Document: 503 U.S. 607 112 S.Ct. 1627 118 L.Ed.2d 255 UNITED STATES DEPARTMENT OF ENERGY, Petitioner,v.OHIO, et al. OHIO, al., Petitioners, v. ENERGY. Nos. 90-1341, 90-1517. Argued Dec. 3, 1991. Decided April 21, 1992. Syllabus The Clean Water Act (CWA) and the Resource Conservation Recovery of 1976 (RCRA) prohibit discharge or disposal pollutants without a permit, assign primary authority to issue permits Environmental Protection Agency (EPA), allow EPA authorize State supplant federal permit program with one its own under specified circumstances. Respondent sued petitioner Department Energy (DOE) over operation uranium-processing plant in Ohio, seeking, among other relief, both state civil penalties for past violations CWA RCRA laws enacted those statutes. Although conceding, inter alia, that statutes render agencies liable "coercive" fines imposed induce compliance injunctions judicial orders designed modify behavior prospectively, DOE asserted sovereign immunity from liability "punitive" punish violations. District Court held waived punitive fines, by their federal-facilities citizen-suit sections. Appeals affirmed part, holding Congress had as CWA's section RCRA's section, but not section. Held: has National Government's RCRA. Pp. 615-629. (a) This presumes congressional familiarity common rule any waiver must be unequivocal. See United States Mitchell, 445 535, 538-539, 100 1349, 1351-1352, 63 607. Such waivers construed strictly favor enlarged beyond what language requires. See, e.g., Ruckelshaus Sierra Club, 463 680, 685-686, 103 3274, 3278, 77 938. P. 615. (b) sections commence action "against person (including . .)," district courts impose Acts' civil-penalties sections, incorporation latter read encompass exclusion "person[s]" who may fined, see, Engel Davenport, 271 33, 38, 46 410, 412, 70 L.Ed. 813. sections' initial inclusion "person" goes only clauses subjecting Government suit, broader inferred. Both contain various provisions expressly defining purposes entire which term occurs, thereby raising inference special definition described being "section" "subchapter" was intended have more limited application clause sentence. textual analysis gives effect all since incorporations statutes' will effectively where polluter than is brought court, while explicit authorizations suits against concededly coercive sanctions. 615-620. (c) relevant portion 33 U.S.C. § 1323(a)—which, subjects "all requirements process sanctions"; explains corresponding extends "any requirement, whether substantive procedural ., sanction enforced cour[t]"; provides "shall arising Federal law court enforce [its] order process"—does waive fines. Ohio's first argument, 1323(a)'s use word "sanction" understood mistaken, term's meaning spacious enough cover well Moreover, good reason infer using sense, lies fact 1323(a) twice speaks "sanctions" conjunction "process," characteristically "enforced" through forward-looking measures, distinguishes "process sanctions" "requirements," either means. 620-623. (d) second authorized an EPA-approved are within scope "civil penalties" covered section's final proviso, also fails. proviso's modifier makes it plain at least include penalty they exemplified "imposed order." contention "arising law" broad prescribed supplanting answered this Court's interpretation phrase under" 28 1331 exclude cases plaintiff relies on law, even when State's exercise power particular circumstances permitted Gully First Bank Meridian, 299 109, 116, 57 96, 99, 81 probability adopted same here, ICC Locomotive Engineers, 482 270, 284-285, 107 2360, 2368-2369, 96 222. suggests apparently expansive uncertain tension clear evinced antecedent text; resolved requirement statement unequivocal narrowly construed. 623-627. (e) section—which, requirements, reporting injunctive relief such sanctions relief)," [not] immune respect enforcement relief"—is most reasonably interpreted including standards means implementing standards, excluding measures. All indications kinds meant bind refer mechanisms requiring review (permit requirements) enforcing future (injunctive it), stark contrast statute's failure mention mechanism penalizing specific reference provision's sentence describes bars "requirements" somehow never so much mentioned. 