Legal Document

423 U.S. 388 96 Supreme Court Reporter 809 46 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 580 NATIONAL INDEPENDENT COAL OPERATORS' ASSOCIATION et al., Petitioners,v.Thomas S. KLEPPE, Secretary of the Interior, al. Number 73-2066. Argued Oct. 6, 1975. Decided Jan. 26, 1976. Syllabus Section 109(a)(1) Federal Coal Mine Health and Safety Act 1969 requires Interior to assess a civil monetary penalty against coal mine operator for each violation mandatory health safety standards prescribed by other provisions. But under § 109(a)(3) may be assessed only after "has been given an opportunity public hearing has determined, decision incorporating his findings fact therein, that did occur, amount which is warranted . ." Implementing regulations provide assessment officers based on notice issued inspectors schedule graduated according seriousness violation, further if fails make timely protest proposed request adjudication he deemed waive right protest, including formal hearing, becomes Secretary's "final assessment." An unpaid enforceable way subsequent judicial in district court entitled trial de novo as penalty. Petitioners sought injunctive declaratory relief ground summary procedures permitted violated Act's procedural requirements. The District upheld this contention, ruling must express fact, whether or not requests hearing. Appeals reversed. Held : language 109(a)(3), especially when read light its legislative history, predicate order exercises statutory administrative factual issues relating Pp. 397-402. (a) word "opportunity" used would meaningless statute contemplated adjudicated requested evidentiary held, absent sufficient reports qualified who find violations; fix penalties, "authorized representatives," still have reviewed court. Pacific KF135 P2 398. (b) requirement keyed request, same request. (c) Such reading comports with purpose imposing stricter regulation prevent accidents disasters; deterrent provided sanctions essential purpose, effective enforcement weakened were required every those cases thus indicating no disagreement determination. 398-399. 161 U.S.App.D.C 68, 494 Reporter, 2nd 987, affirmed. John L. Kilcullen, Washington, D. C., National Independent Operator's Association others. Fred Blackwell, Delta Mining, Inc., Atlantic Raymond Randolph, Jr., Mr. Chief Justice BURGER delivered opinion Court. 1 This case1 presents question 1969, 83 Statutes-at-Large 742, 30 Code KF62 801 seq., prepare before assessing being proceeding 2 Operators' certain utilized requirements Act. Columbia Circuit held violate Act.2 Assn. versus Morton, U.S.App.D.C. 987 (1974). 3 We granted certiorari, 420 906, 95 824, 42 835 (1975), resolve apparent conflict between Third holding Morton Mining 495 38 (1974), reversed remanded, 403, 816, 591. (1) 4 provision question, 819(a)(3), part scheme 1969. prescribes protection miners, Titles II III, 841 seq. ; it operators miners comply standards. 2(g)(2), 801(g)(2). 5 103 Act, 813, conduct continuing surveillance mines inspectors. Among purposes inspections are finding imminently dangerous conditions violations 104, 814, provides abating found If imminent danger found, inspector issue withdrawal compelling withdraw all persons from area. standard dangerous, fixing reasonable time abatement. abated abatement extended, then order. Withdrawal orders also any "unwarrantable failure" notices contain detailed description their locations. writing promptly operators. 6 Under 105, 815, apply review basis allowed violations. Upon application makes whatever investigation deems appropriate; provided. Hearings subject Administrative Procedure 554, following fact. 105 actions taken because urgent need prompt decision. section 106, appeals. 7 As scheme, collect penalties. 109(a)(1), 819(a)(1), subjects penalties exceeding $10,000 In determining penalty, consider 8 "the operator's history previous violations, appropriateness such size business charged, was negligent, effect ability continue business, gravity demonstrated good faith charged attempting achieve rapid compliance notification violation." 9 authorizes consolidated proceedings appropriate. They record provisions 554. 10 does pay assessed, required, pursuant 109(a)(4), 819(a)(4), petition located. At stage relevant jury requested. available "were could litigated" appeals 106.3 11 (2) 12 concerned case adopted govern one scheme: 109(a)(3). When initially implemented published assessments determined examiner, appeal departmental board. Regulations pt. 301 (1971), recodified, 43 4.540 (1972). Nine months later, due large numbers (approximately 80,000 more per year), contested here. 100 (1972).4 These violation.5 Part follow mandate 109(a) criteria applied operator. 