Document: 537 U.S. 149 BARNHART, COMMISSIONER OF SOCIAL SECURITYv.PEABODY COAL CO. ET AL. No. 01-705. Supreme Court of United States. Argued October 8, 2002. Decided January 15, 2003.* Under the Coal Industry Retiree Health Benefit Act 1992 (Coal or Act), Commissioner Social Security "shall, before 1, 1993," assign each coal industry retiree eligible for benefits under to an extant operating company—a "signatory operator"—or a related entity, which shall then be responsible funding beneficiary's benefits, 26 U. S. C. § 9706(a). Assignment signatory operator binds pay annual premium Mine Workers America Combined Fund (Combined Fund), administers benefits. The has up three components, health benefit premium, death and retirees who are not assigned particular operator, but whose paid from as if they were assigned. An important object was providing stable such "orphan retirees." Although operators will only required unassigned beneficiaries 1950 Pension Plan (UMWA Plan) Abandoned Land Reclamation (AML Fund) runs out, operator's is based on number its beneficiaries, that with most would cover greatest share payable beneficiaries. In two separate actions different District Courts, respondent companies challenged initial assignments made them after 1993, deadline, claiming date set time limit Commissioner's assignment power, so beneficiary must left life. If void, corresponding financed by transfers UMWA Plan, AML Fund, and, necessary, premiums whom timely made. obtained summary judgments, Sixth Circuit affirmed. Held: Initial valid despite their untimeliness. Pp. 157-172. (a) companies' contention failure "jurisdictional," affected may never former employers go scot free, unsupportable it counterintuitive. 157-171. (1) This rejected argument comparable position couching duty in terms mandatory "shall" together specific deadline leaves no authority make 1993. Brock v. Pierce County, 476 253, found Secretary Labor's 120-day issue final determination complaint federal grant fund misuse meant spur him action, scope his authority, untimely action valid. Nor, since Brock, this ever construed provision Government act within specified time, without more, jurisdictional precluding later. statute does specify consequence noncompliance statutory timing provisions, courts ordinarily impose own coercive sanction. States James Daniel Good Real Property, 510 43, 63. Hence oddity claim at late official should shift financial burdens otherwise private purses public fisc, let alone siphon money funds aside purpose, like land reclamation. point same even case subject. passed six years when Congress presumably aware readily infer congressional intent agency's power finish job merely specification certain time. Nothing more limiting than Act: express language supports companies, while structure, legislative history against them. Structural clues support Act's other instances combining could possibly read prohibit outside period. See §§ 9705(a)(1), 9702(a)(1), 9704(h). these instances, conclusion plausibility grounds: had counterintuitive act, have said did, surely couched already held lack any clear significance. 157-163. (2) result appealing either textual features argue indicate inability 163-171. (i) status, 9704(d), cannot characterized "consequence" person. It speaks simply "beneficiaries assigned." obvious reason status employer's disappearance. say also leave "unassigned." means significance peculiar assignment. addition, extent mere untimeliness, specifying supposed desire finality default rule telling Administration what source use absence other. unrealistic think understood enduring uncompleted work, nothing indicates foresaw some matchable still business might deadline. one instance where clearly weighed accuracy assignments, won, see (f); attempts apparent preference fail. 163-169. (ii) contribution calculated "assignments 9704(f)(1), mean percentage potential liability fixed according date. "[A]s of" need mean, contend, "as actually stand" date, can assuming complies Congress's command. Since there "plain" reading, except stress applicable modified accordance exceptions error assignee demise. And enunciation imply exclusion third considered good conclude did foresee assignments. 170-171. (b) designed allocate prior operator. way reach objective prompt bar tardy completion ensuring funded, much possible, those principally responsible. 