627-628. 904 F.2d 1058 (CA6 1990), reversed remanded. SOUTER, J., delivered opinion unanimous Part II-C, Parts I, II-A, II-B, III, REHNQUIST, C.J., O'CONNOR, SCALIA, KENNEDY, THOMAS, JJ., joined. WHITE, filed concurring part dissenting BLACKMUN STEVENS, Justice SOUTER Court. 1 question case (CWA), 86 Stat. 816, amended, 1251, seq., (RCRA), 90 2795, 2796, 42 6901 seq. We hold done instance. 2 * prohibits into navigable waters permit. Section 402, codified 1342, allows own, if scheme would include, features, sufficiently stringent regulatory adequate them. generally 1342(b) (requirements procedures approval water-pollution plans); see 40 CFR §§ 123.1-123.64 (1991) (detailed plans). regulates hazardous waste way, run subject displacement counterpart. 6926 hazardous-waste 271.1-271.138 3 began 1986 respondent Ohio pollution laws, RCRA, operating Fernald, Ohio. sought, forms Complaint ¶ 64 (seeking regulations issued pursuant RCRA); id., 115 CWA).1 Before ruled DOE's motion dismissal, parties proposed consent decree settle claim,2 withdrew outstanding claims except request alleged Consent Decree Between App. 63. By contemporaneous stipulation, agreed amount owe found them, Stipulation 87. thus left determination dismiss we consider today: comply CWA, regulation. 4 admits obligate polluter, like other, obtain permitting agency, Brief Petitioner 24 (discussing CWA); 34-40 RCRA).3 concedes them speak hereafter "coercive fines." 19-20, n. 10; 14, infra. disagree "federal-facilities"4 "citizen-suit"5 "punitive," 5 Southern 689 F.Supp. 760 (1988). A divided panel Sixth Circuit (1990).6 Judge Guy dissented, concluding neither nor sufficed provide issue. Id., 1065-1069. 6 In No. petitioned insofar 90-1517 cross-petitioned failed waiver.7 consolidated two petitions granted certiorari, 500 ----, 111 2256, 114 709 (1991).8 II 7 start rule, presume familiarity, McNary Haitian Refugee Center, 498 888, 1005 (1991), unequivocal, (1980). "Waivers 'construed sovereign,' McMahon States, 342 25, 27, 72 17, 19, 26 (1951), 'enlarge[d] requires.' Eastern Transportation Co. 272 675, 686, 47 289, 291, 71 472 (1927)." 938 (1983). these lights examine can treated together because similar, then and, finally, A. 8 So far concerns us, reads 9 citizen his behalf— 10 "(1) .) violation (A) effluent standard limitation chapter (B) Administrator limitation. 11 12 "The shall jurisdiction limitation, be, apply appropriate [33 1319(d) ]." 1365(a). 13 similar: 14 15 16 "(1)(A) States) standard, regulation, condition, prohibition, become effective 17 "(B) person, contributed contributing present handling, storage, treatment, transportation, solid imminent substantial endangerment health environment. 18 19 ". order, referred paragraph (1)(A), restrain (1)(B), take necessary, both, [42 6928(a) (g) 6972(a). 20 "citizen" RCRA,9 entitled sue provisions. 21 amici argue specifying entity suit incorporating civilpenalties respective "Congress could avoid noticing literal subject[ed] entities penalties." 36; also, Governors' Association, Amici Curiae 14-16. It undisputed each provision authorizes sort. 22 not, however, claims. encompassing terms provisions, limitations, 813 (1926) (adoption earlier statute "makes later act though been incorporated full length"); 2B N. Singer, Sutherland Statutory Construction 51.08 (5th ed. 1992), significant limitations result restricting applicability "persons."10 While define subdivisions municipalities interstate bodies (and governmental corporations),11 defines States.12 Its omission seen pointed many specified, 2A supra, 47.23, renders inapplicable States. 23 Against reasoning, argues provisions' overridden express There is, course, plausibility argument. Whether suffices clarity required nonetheless, need decide, force argument wanes look texts What find elsewhere specially doing occurs. Thus, example, "[f]or purpose [CWA] section," 1321(a)(7) way included general 1362(5).13 Again, 1322(a)(8) "an individual board public vessel" falling definition. Similarly subchapter [IX]" expanded "the Government," entities. 