100.4(c).6 13 advised they receive original reissued 15 working days receipt "protest assessment, either partly entirety." adjudication, "deemed waived Secretary." 100.4(d-h).7 14 so response amended order, officer forward matter Office Solicitor, Department Interior; can filed Solicitor Department's Appeals. 100.4(i)(1); 4.540(a). served answer secure 100.4(i)(2). A conducted examiner free different penalty.8 100.4(i) (4). Bureau Mines, represented burden proving preponderance evidence. 4.587. criteria. 4.546. delegate, Board Operations §§ 4.1(b)(4), 4.500(a)(2), 4.600. Whether obtain refusing awaiting action (4), 819(a)(4). 16 (3) 17 various brought suit enjoin use regulations. Association's motion judgment, authorized D.C., 357 F.Supp. 509 (1973). noted there written guidelines within office guide evaluating applying assessment. believed requiring "would shift initial operator." Id., at 512. 18 reversed, render fact; that, conclude dispute violation. view court, "decision fact" conclusions takes place; otherwise, consist essentially information already recited duplication. supports interpretation unless hearing; however, requested, proof remains Secretary. 19 (4) 20 plainly penalties; equally clear heard, urge without making "findings even though 21 previously noted, provides: 22 "A shall person 23 argue itself adjudicatory function hence issue. short, what type usual product adversary absolute right, but failure 24 than "an opportunity" held. Absent trained experienced court.9 See Whitaker, Civ.No. 74.96 (ED Ky., 14, 1975) (appeal pending CA6). 25 therefore agree statute, specified 26 Congressional attention focused 1968 explosion Farmington, W.Va., killed 78 Congress recognized inordinate number lose lives day-to-day multidisaster situations. seen major step preventing death injury mines. H.R.Rep.No.91-563, Pages 1-3, U.S.Code Cong. & Admin.News Page 2503. commented President Truman signed 1952 amendment 66 692. approving measure into law called flaws: 27 "The contains complex inspections, appeals, postponing N Dec. Immigration Nationality Decisions believe will exceedingly difficult, impossible, administration act carry out program." 28 Truman's comments reported S.Rep.No.91-411, (1969). Effective thereby indicated While trigger re-examination, equivalent made, voluntarily defaulted abandoned 29 regarded 109 possibly ambiguous turned history. Assuming, arguendo, ambiguous, we supporting result reached bills passed Senate House hearings bill provided: "Upon made thirty section, afford and, accordance determine occur should compromised." H.R. 13950, 91st Cong., 1st Sess., 109(b) (Emphasis added.) read: 31 "An subsection whom any, warranted. 554 title decision." 2917, 308(a)(3) 32 Thus both contingent 33 Both referred Conference Committee differences. version deleted second italicized phrase. That change alter desired, explained follows: 34 "Both (s) conference substitute adopts added where appropriate, effort consolidate hearings. commencement proceeding, stay involving standard." H.R.Conf.Rep.No.91-761, 71. 2586. 35 No mention similar contained bill. require significant likely escaped attention; explanation.10 36 importance cannot overstated. strong incentive withdrawn area comes dispositive; face little eliminate dangers until directed do inspector. infrequent four year. objective prevention deterrence objective. 37 conclude, Appeals, judgment Affirmed. 39 STEVENS took consideration case. Consolidated 74-521, Kleppe post, 403. companion supra, three raised challenge defense suit, where, had Circuit's invalid rejecting contention Respondents suggested well less matter. Compare 106 109(a). Eastern Associated Corporation Bd. 491 277 (CA4 1974). reach dispose Those reissued, Fed.Reg. 27558-27561 since these suits initiated. case, L.Ed. 591, moot. moot new Unless otherwise indicated, citations throughout initiated (Jan. 1, 1972, CFR, CFR). 100.2(b) states "shall established (see Appendix part) revised periodically experience gained 100.2(b). range $5,000 resulting issuance imminent-danger (under 104(a) Act); $1,000 104(b), (c), (h), (i) $100 "serious violations"; $25 $500 formulas considering six promulgated filed. 100.3 (1975). contend final become accepted. 100.4(h). specify happens neither accepted nor merit. final. 100.4(e). misleading. uncontested file preliminary statement prehearing show cause why summarily dismissed. 4.545(a). respond dismissed remanded entry last (issued 100) 4.545(b). events giving rise actions, enforced Mines. Bureau's functions transferred newly created Enforcement Administration, Interior. 18665-18668, 18695-18696 authority changes matters agree. 190c(a) (Sen. Conf. Reps.); Rule XXVIII(3), Rules Representatives; 546, Jefferson's Manual, H.R.Doc.No.384, 92d 526, 270-271

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