171-172. 14 Fed. Appx. 393 (first judgment) 424 (second judgment), reversed. SOUTER, J., delivered opinion Court, REHNQUIST, STEVENS, KENNEDY, GINSBURG, BREYER, JJ., joined. SCALIA, filed dissenting opinion, O'CONNOR THOMAS, joined, post, p. 172. 184. 1 CERTIORARI TO THE UNITED STATES COURT APPEALS FOR SIXTH CIRCUIT. 2 Barbara B. McDowell argued cause petitioner On briefs Solicitor General Olson, Assistant Attorney McCallum, Deputy Kneedler, Paul R. Q. Wolfson, William Kanter, Jeffrey Clair. 3 Peter Buscemi petitioners 01-715. With John Mooney David W. Allen. 4 G. Roberts, Jr., Peabody Co. et al., respondents brief Lorane F. Hebert Gregory Mott. Sutton Bellaire Corp. both cases. Brian Selden, Louis A. Chaiten, Thomas Smock.† 5 JUSTICE SOUTER Court. 6 Act) includes present 9706(a), generally company "related" question whether We hold is. 7 * spoken about portions recent cases, Barnhart Sigmon Co., 534 438 (2002), Eastern Enterprises Apfel, 524 498 (1998), first sketches history, S., 442-447. Here, enough recall current form requires assign, every operator," defined wage agreement 9701(b)(1). 9701(c)(1), turn retiree's employment unless appropriate longer business, proper "related person" corporate associations relationships here, 9701(c)(2).1 recognizes 9704(d). 8 established administer 9702. starting "health premium," computed multiplying year's "per beneficiary" Fund's expenses year, adjusted changes Consumer Price Index. 9704(b). second element "death premium" projected retirees' survivors, being "the amount, actuarially determined, during plan year coverage." 9704(c). 9 A possible constituent nonetheless Before passage Act, many withdrew agreements, shifting costs paying remaining signatories, supra, 444, retirees," House Committee Ways Means, Development Implementation 1992, 104th Cong., 1st Sess., (Comm. Print 1995) (hereinafter Implementation). Energy Policy Pub. L. 102-486, 19142, 106 Stat. 3037 (intent "stabilize funding" "provide continuation privately self-sufficient program"). 10 compelled contribute however, sources run out. substantial payments purpose February 1994. 9705(a)(1). calls yearly reclamation restoration water resources degraded mining. 30 1231(c). Annual limited greater $70 million interest earned fund, subject aggregate equal amount between September 30, 1995. 1232(h)(2), (3)(B). 11 So far, covered all fall short, comes into play (and becomes actual): (that is, retirees) "unassigned portion needed unassigned. "applicable percentage" determined dividing section 9706 total (determined basis 1993)." 9704(f)(1). thus (as well spouses dependants).2 II 12 provides complete not, she now estimates 10,000 parties disagree failed meet dispute resolved here.3 13 After 330 Company Associated Corp., 270 Corporation, NACCO Industries, Inc., North American Corporation. These sets 1993 dependants) right, void them, denied intended tardiness permanent charge earmarked reclamation, raise threat permanently heavier happened get primarily retirees. trustees intervened cases took view valid.4 15 judgments case, Dixie Fuel Security, 171 3d 1052 (CA6 1999), went here. Appeals affirmed opinions likewise following Fuel—Peabody Massanari, (2001), (2001)—but conflicting Fourth Circuit's holding Holland Pardee 269 (2001). granted certiorari resolve conflict,5 1112 reverse. III 16 misses "mandatory," "imperative," "deadline," course was, however mandate been. discretion choose until prescribed here represent duty, though wholly blameless one. But schedule raises real question, be. call (like truly orphan beneficiaries) assigned, instead wards potentially, relationship words, tardily were, perhaps, formerly employees, free. 17 First 253 (1986), dealing Labor audit recipient he "`shall' ... 120 days" receiving alleging funds. Id., 255. Like Ninth thought implied "had prevent acting" period, id., 257. We, contrary, expressed reluctance "to agency observe procedural requirement voids subsequent especially rights stake," 260, As litigation, Secretary's responsibility "substantial," "ability days [was] factors beyond [the Secretary's] control," delay, respondent's theory, prejudice taxpaying public." 261. accordingly authority," 265. 18 we Thus, detention hearing "'shall immediately upon [detainee's] appearance judicial officer'" hearing, Montalvo-Murillo, 495 711, 714 (1990) (quoting 3142(f)), Human Services "`shall report'" "not [the] lacked it," Regions Hospital Shalala, 522 448, 459, n. (1998). 