Ernest Dague, Sr., Ernest Dague, Jr., Betty Dague, and Rose A. Bessette v. City of BurlingtonErnest Dague, Sr., Ernest Dague, Jr., Betty Dague, and Rose A. Bessette v. City of Burlington
Plaintiffs are owners of land adjacent to the Burlington Municipal Disposal Grounds (the “landfill”). They brought this action against the City of Burlington for alleged violations of state and federal laws arising out of the operation of the landfill. Plaintiffs alleged that the operation of the landfill generally harmed the environment, and specifically damaged their properties, by generating methane gas, wind-blown debris, and hazardous waste. The city closed the landfill on December 31, 1989.
The plaintiffs’ ten-count complaint sought injunctive relief, civil penalties, compensatory damages, and punitive damages, plus costs and attorneys’ fees. Judge Billings held a bench trial on the first five counts of the complaint. Counts I, II, and III were brought pursuant to the citizen-suit provision of the Resource Conservation and Recovery Act (“RCRA”),
The district court found that the City of Burlington had operated the landfill in violаtion of prohibitions against open dumping practices found in
The district court denied a motion by the city to dismiss counts II, III, and part of IV of the complaint, made on the ground that plaintiffs had failed to comply with the notice and delay requirements for citizen-suits under
In addition, the court found that the plaintiffs had substantially prevailed and awarded them total attorney’s fees, pursuant to
The city appeals all of these rulings.
BACKGROUND
The City of Burlington has owned and operated the landfill since the early 1960s. The landfill is rectangular in shape and is located on approximately eleven acres of land to the north of the commercial-residential center of the city. It is bounded to the east and south by properties owned by the plaintiffs, to the north by a railroad embankment, and to the west and northwest by a marsh area called the Intervale, which has been designated a wetland, as well as by Beaver Pond, which is actually the southeast portion of the marsh. A large stone culvert runs under the railroad and connects the Beaver Pond portion of the marsh with the northeast quadrant of the Intervale.
The Intervale is in the flood plain of the Winooski River. It is inundated or saturated by surface water sufficient to support a variety of vegetation typically adapted for life in saturated soil conditions. The Inter-vale occasionally floods, leaving the entire area covered with surface water, including parts of the landfill itself. At normal times, water in the culvert is either in equilibrium or flows from south to north through the culvert. During times of high water, however, surface watеr may flow from north to south through the culvert.
Trash is buried in the landfill to a depth of approximately nine feet below the ground water table on the northern edge of the landfill. Historically, rain water and run-off from the land have been able to percolate into the landfill mass. As a result, groundwater mixes with and flows through contaminants in the landfill.
The landfill contains typical domestic and municipal wastes as well as materials deposited over the years by local industries. When groundwater infiltrates the landfill, the water mixes with the material in the landfill and forms leachate. Leachate is a liquid that has passed through or emerged from solid waste and contains soluble, suspended, or miscible materials removed from such wastes. The leachate is generated both by percolation of precipitation into the landfill mass and by the flow of groundwater through the refuse in the landfill. The leachate produced in the landfill contains chemicals and compounds found on toxic and hazardous lists under RCRA and the CWA. Because the landfill is unlined, the leachate enters the upper gradients or “flow tubes” of ground water under the landfill. The ground water then flows north beyond the landfill boundaries, and the flow tubes of the leachate-contam-inated groundwater all surface in the Inter-vale, north of and within 300 feet of the railroad embankment.
Leachate has also emerged from the sides of the landfill via seeps. From there, it flows into Beaver Pond and thence through the culvert under the railroad embankment and into the Intervale. The fact that leachate from the landfill is toxic to a small fish called the fathead minnow demonstrates that the leachate can kill a vertebrate in the food chain. The leachate also kills Daphnia (water fleas) and algae.