6991(6). Within statute, then, there between drafting merely redefines occurs sentence, alters occurs.14 differences treatment given statutory text reflect intended, 46.06, alone. instances before us go no further. 25 passes test giving Those authorizing citizen, likewise effective, Government.15 anything cannot found; inferred, Ruckels- haus, U.S., S.Ct., 3278. reading therefore rejected. Nordic Village Inc., 1011, 1016, 117 181 (1992). B 27 "[e]ach department, instrumentality to, with, Federal, State, interstate, local administrative authority, respecting control abatement water manner nongovernmental entity. preceding recordkeeping whatsoever), (C) sanction, manner. [T]he court." 1323(a). 29 rests propositions: first, 26-29; second, approved EPA, "aris[e] despite genesis statutes, waiver. 29-35. 30 proposition mistaken. As matter, called ones well, carries necessary implication intended. One dictionaries itself cites reflects breadth, Black's Law Dictionary 1341 (6th 1990) (defining "[p]enalty used incentives obedience rules regulations. That secure imposing offering reward observance"). source explicitly adopts sense term, Ballentine's 1137 (3d 1969) "[a] measure"). 31 Beyond dictionaries, examples usage abound. Penfield Cal. SEC, 330 585, 590, 67 918, 921, 91 1117 (1947) (fines imprisonment compel target "to do made duty do"); Hicks Feiock, 485 624, 633-634 6, 108 1423, 1430 99 721 (1988) ("sanction" conditional; contemnor agreeing discovery order); Fed.Rule Civ.Proc. 37(b) (describing steps response noncompliance orders, recalcitrant deponent contempt); Westinghouse Elec. Corp., 648 642, 649 (CA9 1981) "sanctions," 37(b), consisting fine day litigant remained non-compliance Latrobe Steel Steelworkers America, Local 1537, 545 1336, 1344 (CA3 1976) ("Coercive aid bringing defiant party assuring potentially contumacious adheres injunction setting forth advance deviates path obedience"); Vincent Preiser, 175 W.Va. 797, 803, 338 S.E.2d 398, 403 (1985) contempt order"); Maltaman Bar Cal., 43 Cal.3d 924, 936, 239 Cal.Rptr. 687, 692, 741 P.2d 185, 189-190 (1987) daily until complied directing transfer certain property); Labor Relations Comm'n Fall River Educators' Assn., 382 Mass. 465, 475-476, 416 N.E.2d 1340, 1347 (1981) (affirming propriety imposition sanction"); Cal.Civ.Proc.Code Ann. 2023(b)(4) (West Supp.1992) (authorizing, litigant's obey "terminating sanction[s]," "contempt sanction[s]" staying further proceedings litigant). Cf. 6992e(a) (waiving medical-waste facilities' "sanctions [injunctive] relief"); 6961 (using provisions). resort coercive. 32 context, supply lacks isolation, Shell Oil Iowa Dept. Revenue, 488 26, 109 278, 283, 102 186 tends once again cuts position. appears 1323(a), time sanction[s]." government sanctions," government's manner." Three features context significant. separate recognition three manifestations subjected: requirements; authority; otherwise. Substantive distinguished process, might require conduct, requires refrain discharging noteworthy feature "sanction[s]" appears. "Process" normally refers procedure mechanics adjudication decrees adjudicatory finally provides. third note Whereas commonly understand backward-looking "process" enjoining violations, themselves teeth equity's traditional contempt: bodily commitment pending agreement comply. very fact, distinct last passage court," contrary. proviso unlike penalties," obviously phrased clarify limit it. Here our concern clarifying function (leaving limiting later), said clarifier voice. To sure, (like "sanction," relates) penalty, extent, serves confirm reached above. 34 role problematical, however. On hand, tugs toward If nothing simpler describe local, state, court. indeed along Nevertheless, raise new troublesome about legal fine. concerned, available 1319(d). But, already seen, does applies "persons," whom excluded. 35 urges CWA. treating providing stressing complementary relationship accomplishing purpose, states it, encourage comprehensive, federally programs shielding unauthorized 34-35. asserts "federal facility accomplished [punitive] deterrent." 35. 