19 summed way: "if ordinary sanction." 63 (1993).6 20 expressly same, adopted came down, do done Wells, 519 482, (1997).7 example consequently quently directing needs sensibly expire done. limiting, 21 word Congress, example, provided "shall transfer Fund" installments precise dates, whatever reason, payment; 1994, day. Or consider provisions designated later 60 enactment date," give information No seriously entire scheme been nullified appointments 61st day, (whose properly 60th day) powerless divulge SSA 60-day period expired.8 22 draw grounds plausibility: B 23 Nor take indicating date: itself, "on 1993." (2). 24 characterize Cf. 259. Specifying failure, say, shows governed provided, corrected earlier. consequence, reflects over accurate creates right part rely state affairs line reasoning unsound step. 25 To begin with, inferable fact addressed assignment, referring "unassigned" provision. beneficiaries' unassigned, fact, disappearance employer, leaving Act. Second, far finality.9 face, out through functions provide coverage new regime place 1993; then, employees tell apparently want something better absolute command forgo 27 themselves led believe 1995 3, little tends show assumed (say, business) heels Conference Report just vote Senate adopting Senator Wallop gave detailed explanation true orphans: 28 "As practical matter, last person payment purposes. because none persons remain include non-mining businesses. premiums." 138 Cong. Rec. 34003 (1992). 29 Senator's report says employed retirement .... [I]f remains formulations described above, beneficiary. . [The Act's] assure beneficiary, once kept minimum." Ibid.10 seems crossed mind category lot connected albeit late. Providing happenstance.11 plainly weigh circumstance, won. Section 9704(d) [any] year," suggesting change year. One correcting erroneous getting notice request regarding receipt ask reconsideration. 9706(f)(1)-(2). finds error, fix reducing refunding overpayments. 9706(f)(3)(A)(i); 9706(f)(3)(A)(ii). imposed reassign. concede, must, permits reassignment 31 do, try arguing feature reconsideration 9706(f) implicitly them; isolated exception unequivocal suggests, absolute. Again, follows. 32 First, circular; assumes availability process activity all, bar. suggests enacted notwithstanding 9706(a); states "under subsection (a)," reassign contained reasonably lifting procedure aggrieved follow requesting exercise 9706(a) along. combined operation subsections, implication date; suggestion goes way. 33 correction implying employ her situation this. enumeration exclude another fair suppose unnamed possibility it. Dominion Inc. States, 532 822, 836 repeatedly, canon expressio unius est exclusio alterius apply listing grouping; force items members "associated group series," justifying inference mentioned excluded deliberate choice, inadvertence. Vonn, 535 55, 65 (2002). explained recently Term's unanimous Chevron Echazabal, 536 73, 81 (2002): 34 "Just exclusiveness missing, essential extrastatutory ingredient expression-exclusion demonstration, series omission bespeaks negative implication. depends identifying things hand hand, [is] abridged circumstances supporting sensible term excluded. E. Crawford, Construction Statutes 337 (1940) (expressio `"properly applies natural association ideas reader strong contrast omitted enforces affirmative inference'" State ex rel. Curtis De Corps, 134 Ohio St. 295, 299, N. 2d 462 (1938))); supra." 35 fail reassignments appeal hand" late, 164-167, face unprovided for.12 36 side rests definition overall obligation (or persons) among "determined 1993" (parenthesis omitted). 9704(f)(2), requiring erroneously reassigned business. contend plain meaning: Yet words of," used statute, equally our command." reading hospitable early alternative favors completeness prevails. 37 Once seen recognizing demise answer point, course, given. least considered, whereas 168-169. phrase govern contemplate,13 nor require urged companies. IV 38 certain: stated finding necessary "identify liabilities," program delivery care benefits," 3037.14 Wallop's shortly enactment, "designed Plans For definitions drafters given broad interpretation accomplish goal." 34001 (1992).15 accept greatest, least, objective, identified 39 40 Reversed. Notes: Together withBarnhart, al. (see Court's Rule 12.4), 01-715, court. &#x2020; Mary Lou Smith Elgin National amicus curiae urging affirmance. persons" Term inBarnhart simplicity, refer separately balance opinion. According Report, single $2,349.38 fiscal figure premiums, yet charged. 