Wanda Henke and Robert Henke v. United States Department of Commerce and National Science Foundation

83 F.3d 1445, 317 U.S. App. D.C. 397, 1996 U.S. App. LEXIS 11409, 1996 WL 256615
CourtCourt of Appeals for the D.C. Circuit
DecidedMay 17, 1996
Docket95-5181
StatusPublished
Cited by29 cases

This text of 83 F.3d 1445 (Wanda Henke and Robert Henke v. United States Department of Commerce and National Science Foundation) 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.

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Wanda Henke and Robert Henke v. United States Department of Commerce and National Science Foundation, 83 F.3d 1445, 317 U.S. App. D.C. 397, 1996 U.S. App. LEXIS 11409, 1996 WL 256615 (D.C. Cir. 1996).

Opinion

Opinion for the court filed by Circuit Judge HENDERSON.

KAREN LeCRAFT HENDERSON, Circuit Judge:

At issue in this Privacy Act case is the decision of the National Science Foundation (NSF) not to identify who among twelve peer reviewers prepared written evaluations of an ultimately unsuccessful research grant proposal. NSF withheld their names pursuant to Privacy Act exemption (k)(5) which protects the identity of a source who, under an express promise of confidentiality, provides an agency with information regarding, inter alia, the suitability or qualifications of an applicant for a federal contract. The district court granted NSF summary judgment and we affirm.

I.

NSF is an independent agency of the federal government charged with promoting scientific and engineering progress in the United States. 42 U.S.C. §§ 1861 et seq. NSF does not itself conduct research. Instead the agency operates a number of programs designed to initiate, support and promote basic research in the physical, natural and social sciences. NSF has traditionally used grant agreements to support scientific research projects. The agency receives grant proposals primarily from educational institutions but also from commercial firms (typically small businesses) and, less frequently, from individuals. Joint Appendix (JA) 17. Each proposal must name a principal investigator or “PI,” the scientist responsible for conducting the research and publishing the results. JA 176. The PI is the key figure behind an NSF grant.

NSF is heavily dependent on an advisory “peer review” process to evaluate grant proposals. JA 152. That is, an NSF grant proposal is reviewed by outside experts knowledgeable in the particular scientific or engineering field represented by the proposal. Reviewers are asked to evaluate a proposal according to four general criteria, one of which assesses the applicant’s research performance competence, including the capability of the investigator. JA 86. NSF either solicits peer reviews by mail or assembles a panel of peer reviewers to review grant proposals. JA 88.

Panel review typically works like this. A peer review panel convenes to consider a large number of proposals. In addition to full panel consideration, each proposal receives several written evaluations drafted by individual panel members. The full panel rates each proposal either “highly recommended,” “recommended” or “not recommended.” JA 145. An NSF Program Officer then considers the written reviews, the panel recommendation and other factors and makes a funding recommendation. Id. NSF supervisory personnel then review the Program Officer’s recommendation and, after weighing various considerations, decide whether to fund the proposal. JA 143.

When NSF rejects a grant proposal the agency notifies the PI and furnishes a summary of the review panel’s discussion (if any) as well as verbatim copies of written reviews but redacts the authors’ names. JA 312. NSF’s policy is to protect the confidentiality of all of the peer reviewers who draft written comments. See infra Part III. As the General Accounting Office (GAO) has observed, “Confidentiality • • • helps ensure that peer reviewers will give candid comments on grant applications by protecting reviewers from possible reprisal by applicants.” GAO Report, Peer Review: Compliance With the Privacy Act and Federal Advisory Committee Act (1991) (“GAO Report”) at 4 (JA 226).

II.

Dynamic In Situ Geotechnical Testing, Incorporated (Dynamic) submitted a grant proposal to NSF in April 1993. Dynamic’s application listed appellants Wanda and Robert Henke (Dynamic’s co-owners) as the project’s PI and co-PI, respectively, meaning that they were the scientists responsible for carrying out the research. A peer review panel consisting of twelve experts from uni- *1448 versitíes and other government agencies convened in August 1993 to evaluate Dynamic’s proposal and thirty-six others. Before the meeting four of the twelve panelists had each prepared written comments regarding Dynamic’s proposal. The panel recommended against funding the proposal and NSF ultimately denied funding. Thereafter the agency, in accordance with its standard practice, notified Wanda Henke and provided her with a summary of the panel discussion and verbatim copies of the four written reviews with authors’ names redacted.

Wanda Henke then filed with NSF a Privacy Act request seeking the names of the four peer reviewers who prepared the written comments as well as the names of the other eight panel members who evaluated Dynamic’s proposal. 1 In response NSF disclosed the names of the twelve panel members but refused to indicate which four authored the written comments. NSF relied on 45 C.F.R. § 613.6(a) which implements Privacy Act exemption (k)(5). 2 Exemption (k)(5) provides that an agency may promulgate rules to exempt from the Privacy Act’s access provisions a system of records that is

investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence.

5 U.S.C. § 552a(k)(5) (emphasis added). NSF has construed “Federal contracts” in exemption (k)(5) to encompass NSF grant agreements. 45 C.F.R. § 613.6(a).

In February 1994 the Henkes filed this Privacy Act suit seeking the names of the four peer reviewers. See 5 U.S.C. § 552a(g)(l)(B), (g)(3)(A). On cross-motions for summary judgment the plaintiffs argued that exemption (k)(5) was inapplicable on the grounds that (1) the reviewers did not act under an express promise of confidentiality and (2) the reviewers provided information in connection with an application for a federal grant, not a federal contract. The district court granted NSF summary judgment on both issues and the plaintiffs appeal. Our review is de novo. Sellers v. Bureau of Prisons, 959 F.2d 307, 310 (D.C.Cir.1992). We address each issue in turn.

III.

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83 F.3d 1445, 317 U.S. App. D.C. 397, 1996 U.S. App. LEXIS 11409, 1996 WL 256615, Counsel Stack Legal Research, https://law.counselstack.com/opinion/wanda-henke-and-robert-henke-v-united-states-department-of-commerce-and-cadc-1996.