After issuing a number of citations against Gunite Corporation for violations of occupational safety and health regulations, the Secretary of Labor failed to convince the Occupational Safety and Health Review Commission to uphold four of the charges. The Secretary has petitioned this court to reverse the Commission’s decision. We conclude that the Secretary is correct: the Commission’s decision is not supported by substantial evidence in the record and therefore the case must be remanded to the agency with instructions to affirm the citations.
I
Gunite’s foundry in Rockford makes brakes and wheels for heavy trucks. Its process involves melting scrap iron and then pouring the molten iron into molds created from a mixture of sand, clay, and water. The molds then pass along a series of interconnecting conveyor belts that transport and cool the iron pieces. As they move along the conveyer belts, the castings are shaken from the molds; in the process, dust containing respirable silica becomes airborne. The amount of this dust is enormous; the process uses some 400 tons of sand per hour. Breathing silica is dangerous for the foundry’s workers, as it can lead to silicosis, a deadly disease that primarily affects the lungs. The Occupational Safety and Health Ad
Gunite’s foundry was built in the first half of the twentieth century. From the start, it has been plagued with the problem of controlling the amount of silica dust escaping into the air. In 1977 and again in 1981, OSHA cited Gunite for violations of the silica PEL. That problem has intensified since the installation of the conveyer belt system in 1989. The plant manager described the initial installation of the conveyor belts as “a disaster.” In order to control the airborne dust, the plant first tried spraying water to keep the dust down. When that failed to make a difference, Gunite installed covers over the conveyer belts. They too were ineffective, even though they were still being used several years later when OSHA entered the picture. In 1990, one of Gunite’s insurers reported that employee exposure to silica exceeded a different measure, the “threshold limit value” set by the American Conference of Governmental Industrial Hygienists. Two upgrades later, Gunite still had too much silica in the air. Another insurer measured the air four times between June 1996 and March 1998 and found that foundry employees — including those at the positions listed in the citations at issue before us — were being exposed to levels of respirable silica in excess of OSHA’s PEL. That insurer, Kemper-NATLSCO, recommended in 1996 that Gunite require its employees to wear individual respirators until the company could implement feasible engineering and administrative controls to limit employee exposure. Gunite seems to have ignored that recommendation; two reports from Kem-per-NATLSCO in 1997 indicated that employees still were not being required to wear the individual respiratory protection. In 1996 and 1997, Gunite recorded three cases of silicosis in its OSHA logs. Gunite itself describes its efforts to deal with excess silica from 1991 through 1998 as involving four major engineering projects that together were intended to bring the foundry into compliance with the silica PEL and other federal regulations. The last of these, installation of new covers and a ventilation system over the conveyor belts, was planned and being implemented in 1998 during the OSHA inspection, though it did not become fully functional until March 1999.
Since 1971, OSHA regulations have required facilities with excess respirable silica to use engineering or administrative controls “whenever feasible” to attain compliance with the PEL. 29 C.F.R. § 1910.1000(e). Only when feasible engineering or administrative controls are insufficient to bring silica levels below the PEL may a company turn to individualized protective equipment to supplement those controls.
Id.
This “hierarchy of controls” privileges engineering and administrative controls because they “make respiratory protection automatic, while respirators are dependent on use and constant attention and are subject to human error.”
American Iron & Steel Inst. v. OSHA,
The OSHA inspection leading to the citations involved in the Secretary’s petition took place between May and October of 1998. During the inspection, OSHA representatives took samples that showed that workers in four positions at the foundry were exposed to about 1.6 times the PEL for respirable silica in an eight-hour shift. OSHA assigned three members of its Health Response Team (HRT) to Gunite’s case and asked them to evaluate Gunite’s
Based on its investigation of the foundry, the Secretary issued three citations containing various items, each alleging violations of federal regulations. Among those were six items based on the sampling results and the HRT’s report alleging that Gunite had committed serious and willful violations of 29 C.F.R. § 1910.1000(c) (the air contaminant regulation) by exposing employees to respirable silica in amounts in excess of OSHA’s PEL and of 29 C.F.R. § 1910.1000(e) by failing to implement feasible engineering or administrative controls. Another item alleged a violation of 29 C.F.R. § 1910.134(e)(4) (1997) by failing to inspect to ensure proper respirator use. The Secretary also alleged a willful violation of 29 C.F.R. § 1910.95(g)(6) for failure to obtain annual audiograms. Of these charges, only four are at issue in this petition: items 8a and 8b of citation 1, which charge serious violations of § 1910.1000(c) and (e) for overexposing three “mold station” workers (a metal pourer, coreset/blowoff operator, and mold line technician) to res-pirable silica and for failing to determine and implement feasible administrative or engineering controls to achieve compliance with the PEL; and items 3a and 3b of citation 2, which charged willful violations of the same standards for overexposing a sprue pulloff operator, who works at a different location in the factory closer to the finishing process.
