Pavement Coatings Technology v. United States Geological Survey

995 F.3d 1014
CourtCourt of Appeals for the D.C. Circuit
DecidedMay 7, 2021
Docket20-5035
StatusPublished
Cited by10 cases

This text of 995 F.3d 1014 (Pavement Coatings Technology v. United States Geological Survey) 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
Pavement Coatings Technology v. United States Geological Survey, 995 F.3d 1014 (D.C. Cir. 2021).

Opinion

United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT

Argued December 14, 2020 Decided May 7, 2021

No. 20-5035

PAVEMENT COATINGS TECHNOLOGY COUNCIL, APPELLANT

v.

UNITED STATES GEOLOGICAL SURVEY, APPELLEE

Appeal from the United States District Court for the District of Columbia (No. 1:14-cv-01200)

Lawrence S. Ebner argued the cause for appellant. With him on the briefs was David A. Kanter.

Joshua M. Koppel, Attorney, U.S. Department of Justice, argued the cause for appellee. With him on the brief were Ethan P. Davis, Acting Assistant Attorney General, at the time the brief was filed, and Mark B. Stern, Attorney. Paul Cirino, Trial Attorney, and R. Craig Lawrence, Assistant U.S. Attorney, entered appearances.

Before: ROGERS, MILLETT and WILKINS, Circuit Judges.

Opinion for the Court filed by Circuit Judge WILKINS. 2

WILKINS, Circuit Judge: The U.S. Geological Survey (“USGS” or “Survey”) is the nation’s largest water, earth, and biological science agency. Housed within the Department of the Interior, it has no regulatory mandate and is instead relied upon to provide unbiased and policy-neutral information to decision-makers at the local, state, and federal level. The Survey and its scientists regularly publish this research in agency reports and scientific journals. Two studies, and the records that underlie them, are at issue in this Freedom of Information Act (“FOIA”) appeal.

With a note on the special role of summary judgment in FOIA cases, we reverse and remand to the District Court with respect to the model runs withheld under Exemption Five for further proceedings consistent with this opinion. We affirm the District Court’s ruling as to Exemption Six.

I.

A.

Requestor Pavement Coatings Technology Council (“PCTC”) is a trade association for producers of refined coal tar-based sealant. Coal tar sealant prolongs asphalt’s service life by protecting it from degradation caused by sunlight, water, and leaked oil or gasoline. It has also been identified as a major source of polycyclic aromatic hydrocarbons (“PAHs”). A. 18. There are different types of PAHs, sixteen of which are considered priority pollutants by the Environmental Protection Agency (“EPA”). See 40 C.F.R. Part 423, App. A; see also A. 18–19. PAHs are toxic, mutagenic, teratogenic, and some are probable human carcinogens. A. 19. In the late 1990s, scientists at Respondent USGS noted an upward trend in PAH levels in sediment recovered from urban lakes. 3 USGS Research Hydrologists Barbara J. Mahler and Peter Van Metre undertook several studies to identify the sources of PAHs in urban environments. Two of those studies— “Contribution of PAHs from coal tar pavement sealcoat and other sources to 40 U.S. lakes” (“urban lakes study”) and “Coal-tar-based pavement sealcoat: An unrecognized source of PAH to settled house dust” (“house dust study”)—and their records are at issue here. Both studies identified coal tar sealant as a major source of urban PAHs. USGS has released all of the raw data underlying both studies.

Mahler and Van Metre produced computer modeling input and output data to analyze this raw data. As described by Van Metre, “[m]odeling is a broad term that generally means to develop a mathematical model of some natural process” by relating one or more variables (e.g., urban land use) to the occurrence of other variables (e.g., the concentration of a pollutant in local streams) in order to better understand how the environment works. A. 23. Complicated models require calibration, achieved by adjusting or replacing variables and parameters that control the model in order to test how well the model represents the natural process studied. In the urban lakes study, Mahler and Van Metre sought to determine what PAH sources—vehicle emissions, power plant emissions, or coal tar sealant, among other sources—contributed to the PAHs they measured in lake sediment samples collected across the United States.

To do so, Mahler and Van Metre tested three widely used source receptor models developed by the EPA. A source receptor model attempts to isolate the source of contaminants identified in a sample. Testing the three models with different combinations of sediment samples and PAHs revealed that the EPA’s “contaminant mass balance” (“CMB”) model was the preferred choice. The CMB model, like the raw data it 4 crunched, is publicly available. See United States Environmental Protection Agency, Chemical Mass Balance (CMB) Model, https://www.epa.gov/scram/chemical-mass- balance-cmb-model (last visited Apr. 23, 2021). Mahler and Van Metre did not publish the “exploratory decision-making process” behind their choice to use the CMB model because such a comparative modeling analysis “would be a major undertaking” distinct from their goal of “using a given model to evaluate sources in the environment.” A. 24.

Calibrating the CMB model required Mahler and Van Metre to make several choices: they selected which lakes to include and, from each lake, which samples. They decided how to process that data before entering it into the model (for example, by using the logarithm of the actual sample values or tweaking how sample uncertainty was estimated). They chose which types of PAHs to source. And they chose which sources to include, since there are statistical limits on how many sources the model can consider in a run. For example, it made sense to the researchers to include coke-oven emissions for lakes near Chicago, where coke ovens are still in operation, but not for lakes in Washington State or Florida, where coke-ovens are not.

The USGS scientists also ran combinations of variables that the researchers believed were highly unlikely to occur in the real world to see how the model would respond to adjustments to those variables. Other runs allowed them to “investigate alternative hypotheses for the causes of . . . PAH contamination.” A. 24. The scientists also shifted parameters for various runs, including instructing the model to run a certain number of iterations before arriving at a solution. Given these possible combinations of inputs, “the possible outcomes of a particular model—even if used on the same data set—are virtually limitless.” A. 26. Van Metre explained that 5 the process of selecting “samples, source profiles, PAHs and modeling parameters reflects the working thoughts of a scientist as he or she attempts to make sense of the data presented.” A. 26. Mahler described the process as “not dissimilar to a writer trying out different combinations of words or paragraphs in a draft document in an effort to create the most logical sequence.” A. 14.

From the more than 200 model runs tested, Van Metre and Mahler chose four representative runs “on the basis of good quantitative and qualitative model performance.” A. 27. These four runs were “in general agreement with the vast majority of the 200 models tested,” though there was “considerable variability in those results that could be exploited to make it appear” that USGS overstated coal tar sealant’s role as a source. A. 27. The record does not disclose whether peer reviewers—either within USGS or engaged by the publishing journals—reviewed the 196 model runs that were not selected for publication. At oral argument, counsel for USGS suggested that approving officials within the agency “may have seen some [of the 196 model runs] in the preliminary drafts,” but conceded that neither scientist declared that they selected the four chosen model runs to inform the ultimate decision- maker’s decision whether to publish the urban lakes study. Oral Arg. Tr. 16:22–17:9; 27:19–28:12; see also 21:13–17.

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995 F.3d 1014, Counsel Stack Legal Research, https://law.counselstack.com/opinion/pavement-coatings-technology-v-united-states-geological-survey-cadc-2021.