The city did not timely comply, however, even with the terms of the Amended Assurance. It did not install the leachate collection system or the methane gas control system until March of 1986, after the State of Vermont, on December 18, 1985, had bi’ought an action against the city to enforce the March 7th order. Moreover, the city never notified the state in writing of its choice between the two closure options, despite its obligation to do so. While the city’s board of aldermen did adopt a resolution to pursue the RRF option, the mayor vetoed the resolution.
During the years 1985 and 1986, the state performed its own environmental assessment of the landfill, conducting substantial monitoring and testing of the area in and around the landfill, and collecting both leachate data and biological data. While the state concluded, as a result of its investigation, that the landfill did not, at that time, present an imminent and substantial endangerment to human health or the environment, it did determine that January 1, 1990, was the appropriate closure date in view of the environmental concerns presented by the landfill.
Plaintiffs filed their complaint in this matter on October 9, 1985. The day before, plaintiffs had mailed letters to the defendant city, the State of Vermont, and the Administrator of the Environmental Protection Agеncy (the “EPA”), notifying them of plaintiffs’ contention that the city was operating the landfill in violation of sections 6925, 6930, and 6945 of RCRA, and
In February of 1986, the magistrate issued a Report and Recommendation, finding for purposes of the preliminary injunction motion, that the city was in violation of
After a bench trial, the district court issued its Findings of Fact, Opinion and Order.
As to count II, which alleged three separate open dumping practices in violation of
As to count III, the court held that the city had violated subchapter III (hazardous waste management provisions) and sub-chapter IV (solid waste management provisions) of RCRA because the landfill may have presented an imminent and substantial endangerment to health or the environment, and therefore, its continued operation violated
As to count IV, the court found that the city had violated the CWA by discharging pollutants from a point source (the railroad culvert) into the Intervale without authorization. Finally, as to count V, the court held that the city had violated Vermont’s Groundwater Protection Law,
Subsequently, the district court entered an Opinion and Order denying the city’s motion to dismiss counts II, III, and part of IV, and it also entered an Opinion and Order granting the plaintiffs’ motion for attorney’s fees. The district court then entered judgment with respect to its holdings on counts I through IV, and pursuant to
DISCUSSION
The city raises four issues on this appeal. We turn first to the threshold issue of notice and consider (A) whether the district court erred in determining that
Hallstrom v. Tillamook County,
A. Pre-Suit Notice
Initially, we must determine whether this action must be dismissed because the plaintiffs failed to comply with the notice and delay requirements under the citizen-suit provisions of RCRA and the CWA.
See
(1) No action may be commenced under subsection (a)(1)(A) of this sec- - tion—
(A) prior to 60 days after the plaintiff has given notice of the violation to—
(i) the Administrator;
(ii) the state in which the alleged violation occurs; and
(iii) to any alleged violator of such permit, standard, regulation, condition, requirement, prohibition, or order, except that such action may be brought immediately after such notification in the case of an action under this section respecting a violation of subchapter III of this chapter; or
(B) if the Administrator or State has commenced and is diligently prosecuting a civil or criminal action in a court of the United States or a State to require compliance with such permit, standard, regulation, condition, requirement, prohibition, or order.
42 U.S.C. § 6972(b)(1) (emphasis added).
(2)
To comply with these requirements, plaintiffs’ attorney mailed, by first-class mail, letters notifying the defendant city, the State of Vermont, and the Administrator of the EPA of plaintiffs’ contention that the city was operating the landfill in violation of
The city relies on the Supreme Court’s recent decision in
Hallstrom v. Tillamook County,
The district court rejected this argument.
The city argues that the Supreme Court’s holding and strong language in Hallstrom mandate dismissal of this “hybrid” complaint. It also argues that if plaintiffs could circumvent the delay requirements by simply asserting a subchapter III claim, whether or not such a claim has merit, the congressional policy for delay would be effectively nullified.
