ENV H 471: ENVIRONMENTAL HEALTH REGULATION |
READING #11
|
.
|
CAMPBELL, Circuit Judge.
Appellant Tivian Laboratories, Inc. challenges the constitutionality of the provisions of the Water Pollution Prevention and Control Act (hereinafter, Water Pollution Act), +++ and the Air Pollution Prevention and Control Act (hereinafter, Air Pollution Act) +++ which authorize the Environmental Protection Agency (EPA) to "require the owner or operator of any [emission or point] source . . . to provide [the agency with] such information as [it] may reasonably require" to carry out its responsibilities under the Acts. These provisions, Tivian contends, violate the fourth amendment's prohibition of unreasonable searches and seizures, the thirteenth amendment's bar against involuntary servitude, and the fifth amendment's guarantee of due process.
Tivian is a small corporation engaged in the production of plating solutions, resins, waxes, and chemical specialities for metal casing and finishing.Ý In October 1975, the EPA sent it a letter, requesting detailed information concerning the company's acquisition, use, and disposal of polychlorinated biphenyls (PCBs) and comparable chemical substances.Ý The letter stated that the agency was "attempting to determine the amounts of these chemical substances entering the environment" as part of an investigation into "the nature and extent of the possible adverse effects resulting from [their] presence . . .." Section 1318 of the Water Pollution Act and Sec. 1857c-9 of the Air Pollution Act were cited as the agency's authority for requesting the information. [See endnote.]
Tivian persistently refused to comply with EPA's request. In May 1976 the United States, on behalf of the EPA and pursuant to its authority under the Acts, commenced suit in federal district court to obtain judicial enforcement of its request +++Ý The United States also also sought, pursuant to its authority under The Water Pollution Act, 33 U.S.C. Sec. 1319(d) (1972) (amended 1977, to have civil fines imposed on Tivian for its refusal to supply the data voluntarily.
. . . At the hearing on the motion, the district court ruled against Tivian on each of its constitutional claims, granted the motion for summary judgment, and ordered Tivian to supply the data sought forthwith. The issue of the assessment of civil penalties was left open until further order of the court.Ý . . .
The procedure followed by the EPA to obtain information from Tivian was in accordance with the authority conferred upon it under the two Acts.Ý Each Act requires the EPA, in cooperation with other state and federal agencies, to identify and reduce or eliminate the discharge of pollutants into the environment. +++ To achieve these objectives, the agency is authorized to request the owner or operator of a company using chemicals which may be hazardous to the environment to supply the agency with whatever information it "may reasonably require" to carry out its statutory responsibilities. +++ . . .
Tivian complains the EPA warned it in a letter requesting data that should it fail to provide the data sought, it would be subjected to substantial fines.Ý This attempt by the EPA, allegedly acting in accordance with the Water and Air Pollution Acts, to compel Tivian to produce records without first obtaining a court order or warrant is claimed to have violated appellant's fourth amendment rights.
We find Tivian's contention of a fourth amendment violation to be without merit. In making the contention, Tivian misstates the facts.Ý EPA's letter to Tivian did not refer to the penalty provisions of the Acts or even address the issue of noncompliance. Thus, even assuming the matter were of legal consequence, there is no record support for Tivian's assertion that it was threatened with fines prior to the commencement of this suit. Threats or no, the agency's request for information is not enforceable under the Acts, nor may fines be imposed, until a court order is obtained. Consequently, any contention that the Acts permit the EPA, without first obtaining judicial leave, to force Tivian to produce records is simply untrue. The agency may ask for the data without a court order, but must turn to the court to have its request enforced.
The procedure for data gathering authorized by the Water and Air Pollution Acts is similar to another procedure, the issuance of supoenas duces tecum, which agencies are commonly authorized to use to procure corporate records.Ý Subpoenas duces tecum used by agencies to obtain evidence relevant not only to pending charges, but also to investigations into whether charges should issue, have withstood fourth amendment challenges. +++ A subpoena may be issued without first obtaining a court's permission, +++, and may be judicially enforced without a showing of probable, or even reasonable, cause exists to believe that a violation of law has occurred. +++ In general, what the fourth amendment requires as a condition to enforcement of an agency subpoena is a showing by the agency (1) that its investigation is authorized by Congress and is for a purpose Congress can order and (2) that the documents sought are relevant to the investigation and adequately described. +++ Tivian has not established that EPA's request fails to meet the grounds in (1), nor does it contend that the requested documents are inadequately described or irrelevant to the agency's investigation.Ý Nothing on the face of the request transgresses these bounds.Ý Hence we find no fourth amendment violation. +++
Tivian's thirteenth amendment challenge is based on the argument that the practical effect of the demand for records is to compel Tivian to incur an otherwise unnecessary expense, overtime wages, so that its employees can find and transmit the requested data while keeping up with their normal duties.ÝÝ Being compelled to incur this expense allegedly constitutes involuntary servitude within the thirteenth amendment.Ý Even assuming, however, that a corporation has rights under the thirteenth amendment and that the amendment is not otherwise inapplicable, we find no violation.Ý The thirteenth amendment "has no application to a call for service made by one' government according to law to meet a public need. . . . +++
Tivian's final challenge to the constitutionality of the Water and Air Pollution Acts, that the taking of its records was without the procedural due process required by the fifth amendment, is also without merit.Ý The Acts provide for procedural due process.Ý When Tivian refused to comply voluntarily, the EPA had to institute suit to obtain enforcement of its request. Before compliance was ordered, Tivian received ample opportunity in the district court to contest the request.