Gunite appealed the citations, contending before the administrative law judge (ALJ) that it should not be liable because it was already implementing a new system designed to alleviate the respirable silica problem and because of the availability of individual respirators, which it contended both alleviated overexposures and qualified as an administrative control. In the pre-hearing documents made part of the record by the ALJ, the Secretary designated two members of the HRT team — industrial hygienist Keith Motley and mechanical engineer Lee Hathon — as experts. They were expected to testify about their qualifications, their observations of Gunite’s foundry, and “administrative and engineering controls to reduce respirable silica” for the locations identified as having overexpo-sures, as well as the contents of the HRT report. Motley’s expertise included 12 years of experience as part of the HRT responsible for addressing respirable hazards, while Hathon had served 10 years on the HRT and had participated in investigations “at several foundries and other industries where airborne silica is a hazard.” Gunite objected to both Motley’s and Ha-thon’s testimony about actual silica levels as “not probative of exposures of the cited
Both Motley and Hathon were cross-examined about their qualifications, about their preparation of the HRT report, and about the recommended engineering controls. Motley testified about his tour of the plant, during which he was able to observe firsthand the problem areas and ventilation systems. When he asked to see the plans for the new ventilation system, he was shown the actual parts that Gunite was putting in place. Motley also described the team’s particular recommended solutions to the airborne silica problem, including a way generally to filter the plant’s air before recirculating it. He explained how clean air islands work and how they might alleviate the problems. Hathon’s testimony was similar. After answering questions about his own training and credentials, Hathon testified that he had previously examined at least seven foundries similar to Gunite’s in terms of size, age of the building, and products produced; that he had toured the areas of Gunite’s foundry with overexposures; and that the HRT report was designed specifically to address the problems of the Gunite foundry.
Another witness, Julia Evans, an OSHA compliance officer, testified that an administrative control such as employee rotation likely would have eliminated the overexposure. Evans also testified that Gunite’s planned improvements likely would solve the silica problem at three of the four employee stations.
Finally, Gunite’s own witness, Leroy Ca-tor, the 50-year veteran employee in charge of the abatement process, testified that “[c]lean air islands are probably effective and I don’t question that.” However, he also said that they are difficult to implement because of temperature control issues, and that they had not been recommended by the outside engineers working with Gunite. Instead, those engineers recommended systemic approaches that would improve the air for many employees rather than individualized approaches. He admitted, however, that clean air technology was used elsewhere in the foundry, near the pouring line.
The ALJ affirmed the four citations (as well as the others not at issue here), finding that “except for clean air islands, Gun-ite has not challenged [the HRT’s] recommendations.” The ALJ also found that Gunite’s future plans to solve the problem did not relieve the company of liability. Likewise, the use of respirators did not alleviate Gunite’s obligation to implement systemic administrative or engineering controls that would make individual respirators unnecessary.
Gunite appealed the ALJ’s determination to the Commission, which by a divided vote affirmed some of the citations, but vacated the four now before us. The majority found that the Secretary had failed to prove that the proposed engineering and administrative controls would produce a “significant reduction” in respirable silica:
The Secretary’s case for establishing technological feasibility rests primarily on OSHA’s HRT report and supporting testimony by compliance officer Evans and HRT members Lee Hathon and Keith Motley. Neither compliance officer Evans nor the HRT members were qualified as experts. The HRT report identified deficiencies in Gunite’s controls and recommended additional controls, including general ventilation to reduce plantwide levels of air contaminant and specific controls to address areas where sampling results showed employee exposure in excess of the PEL.... We conclude that the evidence of record as a whole is insufficient to prove that the controls suggested by the Secretary would produce a significant reduction in airborne respirable silica in the foundry. Because neither compliance officer Evans nor any of the HRT members were presented by the Secretary as expert witnesses, the record lacks sufficient evidence to establish that the proposed controls were technologically feasible. Moreover, the testimony failed to quantify the expected or anticipated amount of silica dust reduction. At most, the HRT report provided a list of control technologies for Gunite to experiment with in the hope that some of them or some combination of them would reduce employee exposure to some undefined levels.
The Commission then found that because the Secretary had failed to show a technologically feasible engineering control, the use of respirators by employees was sufficient. (Somewhat inexplicably, the Commission found that the evidence of the respirator use on the day the air was tested was sufficient to vacate those items, even though elsewhere it affirmed a separate item by finding that “Gunite’s lax enforcement of respirator use in the foundry constituted willfulness.”)
The dissenting commissioner found that the HRT report was “comprehensive” and that it recommended a number of feasible administrative and engineering controls. She also concluded that the witnesses’ credentials made their testimony “sufficiently reliable” and that Gunite had failed to challenge the witnesses’ expertise. Furthermore, she wrote, “[T]he fact that the Secretary did not present the HRT members as experts does not diminish the probative value of their testimony.... To the extent that the majority would find dispos-itive the lack of ‘expert’ testimony from the Secretary in order to meet her burden, and since this issue has not been previously briefed, I would remand.”