The delay periods in the citizen-suit provisions result from a congressional compromise “between encouraging citizen enforcement of environmental regulations and avoiding burdening the federal courts with excessive numbers of citizen suits.” Hallstrom,
In the 1984 amendments to RCRA, however, congress abrogated the delay periods when an “action” under
The district court found that under the city’s interpretation, a citizen would have to choose between (1) delaying 60 days before bringing the hazardous waste claim so that all the claims could be brought simultaneously, or (2) filing the hazardous waste claim immediately after notice is given and then seeking leave to amend the complaint to add the remaining claims after 60 days has passed. It felt that plaintiffs with subchapter III claims should not have to make this choice. Thus, the court held that when plaintiffs have a “hybrid” complaint, the delay periods otherwise required before commencing a non-subchapter III suit become inapplicable.
The district court reasoned that the policy reasons for requiring a delay period, as identified in
Hallstrom,
were no longer important once a hazardous waste violation was alleged. First, when hazardous waste violatiоns are involved, the interest of promoting initial governmental enforcement action is substantially diminished, as is the preference for administrative resolution: “[Tjhere is no need to maintain a window of opportunity for the government to take the lead enforcement role as to non-sub-chapter III claims when a citizen, acting as a private attorney general, has already lawfully assumed the lead role in bringing a subchapter III claim against the same facility.”
We agree with the analysis of the district court. Although the Supreme Court’s language in Hallstrom leans toward a strict application of the notice and delay requirement, rigid adherence in this case, which involves hazardous wastes, would lean too far, for it would circumvent congress’s intent in enacting these statutes. Hallstrom is therefore distinguishable, because there the plaintiffs had plainly disregarded the language of the statute by filing a complaint alleging only non-subchapter III violations without mailing any notice whatsoever. Here, plaintiffs did give notice to the appropriate parties identified in the statute, and then filed their “hybrid” complaint the next day, alleging violations of both sub-chapter III and non-subchapter III provisions.
Although the city’s argument — that plaintiffs can easily circumvent the delay requirements by simply alleging a subchap-ter III violation, whether or not it is meritorious — does raise some concern, we do not think it outweighs congress’s manifest intent to encourage quick citizen enforcement of hazardous waste violations of sub-chapter III. Of course, if a plaintiff shоuld allege frivolous subchapter III claims, he would not only be subject to rule 11 sanctions, but his claims could also be dismissed early in the litigation process, and the court, by stay or dismissal, could require full observance of the delay period. Moreover, in order to eliminate the delay requirement with a “hybrid” complaint, the two types of violations would have to be closely related. In this case, for example, plaintiffs’ subchapter III and non-subchap-ter III claims all arose from the operation of a single facility and are based on the same core of interrelated facts.
In addition to its general argument that counts II and IV must be dismissed because they were filed prematurely, the city also makes more particular arguments as to why it believes that all the counts should be dismissed.
1. EPA-Authorized State Hazardous Waste Program
The city claims that RCRA’s exception to the delay requirements for subchapter III actions is not applicable in Vermont because that subchapter has been superseded by Vermont’s approved Hazardоus Waste Management Plan pursuant to
Within the general citizen suit provision of RCRA (
Pursuant to
In this case, the district court did find that the federal permit and notification requirements of subchapter III of RCRA were superseded by the EPA-authorized state hazardous waste program, and thus, that a direct action pursuant to subsection A of the citizen suit provision to enforce
2. Commencement and Prosecution of an Action by the State
The city next argues that count II is prohibited by the provisions of subsection B of
We do not think that what the state did in this situation falls within this provision. The Assurance in this case was an agreement between the state and the city that was simply filed and entered as an order of the state court. No “civil or criminal action” was ever commenced against the city to require compliance with federal regulations. Even if the Assurance were to be viewed as an action to compel compliance with federal regulations, the state could not be held to have “diligently prosecuted]” the action. The only thing the state ever did to try to enforce the Assurance was to bring an action to compel compliance with provisions of the Assurance that required the city to install a methane gas control system and a leachate collection system. This action was not taken until thе deadline for installation had already passed. The plaintiffs had already filed this action and the district court had ordered the city to install operational systems before the city complied. Beyond this one action, the state made no attempt to ensure compliance with the rest of the Assurance; instead it allowed the city numerous extensions. Given these facts, the state’s conduct in this case does not meet the level of diligence that would trigger the prohibition against a citizen suit.