While we thus find no merit whatsoever in Tivian's constitutional attacks upon the statutes and the agency's actions, there is one further issue. Tivian insists that it should at least be reimbursed by the EPA for the expenses it will incur (or perhaps has incurred) in retrieving and collecting the pertinent data. As this claim was advanced below in a memorandum in opposition to the government's motion for summary judgment, we cannot say that it is presently foreclosed; and we believe it should have been ruled upon by the court below. Tivian, to be sure, stated in its answer and motion to dismiss that it had never used PCBs nor brought them, or chlorinated terphenyls, into the State of Rhode Island. If this is the case, the effort required to respond to EPA's letter would be minor, even though EPA's letter could impose a very considerable burden upon a company dealing with PCBs in quantity.Ý The letter calls not merely for existing records but for an enormous quantity of detailed information going back several years which might require many hours to collect. In cases where compliance with a subpoena would be oppressive, a district court may impose reasonable restrictions and conditions upon its enforcement of the subpoena. Its power in this regard stems from the requirement that "the disclosure sought shall not be unreasonable." +++
It is only, however, in very extreme circumstances that it is appropriate for a court to impose conditions of this nature and we do not mean to suggest that such circumstances necessarily or indeed are likely to exist here. +++See In Re Grand Jury Investigation 459 F.Supp. 1338, 1340 +++ "Some burden on subpoenaed parties is to be expected, . . . is necessary in furtherance of the agency's legitimate inquiry and the public interest," +++, "and must be borne as a cost of doing business. +++Ý The burden of proving that the request is oppressive is on the party objecting to the agency's request. +++
In the instant case, we merely hold that Tivian is entitled to the ruling of the district court on this limited issue.Ý Given the lengthy delay in complying with EPA's request, we feel Tivian must make all reasonable steps forthwith to comply with EPA's request, if it has not yet done so. Such compliance is not to be withheld pending the district court's ruling on the collateral cost issue.
The judgment of the district court is affirmed in all respects, except the case is remanded to the district court for the limited purpose of determining Tivian's claim that compliance is so burdensome as to entitle it to reimbursement for the costs of compliance.
So ordered.
ENDNOTE:
33 U.S.C. Sec 1318 (1972) (amended 1977) states:
"(a)Ý Whenever required to carry out the objective
of this chapter, including but not limited to (1) developing or assisting
in the development of any effluent limitation, or other limitation, prohibition,
or effluent standard, pretreatment standard, or standard of performance
under this chapter; (2) determining whether any person is in violation
of any such effluent limitation, or other limitation, prohibition or effluent
standard, pretreatment standard, or standard of performance; (3) any requirement
established under this section; or (4) carrying out sections 1315, 1321,
1342, 1344 (relating to State permit programs), and 1364 of this title
(A)Ý the Administrator shall
require the owner or operator of any point source to (i) establish and
maintain such records, (ii) make such reports, (iii) install, use, and
maintain such monitoring equipment or methods (including where appropriate,
biological monitoring methods), (iv) sample such effluents (in accordance
with such methods, at such locations, at such intervals, and in such manner
as the Administrator shall prescribe), and (v) provide such other information
as he may reasonably require; and
(B)Ý the Administrator or
his authorized representative, upon presentation of his credentialsÝ (i)
shall have a right of entry to, upon, or through any premises in which
an effluent source is located or in which any records required to be maintained
under clause (A) of this subsection are located and (ii) may at reasonable
times have access to and copy any records inspect any monitoring equipment
or method required under clause (A), and sample any effluents which the
owner or operator of such source is required to sample under such clause.
(b) Any records, reports, or information obtained
under this section (1) shall, in the case of effluent data, be related
to any applicable effluent limitations, toxic, pretreatment, or new source
performance standards, and (2) shall be available to the public, except
that upon a showing satisfactory to the Administratory by any person that
records, reports, or information, or particular part thereof (other than
effluent data), to which the Administrator has access under this section,
if made public would divulge methods or processes entitled to protection
as trade secrets of such person, the Administrator shall consider such
record, report, or information, or particular portion thereof confidential
in accordance with the purposes of section 1905 of Title 18, except that
such record, report, or information may be disclosed to other officers,
employees, or authorized representatives of the United States concerned
with carrying out this chapter or when relevant in any proceeding under
this chapter.
. . ."
42 U.S.C. Sec. 1857c-9 (1972) (amended 1977) states:
(1) the Administrator may require the owner or operator
of any emissionÝ source to (A) establish an maintain such records, (B)
make such reports, (C) install, use, and maintain such monitoring equipment
or methods, (D) sample such emissions (in accordance with such methods,
and such manner as the Administrator shall prescribe), and (E) provide
such other information as he may reasonably require; and(2) the Administrator
or his authorized repre-sentative, upon presentation of his credentials--
(A) shall have a right of
entry to, upon or through any premises in which an emission source is located
or in which any records required to be maintained under paragraph (1) of
this section are located, and
(B) may at reasonable times
have access to and copy any records, inspect any monitoring equipment or
method required under paragraph (1), and sample any emissions which the
owner or operator of such source is required to sample under paragraph
(1).
. . ."