36 pessimism self-evident. agency break voluntarily faced prospect But say "compliance accomplished" assume conduct compliance, defy backed threat personal commitment. position seems ignore running every dollar onerous counterparts; expensive mistake plan ignoring indefinitely assumption contumacy cheap. 37 Nor support claim state-law "arise law." Plain aside, compelling interpretative best-known law," appearing grant federal-question 1331. There, law. (1936) (suit taxation nationally chartered bank arise possible approval); International Bridge New York, 254 126, 133, 41 56, 58-59, 65 176 (1920) (congressional construction bridge state-chartered company make right build bridge).16 Congress' indicates likely adoption prior language. 222 (interpreting based previous another statute); Northcross Memphis Bd. Education, 412 427, 428, 93 2201, 2202, 48 (1973) (per curiam) (similarity "strong indication [they] should pari passu"). answer nevertheless applicable ex proprio vigore. 38 Since state-penalty fails, quoted leaves unanswered unresolved closely related still seemingly Perhaps just some amendment drafter mistakenly thought already. someone careless. satisfactory answer. 39 do, suggesting evinces narrower greater clarity. For unequivocal: less certain. narrow takes variety. C consider, provides, relief) manner, requirements. Neither agent, employee, officer thereof, exempt relief." 6961. stress subjection facilities requirements," unambiguous We, agree Tenth requirements" "can measures." Mitzelfelt Air Force, 903 1293, 1295 (CA10 1990). observed punitively coercively, Circuit's understanding finds strong Government. Significantly, it). contrast, absence example powerful evidence intent deplete fisc regardless responsible officer's willingness capacity future. 44 drafters' silence becomes virtually audible after waiving "from drafter's unquestionably mentioned.17 III 45 judgment reversed, remanded consistent opinion. STEVENS join, part. which, concedes, "contaminated soil, air surface waters" radioactive materials, "exceeded set forth" "failed construct portions accordance" Answer &Par; 28, 33. situation Fernald aberration. estimates taxpayers pay $40 $70 billion during next years clean up contamination facilities.1 fail 1251 frequently private industry.2 And rate Departments Defense percent lower industry.3 49 effort adhere environmental industry operate, 1323, 1365(a), Today, majority thwarts adopting unduly restrictive interpretation" writing out existence. Canadian Aviator, Ltd. 324 215, 222, 639, 643, 89 901 (1945); Block North Dakota rel. Board University School Lands, 461 273, 287, 1811, 1820, 75 840 doing, ignores "unequivocally expressed" intention Congress, (1992); 538, 1351, (1980), deprives weapon combatting persist despoiling 50 axiomatic whole. 46.05 1992). When read, conclusion inescapable statute. 51 provision, ante, 10, establishes waives penalties. sanction," enforced. 52 devotes pages tortured discussion sanction" encompasses 621-623. Rather engaging analytic gymnastics, needed rest provision. clearly states: 53 "[T]he 54 Obviously, says so. Therefore, subsection Any contravene "ancient sound should, possible, effect." Crandon 494 152, 171, 110 997, 1002, 132 (1990) (Scalia, concurring); Mountain Telephone & Telegraph Santa Ana, 237, 249, 105 2587, 2594, 168 (1985); Colautti Franklin, 439 379, 392, 684, 58 596 (1979). 55 question, here unambiguously critical inquiry 56 contends recover different claims: itself, distinctive allowing administer boundaries. Rev.Code 6111.09 (Supp.1987). I covers types First, Act's clause. 615-616. .)" impossible fathom clearer lists sets ceiling size factors determining penalty. Ibid. concludes straightforward approach sufficient immunity. laches onto 1362(5).4 short claim. says, English, definitions "[e]xcept otherwise specifically provided." 1362. exceptions rule; subdivision, includes Certainly incorporates. 59 conclude "ingenuity create ambiguity" simply exist Rothschild 179 463, 197, 198, 277 (1900). 60 administration program. rejects relying 625-626. inapposite regime simple action. Instead, variety cooperative federalism. 