See Friends of the Earth v. Consolidated Rail Corp.,
3. CWA Exception to Delay Requirement
The city also claims that although an exception to the 60-day delay requirement exists under
4. Content Requirements of Notice Provisions
Finally, the city argues that the plaintiffs’ notice did not comply with the content requirements of the statutory and regulatory notice provisions, thus mandating dismissal under Hallstrom. In the first place, Hallstrom did not address such technical criteria. Moreover, the drastic measure of dismissal should not be used at this stage of the litigation.
As a practical matter, notice in a subchapter III case accomplishes little other than notifying the appropriate governmental agencies and the alleged violator that the filing of a complaint by citizens is imminent. In contrast, in a non-subchapter III case, specific notice gives the appropriate governmental agencies an opportunity to act and the alleged violator an opportunity to comply. Because prior notice in suits involving hazardous wastes is of minimal value, dismissal should not follow in this case merely because plaintiffs failed to comply with some very technical aspects of the notice provisions. To hold otherwise not only would allow form to prevail over substance, but also would thwart congress’s purpose of providing an exception to the strict notice requirements in instances involving the heightened danger and immediacy of hazardous wastes.
See Hallstrom,
B. Point Source
We next consider the issue of whether the district court erred by concluding that the railroad culvert was a point source for the discharge of pollutants and therefore that the city was violating
“Except as in compliance with this section and sections 1312, 1316, 1317, 1328, 1342 and 1344 of this title, the discharge of any pollutant by any person shall be unlawful.”33 U.S.C. § 1311(a) .
Section 1362(12) defines “discharge of a pollutant” as “any addition of any pollutant to navigable waters from any point source”. Section 1362(14) defines a “point source” as
“any discernible, confined and discrete conveyance including, but not limited to any pipe, ditch, channel, tunnel, conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding operation, or vessel or other floating craft, from which pollutants are or may be discharged.”
The city contends that the railroad culvert was not a point source for the discharge of pollutants. According to the city, the definition of a point source incorporates both physical and functional characteristics. Although it acknowledges that the culvert has many of the physical characteristics of a point source, it alleges that the culvert does not meet the functional requirements, because the culvert does not “add” pollutants to navigable waters. Under this argument, pollutants would be “added” only when they are introduced into navigable waters for the first time.
The definition of a point source is to be broadly interpreted:
The touchstone of the regulatory scheme is that those needing to use the waters for waste distribution must seek and obtain a permit to discharge that waste, with the quantity and quality of the discharge regulated. The concept of a point source was designed to further this scheme by embracing the broadest possible definition of any identifiable convey-
United States v. Earth Sciences, Inc.,
Given the intended broad reach of
C. Imminent and Substantial Endangerment
The city next challenges the district court’s conclusion that the landfill may present an imminent and substantial endangerment to health or the environment. It asserts that there is no evidence to support the court’s conclusion, because (1) the mere presence of chemicals found on the list of toxins, without regard to their concentrations, does not evidence an endangerment; (2) the state environmental investigation concluded that the landfill and its leachate did not present an imminent and substantial endangerment to the environment; and (3) plaintiffs’ expert, Dr. Reed, did not cite evidence in support of his opinion. We disagree with the city’s contention that the district court erred.
Significantly, congress used the word “may” to preface the standard of liability: “present an imminent and substantial endangerment to health or the environment”.
United States v. Price,
The statute is “basically a prospective act designed to prevent improper disposal of hazardous wastes in the future”.
Waste Industries,
In addition, a finding that an activity may present an imminent and substantial endangerment does not require actual harm.