32-33. 2002 per-beneficiary approximately $2,725. Accounting Office 02-243, Retired Miners' Funds: Financial Challenges Continue (Apr. 2002) proffered delay (SSA) permitted expend appropriated commence work July 13, Supplemental Appropriations 103-50, 107 254. task researching records 80,000 workers order determine monumental completed additional resources. counter Acting assured less month "statutory responsibility" Hearing Provisions Relating Benefits Miners Means Committee, 103d (1993) Hearing), Ser. 103-59, 1994) (statement Thompson). representative informed "completed making decisions law." Subcommittee Oversight (1995), 104-67, (1997) Principal Thompson) estimated 2000 invalidation refund $57 payments. Letter Gloria Jarmon Hon. V. Roth, Finance (Aug. 2000), http://www.gao.gov/new.items/ai00267r.pdf visited Jan. 9, 2003) (available Clerk file) certiorari, Third down Circuit. SeeShenango 307 174 SCALIA "[w]hen conferred theautomatic expiration power," 174-175 (dissenting opinion), assumption "conferred time" away very decided. SCALIA'S dissent elaboration circularity, forever returning postulate constitutes "time-limited mandate" "expired" Post, 177, 178. closest approach nonconclusory justification assertion entirely formal interpretive figuring creation ipso facto negates performance. 176-177. cites formalism, contradicted 711 (1990), officer hearing" "[t]he person's officer." 3142(f)). Conversely, 43 (1993), 448 ascribed placement limitation. why "The obligor perform differ fundamentally "(i) duty. obligor's performed accepted limits grants, see, e. g., 1291 (providing appeals jurisdiction district States"); 2107 civil "within thirty entry judgment"); Browder Director, Dept. Corrections Ill., 434 257, 264 (1978) (stating limitation "'mandatory jurisdictional'" (citation omitted)), others incorporated provision, supra. Formalistic rules account difference, contextual historical indications accomplish. Here revealed several ways: define appellate test appropriateness infra, 167, understanding got worker's labor 164-166. What else, anyone naturally expect? opposed jurisdictional, thwart statute's relieve responsibility, other, lucky shoulder. There undoubtedly political compromise development politics justify turning game chance. attempt distinguishBrock noted party sue Administrative Procedure "'compel unlawfully withheld unreasonably delayed,'" 706(1)). assert remedy applied Whether temporarily avoided amounts indisputably liable therefore appear "with — drastic respondent[s] see[k] [Commissioner's] [October 1993] deadline." 7. concedes theory extend Plan's dates avoid outcome assuming, basis, "UMWA funds" authorization 9705(a)(1)Post, 176 opinion). confidence misplaced. Prior Vice Chairman Commission testified occur: "One concerned law Employee Retirement Income participants signatories pension surplus fund. That reasons recommendation authorized." Medicare Long-Term Care Finance, 102d (1991) Perritt). appears, 9705(a)(1) limit, render ultra vires, embrace. thinks "debatable" appoint survives 9702(a)(1). 177. embarrassment concluding remove trustees, dead letter, trustee appointed 9702(b)(2), appointment "successor trustee" "in manner succeeded," "succeed" anyone. extreme implausibility suggested 9702(b)(2) points unreasonableness placing gloss impossible Herculean effort crisis come absolutely basic lesson learned contortions untoward results flowing formalistic always occur authorizing wrong theory. Many "consequences," induce obligated rather altogether. 9704(i)(1)(C), denies tax deductions contributions periods, 9707(a) penalty eliminated takes necessarily untimely, ceases paid, Postenactment statements, entitled weight, effect. At member asked procedures improperly unassigned." responded employee training "emphasized miners mine possible." 