61 recently explained, anticipates partnership ." Arkansas Oklahoma, 1046, 1054, effectuate partnership, (EPA) permits, "administer" system complies detailed 1342(b); (1991). seeks adopt 1342(b)(7). establish minimum mandate how imposed. 123.27(a)(3)(i), 123.27(b)(1), 123.27(c) 62 Even obtains system, maintains extraordinary level involvement. reviews quality standards. 1313(c). retains object issuance 1342(d)(2), monitor continuing directives, 1342(c), instituted proceedings. 1319(a). Under unusual structure, state-administered deemed Act. 1342(k). Indeed, decided showing determine [pollution] matter federal, Petitioner, O.T.1991, 90-1266, p. 18, (emphasis added). 1059 (recognizing character" controversy). surprising, "violation [effluent] Given structure Act, apparent protect exposure system. shields ongoing supervision.5 Only resorting focusing isolation reach contrary result. 643. Because Government, paints corner. acknowledges distortion devoid meaning. 626-627. rather wrote recognizing effects immunity, engages speculation why said: 66 "Perhaps [civil law] careless." thing insist quite impute desire incoherence" basis rejecting Keifer Reconstruction Finance Corporation, 306 381, 394, 516, 520, 83 784 (1939); Franchise Tax California Postal Service, 467 512, 524, 104 2549, 2556, 446 (1984). 225, 644-645. today. "Surely interest draft legislation precision justify refusal faith ascertain actual message tried convey books." Village, 1016 (Stevens, dissenting). 68 contemplate damages, "once careful 'assume intended.' " Ardestani INS, 502 515, 116 496 quoting Kubrick, 444 111, 118, 352, 259 (1979); Irwin Veterans Affairs, 453, 457, 435 (1990). 69 Turning instead, comports certainly unequivocally However, 6972(a), 616, similar reasons explained I-A-1. job drafted artfully. case, differ amounts gets going federal-law treasury. currently counterparts. Tr. Oral Arg. 36-37, 49-52; 36. assessed latter. 2.1, 3.1, 87, 89, 90. stay completion technical study. 87-88. EPA. 29. commenced one. 50, 52, 57; Defendants 57. (CWA); (RCRA). govern extent operated facilities, facility, regulation programs. 1365(a) 6972(a) Unlike programs, all, (any bring 1365(g) "person having adversely affected"); 1362(5) State); 6972 ("any person" 6903(15) ("person" State). ruling obviated F.2d, 1062. petition asked that, court's contained waiver, declined reach. conflicts Ninth constitute Navy, 845 1988). Club Lujan, 931 1421 1991). Two Courts 1293 1990); Washington, 872 874 1989). No considered constitutes 5, supra. (CWA section); 6928(a), (RCRA sections). individual, corporation, association, municipality, commission, political subdivision body"); trust, firm, joint stock company, corporation corporation), body"). dealing demonstration tracking medical "each States" "be as" "person." Medical Waste Tracking 1988, 2(a), Pub.L. 100-582, 2954, 2955, 6992e(b). Act," ibid., 1988 2950. 11, dissent fails appreciate difference, arguing "states States," post, 633. incorrect; class given, purport throughout subsection; citizen-suits implicitly regard 40-41. injunctive-type Of Article 2, Constitution, received Verlinden B.V. Central Nigeria, 480, 494-495 offered believe reading. assuming equal likelihood intent, tips balance reject purporting Hancock Train, 426 167, 2006, 555 (1976). determined written, 1857f (1970 ed.), did condition continued operation. 1857 "comply pollution." point implementation plan." 182, 2014 original). They drawing distinction interpreting group classified drafters took observations heart, seeking purposes, procedural." 6961; 41; 21. twofold. Indications breadth obligation dealt necessarily translate obligations event, entertained suggests, hardly avoided mentioned remedy. Cleanup Facilities: Hearing H.R. 765 Subcommittee Hazardous Materials House Committee Commerce, 101st Cong., 1st Sess., Ser. 101-4, (1989). General Accounting Office, Report Congressional Requestors: Pollution, Stronger Enforcement Needed Improve Compliance Facilities H.R.Rep. 102-111, 'person' body." rigorous established precluded from: Adopting extensive part; "(2) Operating coverage additional Federally program." 123.1(h)(i)

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