Opinion ID: 691017
Heading Depth: 1
Heading Rank: 2

Heading: Nguyen Procedural History

Text: 6 On January 31, 1990, NOAA issued Nguyen a NOVA assessing an $8,000 penalty for the knowing and unlawful failure to use a TED while shrimping aboard the F/V MISS ELIZABETH in the Gulf of Mexico on September 18, 1989. 1 Nguyen's case was assigned to ALJ Hugh Dolan. Considerable disagreement exists concerning what happened at the administrative level. Nguyen asserts that he requested a hearing through his representative, Tee John Mialjevich (Mialjevich), and that he heard nothing more about his case until he received notice of NOAA's final decision against him. Nguyen emphasizes that he is an immigrant struggling with language problems. By contrast, the government asserts that Nguyen participated in the administrative proceedings through a representative. 7 The district court recounted the following summary of the administrative proceedings. After Nguyen requested a hearing through Mialjevich, NOAA scheduled a telephone conference to determine whether there were any factual disputes between the parties. During this March 2, 1990, telephone conference, the ALJ determined that there were no factual disputes. Nguyen subsequently confirmed this by filing a Preliminary Position on Issues and Procedures (PPIP) in which he stated that there were no factual or legal issues in dispute. The ALJ determined that the lack of any factual dispute obviated the need for an evidentiary hearing. On April 16, 1990, the ALJ granted NOAA's motion to hear the case on the written submissions and directed Nguyen to make written submissions by May 4, 1990, and NOAA to reply by May 16, 1990. Nguyen submitted affidavits seeking to establish his inability to pay the assessed penalty. 8 In his June 19, 1990, decision, the ALJ reiterated that Nguyen had stipulated to the facts presented by NOAA and thus held that the only issue to be determined was Nguyen's financial ability to pay the assessed penalty, an issue on which he bore the burden of proof. The June 19, 1990, decision listed Nguyen's representative as Robert J. McManus (McManus), an attorney with Webster & Sheffield in Washington, D.C. 2 The ALJ noted that Nguyen had submitted financial statements and other affidavits and documentation of the harsh effects of the regulations requiring the use of TEDs. The ALJ determined that Nguyen's submissions concerning the burdensome qualities of the TED regulations were inapplicable to these proceedings because ... [s]uch debate as to the legality and effectiveness of the TEDs regulations is not proper here and has been decided by the appropriate forum. The ALJ, however, did consider the financial statements submitted by Nguyen and, after reviewing them, ultimately determined that he had the financial ability to pay the fine. Accordingly, the ALJ found Nguyen liable and assessed the penalty recommended by NOAA. In his decision, the ALJ stated that any petition for review should be filed within thirty days with the Administrator of NOAA. 9 Nguyen filed a timely petition seeking discretionary review of the ALJ's determination. On February 13, 1991, the Deputy Undersecretary for Oceans and Atmosphere declined to exercise discretionary review. In his petition for discretionary review, Nguyen argued that the ALJ abused his discretion by refusing to consider the effect of the TED regulations on his ability to pay the penalty and by failing to consider his financial status in light of the evidence that he submitted concerning his inability to pay. However, in his order denying discretionary review, the Deputy Undersecretary stated that Nguyen failed to establish that he suffered or would suffer a financial loss from TED usage that would make him unable to pay the assessed penalty. The Deputy Undersecretary noted that a review of the financial information submitted by Nguyen supported the ALJ's determination that Nguyen had an ability to pay the assessed penalty. 3 Finally, the Deputy Undersecretary concurred in the ALJ's determination that Nguyen's submitted affidavits attacking the validity of the TED regulations were irrelevant because the regulations had withstood judicial scrutiny. 4 The order denying discretionary review also listed McManus as Nguyen's representative and provided for a copy to be sent to him at his Washington office. 10 When Nguyen failed to pay the assessed penalty after being sent several reminder notices by NOAA, the United States, pursuant to 16 U.S.C. Sec. 1540, instituted this civil action in the district court below on May 4, 1992, to collect the penalty. The government attached certified copies of excerpts of portions of the administrative record to its complaint. 5 The government moved to limit the district court's review to the administrative record, and the district court granted the motion. In its motion to limit the district court's review to the administrative record, the government stated [t]he administrative record in this case is currently being compiled and will be provided to the court no later than March 22, 1993, at which time plaintiff would file a Motion for Summary Judgment on all its claims. The government concedes that it never filed the administrative record with the district court. 6 11 The government then moved for summary judgment, contending that the civil penalty was supported by substantial evidence in the record. Nguyen objected, arguing that the government had failed to produce the administrative record. The only portions of the administrative record available to the district court were the exhibits attached to the government's complaint. Finding that there is substantial evidence to support the decision of the Secretary of Commerce, the district court entered a judgment granting the government's motion for summary judgment on November 8, 1993. Nguyen appeals. 12