46 (statements Rep. Johnson record contains statement committee chairman "pay retirees, assume proportionate `orphans' —retirees existence benefits."Id., 85. witness suggest system perpetuity protect quo cite postenactment Representative "make sure prepare deal it."Id., 42. Representative's comment purport interpret adopted, discussing "there resolution passed" obligations. Ibid. preenactment report, cite, (1992) ("[T]he allocable future years"). discussed, indication unable general proven incorrect. "`case for' exception" theexpressio canon, 181 (SCALIA, dissenting). us item unmentioned normally associated listed. emphasize 9704(f)(2)(B) treated reassigned. Even directly implicate effect suggest, wished identify first, retiree, date-specific assignment; opts exact arrangement, horse trading. permissibility postappeal makes "insisting perfect matchup prohibiting changes, otherwise," 183 dissenting), himself agrees. afterward," precisely envisions. throughout "accuracy" refers elusive "perfect fairness," ibid., 9706(a)(1)-(3). serve November 9702(b)(3)(B), contrary viewPost, 182 view, prove insufficient received penny pool solely due fortuitous full forced sees rife "seemingly unfair inequitable provisions," ibid. contested possible. event, citation help position. solution problem anticipated: end Had propounded response 9704(f)(2)(B), doubtless split Courts review. Given goals best served treating treated, allowing Congressional Research Service dated envisioned "[w]herever individual previous employer business." Industry: Use Monies "Orphan Retiree" (Sept. 10, 1992), reprinted Rec., 34005 41 THOMAS join, dissenting. 42 today confers unexpiring retired my disposition irreconcilable text structure precedents. I respectfully dissent. 600 provides, pertinent part: "[T]he shall, respect which) order: 44 "(1) which— 45 "(A) 1978 agreement, "(B) years. 47 "(2) paragraph (1), 48 49 industry. 50 "(3) Third, (2), effective agreement." 51 assigning result, "unassigned," financed, Fund. 9705(a)(3)(B), 9705(b)(2). 52 blames "magnitude task" Brief Petitioners Trustees 15. thought, letting unfinished barely missed They concern post-October respondents, vast majority 1997, passed. App. 98-121. Respondents unlawful, claims prevail. expansive confirm 53 regulate entities grounded Congress. FDA Brown & Williamson Tobacco 529 120, 161 (2000); Bowen Georgetown Univ. Hospital, 488 204, 208 (1988); Louisiana Serv. Comm'n FCC, 355, 374 (1986). principle special importance extraordinary asserts here: compel families) contracted pay. exercised violates Constitution imposes severe retroactive When exercises tests constitutional limits, rooted statute. 54 holds retains "`specify noncompliance'" Ante, 159. sense. automatic power. landowner authorizes someone cut Christmas trees "before December 15," doubt happens passes: terminates. changed enters contract property 15." essence discuss Part III, infra) contractor continuing few weeks perpetually, harvest trees.1 55 ante, 161-162, combine extendible: 56 9705(a)(1)(A) $70,000,000 1993"; 57 9704(h) furnish Commissioner; 58 (3) 9702(a)(1) individuals 9702(b)(1) designate" date." 59 agree mandated deadlines taken expired (though perhaps after, 9706(a)). so, stem itself. involved prescribed, quite apart funds,2 information, commands not. unquestionably authorized produce consequences act. though, pursue tree-harvesting analogy, deliver 15; passes, trees, central contractual side's counterperformance. contrast, entity creature insofar implicit mandate; hence authority) confer available involved: board indeed, debatable utterly place, me reasonable successor (§ 9702(b)(2)) fill vacancies arising appoint, termination establish proposition time-limited mandates authority. 61 None relies remotely point. explicit mandate. Title 816(d)(1) (1976 ed., Supp. V) (now repealed) "authority sanctions corrective appropriate." Another 816(b), Secretary, investigating misusing funds, truth allegation complaint." ordering repayment misspent Respondent said, shown anything caused "lose act," 260 (emphasis added). mandate, 62 statutes bring forfeiture 5-year 881(a)(7); 1621. revoked Government's comply "internal requirements" forth 1602-1604. Because noncompliance, refused "impose [our] sanction" terminating action. Good, defaulted affected. issue, 3142(e), pretrial "after pursuant (f) section." officer...." 3142(f). court appearance, unaffected. explained: "It conceivable combination irregularities flawed constitute `a (f)' purposes 3142(e)," 717 added), first-appearance again, affected; 64 ones demonstrates extended discussion 163-164, beside canceled; superfluous expired. lacks confirmed rendered incoherent. 