II
This court has jurisdiction under 29 U.S.C. § 660(b) to review on the Secretary’s petition “any final order” of the Commission. The Commission’s “function is to act as a neutral arbiter.”
Cuyahoga Valley Ry. Co. v. United, Transp. Union,
The Secretary bears the burden of proof in demonstrating the feasibility of administrative and engineering controls “when the compliance remedy is based upon a very general statutory or regulatory command that does not describe for the employer any specific methods for compliance.”
Faultless Div., Bliss & Laughlin Indus., Inc. v. Sec’y of Labor,
In this case, the Commission found that the Secretary failed to carry her burden on feasibility, but it is hard to discern why it came to this conclusion. On one reading of the opinion, it seems that the Commission might be saying that the Secretary failed either to present any evidence of feasibility or that she failed to present necessary expert evidence of feasibility, and thus failed to meet her burden of proof. This, at least, is the way one might understand the portions of the Commission’s opinion stating that “neither compliance officer Evans nor any of the HRT members were presented by the Secretary as expert witnesses.... ” and “the Secretary offered no expert testimony in attempting to meet her burden of proof.” In the alternative, the opinion might be interpreted as finding that the Secretary’s witnesses lacked expertise, as where the Commission writes that “[n]either compliance officer Evans nor the HRT members were qualified as experts.” Or the Commission might have been faulting the Secretary for failing to jump through some procedural hoops in presenting her evidence or designating her experts.
Our problem with the Commission’s opinion is twofold. First, it did not adequately explain why it concluded that the Secretary failed to satisfy her burden. It is neither proper nor feasible for us to fill in the blanks with our own guesses. Second, even if we somehow succeeded in
The other three possibilities all, in one way or the other, attack the sufficiency of the evidence the Secretary presented to support the citations. In applying the substantial evidence rule, our point of reference is the Commission’s opinion. As we have said before, “[w]e cannot uphold a decision by an administrative agency ... if ... the reasons given by the trier of fact do not build an accurate and logical bridge between the evidence and the result.”
J.C. Penney Co. v. NLRB,
If we interpret the Commission’s decision as holding that the Secretary utterly failed to present any evidence of feasibility that could satisfy her burden of proof, we can easily reject that conclusion as contrary to the record as a whole. This would be obvious if the Secretary had presented Hathon and Motley as witnesses on direct, but the method of proceeding to which all parties agreed does not change the result. The parties stipulated that the HRT report would be admitted into evidence, and it was. Then, as agreed, the Secretary presented both Motley and Hathon for cross-examination. Their testimony on cross covered much of the same material that a direct examination normally would have covered — their credentials, their inspection of the foundry, and the basis for their report and conclusions. Furthermore, the ALJ specifically made part of the record the pre-trial pleadings, see 5 U.S.C. § 556(e), which also covered much of the same ground. Even the Commission acknowledged that “Gunite challenged only the feasibility of clean air islands” and not the many other recommended controls, which included basic housekeeping, employee hygiene, and employee rotation. Indeed, the parties agreed that the already planned — but not implemented — improvements would significantly decrease the silica exposure for the molding line employees. In the absence of any rebuttal or specific evidence about nonfeasibility from Gunite, the Secretary’s evidence is more than sufficient to carry her burden. See,
e.g., Sec’y of Labor v. Smith Steel Casting Co.,
If we think instead that the Commission took the position that Hathon and Motley were not experts, lacked expertise, or were somehow not properly designated as experts, that interpretation likewise collapses in the face of the record. We have said that a court excluding expert testimony must “articulate with reasonable specificity the reasons why it believes the testimony is insufficiently reliable to qualify for admission,” because otherwise the lack of such explication makes it difficult (or impossible) for us meaningfully to review the court’s decision.
Mihailovich v. Laatsch,
Gunite’s argument on appeal is primarily limited to a reminder that the court should defer to the Commission’s decision when that decision is supported by substantial evidence, but its brief is remarkably short on specific evidence that might have supported this particular ruling. If the Commission had made a reasoned decision supported by substantial evidence in the record, we would defer to that decision, even if we ourselves might have preferred another outcome. Such deference extends to credibility determinations about witnesses, including expert witnesses. See
Sierra Resources,
Second, Gunite contends that at the time of the citations, it had already planned and even begun to implement the engineering controls that the Secretary agrees likely would solve the problem for the mold line employees. Thus, Gunite argues, it should not be liable. Indeed, the Secretary took the planned engineering controls into account when she classified the citation based on the overexposure of the mold station workers as serious rather than willful. See
United States v. Ladish Malting Co.,
For these reasons, we Revekse the Commission’s decision and ReMand the case with instructions to affirm the four contested citations.
