Senate Committee on Governmental Affairs, The Decennial Census: An Analysis and Review, 96th Cong., 2d Sess., 113 (Committee Print compiled by the Library of Congress 1980) (hereinafter Decennial Census). See also A. Scott, Census, U. S. A. 29 (1968). The 1870 census instructions emphatically stated that “[a]ll disclosures should be treated as strictly
For a more detailed history of the provisions of confidentiality see C. Kaplan & T. Van Valey, Census ’80: Continuing the Factfinder Tradition 68-71 (U. S. Dept, of Commerce, 1980).
Recognition of the need for some degree of confidentiality of cénsus materials is indicated in the confidentiality provisions of several foreign nations. Canada, France, Germany, Great Britain, Italy, Japan, The Netherlands, and Sweden make some provision for the confidentiality of census materials. See Senate Committee on Post Office and Civil Service, Laws on the Confidentiality of Census Records in Western Europe, Canada, and Japan, 94th Cong., 2d Sess. (Committee Print compiled by the Library of Congress 1976).
Congress may well have concluded that the controversy over the “vacant” or “occupied” status of property months after the census was taken could lead to interminable litigation and impair the constitutional and statutory purposes of the census.
Approximately 50 lawsuits have been brought by local governments claiming an undercount from the 1980 census. See,
e. g., In re 1980 Decennial Census Adjustment Litigation,
Although § 9(a)(1) allows use of census data for “statistical” purposes, it remains subject to
The primary purpose of the FOIA was not to benefit private litigants or to serve as a substitute for civil discovery. See
NLRB
v.
Sears, Roebuck & Co.,
Most courts have concluded that an FOIA exemption does not automatically constitute a “privilege” within the meaning of the Federal Rules of Civil Procedure. See,
e. g., Frankel
v.
SEC,
It is not unlikely that while cheeking the Bureau vacancy figures the city of Denver would speak to individuals who had supplied vacancy data to the Bureau. Even though the city might not be able to identify the individuals who originally gave the information, there would nonetheless be the appearance that confidentiality had been breached.
Congress has several times rejected proposals designed to assure availability of census records to historians and other legitimate researchers. See, e. g., S. 3279, H. R. 10686, 94th Cong., 2d Sess. (1976). “Concerns about the legislation raised by the Bureau of the Census and others soon made it apparent that benefits gained from the release of census records could be easily offset by a loss of credibility for the census, as well as damage to the reputations of individual citizens.” Senate Committee on Post Office and Civil Service, Laws on the Confidentiality of Census Records in Western Europe, Canada, and Japan, 94th Cong., 2d Sess. (Committee Print compiled by the Library of Congress 1976) (Foreword by Sen. McGee, Chairperson).