66 calculation premiums" owed percentage," 9704(f) (Emphasis added.) specifies adjustments percentage": 9706(f), 9704(f)(2)(A); 9704(f)(2)(B). allows perfectly consistent incompatible contrary. 67 structural dilemma short astonishing. concludes two, exceptions," says, "does considered." 170. "[s]ince for." 169 (referred 170-171). unheard-of construction inclusio unius, alterius. See, O'Melveny Myers FDIC, 512 79, 86 (1994); Leatherman Tarrant County Narcotics Intelligence Coordination Unit, 507 163, 168 (1993). absurd limitation, unimaginable unlisted likely Does maxim hearsay Federal Rules Evidence recognized unlikely committee) "considered" exceptions? Our proposition. 594 Salerno, 505 317 (1992).3 "case for" import exclusive disposition. way, therefore, treatment ample precedent—in wrongly decided replace legislature (i. e., judges' estimation said) unanticipated (of disapprove). relevant 9704(f)(2) excludes percentage, affirmatively no—an surprise acknowledgment "did assignments." 68 Post-October reconciled trustees. 9702(b)(1)(B) establishes seven members, "designated 9706." "initial pending process, 9702(b)(3)(B) "until evident, "three 9706" known inconceivable appointing unknown post unfilled) completes open-ended process—whenever be; constantly change, identity changes. V 69 bottom, Act—its confident filling "cases for"—rests perception overriding goal foundation sand. demonstrably requires, require, match care. best, rough justice; seemingly abound. 70 When, previously calculating percentage." qualify hardly compatible keen "accuracy assignments," envisions perpetual Commissioner. 71 retreats nuanced prefers assignment," 169, 12. Why strange perfection virgin mystery. understand insisting otherwise; near abstain upset expectations sales difficult. insistence afterward?4 insist miner worked fairness responsibility. 72 reality finality. along repose operators, obligations retroactive) liabilities naive guesses wanted legislation complicated this, culmination long, drawn-out battle which, put 438, 461 "highly interested attempt[ed] pull directions." faithful resulting text, above—not impute favored expense plausible, objectives. 73 74 judgment 75 76 fully SCALIA's analysis accordingly, join write separately, reiterate rule: Unless explicitly otherwise, "we construe meaning." FDIC Meyer, 471, (1994). absent directive command, Heritage Dictionary 1598 (4th ed. 2000) (defining (1)a. "Something exist b. Something, order, promise, requirement, obligation: You now. He misdeeds. exceed prison"). desires nonmandatory meaning, defining directive. Indeed, free signify hortatory nature wishes choosing wide array carry meaning; "should," "preferably," possible" mind. 77 foregoing, progeny, taken, erroneously, 177-179 preserves where, coterminous eviscerating meaning "shall," impermissible saving choices name achieving policy. Article vest judges rectify imprudent. 78 note that, approach, failing noncompliance. irrational: lesser loss act), it; stands own, government officials shirk impunity. 79 Rather depriving obvious: "assum[e] decided," accuses,ante, 159, 6. 9706(a)'s "assign beneficiar[ies]" prefaced intertwined authority; pre-October ineffective. obtain temporal unambiguous charges) "formalism," matter form. chose presumptively represents arrived at. Private entities, unlike administrative agencies, charter, forbids 1974 (ERISA) forbid transferring fundAnte, 162-163, 8. true, convert power-conferring mold contradictory mandates, whether, extent, repealed ERISA Plan. Resolving small task, disinclination find repeals, Morton Mancari, 417 535, 551 (1974), speculate Instead, am content rest prevents concession lends today's gutting ancient construction. volumes dearth precedent principal upon,ante, 168-169, U.S.A. interpreted demonstrated enumerated "qualification standard" illustrative exhaustive: `qualification standards' pose direct safety workplace." U.S.C. 12113(b) Little wonder "an [that] implication," U.S., 81. (central today) "fair possibility," 168. 9706(f)'s review `in inital afterward.'"Ante, deleted). opposite—reflecting tradeoffs competing objectives Sections 9706(f)(1) (f)(2) errors discovered closed correction. (Unless, chooses, ignore ignored 9706(a).)

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