United States v. Waste Industries, Inc.,
The evidence presented at trial supports the district court’s finding that the landfill presented an imminent and substantial endangerment to health and the environment. The landfill had been leaking hazardous chemicals into the soil, into groundwater beneath and to the north of the landfill, and into surface waters of the Intervale wetland. Even after installation and operation of the leachate collection system in 1986, at least 10 percent of the leachate, which contains tоxic and hazardous chemicals, was still migrating from the landfill into the groundwater and surface water in and around the landfill. Standard bioassay techniques revealed that leachate from the landfill was toxic to freshwater aquatic life, including at least one vertebrate in the food chain. At the time it last assessed the landfill on September 21, 1988, the state determined that “the Burlington Landfill has inadequate separation distance to groundwater and inadequate isolation distance to surface water. Monitoring of both groundwater and surface water has indicated impacts to water quality.”
The amount and presence of toxic chemicals, including lead, found in groundwater wells have increased over time, and are bio-accumulating in the Intervale. Some of these toxic chemicals, which continue to migrate from the landfill, may have a dramatic, adverse impact on the food chain in the Intervale. While the cattails in the Intervale tend to be resistant to toxic chemicals, the marsh is a “climax” system, i.e., cattails can stand in the face of chemical insult, but when deterioration of them finally can be seen, they will degrade quickly, and that will be “long past the point * * * of saving the system.”
In addition, the district court based its finding on (1) the fact that leachate which escaped from the landfill contained chemicals and compounds found on the EPA toxic list; (2) the fact that the state, on the basis of its independent environmental investigation in and around the landfill, had concluded that January 1, 1990, was an appropriate closing date for the landfill; and (3) “other evidence in this case, such as Dr. Reed’s expert opinion”.
Based on all of the foregoing, the district court properly concluded that there were sufficient circumstances that may present an imminent and substantial endangerment to health or the environment.
D. Attorney’s Fees
We now consider the city’s claim that the district court abused its discretion in awarding attorney’s fees. The district court awarded total attorney’s fees in the amount of $247,534.37, which included a “lodestar” amount оf $198,027.50 plus a 25 percent risk/contingency enhancement of $49,506.87. It also allowed $10,929.66 in expenses, including expert fees.
Although we note that most of the cases cited involve the Attorney’s Civil Rights Fee Awards Act,
1. Prevailing Party
Both RCRA and the CWA provide for an award of a reasonable attorney’s fee “to the prevailing party or substantially prevailing party, whenever the court determines such an award is appropriate.”
Even with this broad interpretation, however, a plaintiff must “receive at least some relief on the merits of his claim before he can be said to prevail."
Hewitt v. Helms,
We do not accept, however, the city’s characterization of the plaintiffs’ success in this case as “purely technical or de minimis”. Under the Texas Teachers standard, the city argues, we should not only compare the relief obtained with the relief sought, but also, compare the city’s legal obligations before commencement of litigation with its obligations after the district court's judgment. According to the city, plaintiffs did nothing to change the status quo, because its legal obligations had already been fixed by the Assurance of Discontinuance that was entered as an order of the state court.
Although the district court’s judgment contains essentially the same remedy as the Assurance, in that both of them mandate closing the landfill by 1990, the plaintiffs did “prevail” in this action, within the federal statutory definition, because, in large part, it was the pressure generated by the plaintiffs’ efforts here that caused the city to actually close the landfill.
The сity had been granted extension after extension postponing the initial deadline specified in the original Assurance. The Amended Assurance was one in a series of many. The city should have closed the landfill by January 1, 1988, because it did not opt for a resource recovery facility.
Only by bringing this suit against the city were the plaintiffs finally able to get from the city action as opposed to mere promises. “The real value of the judicial pronouncement * * * is in the settling of some dispute
which affects the behavior of the defendant towards the plaintiff” Hewitt,
Despite the city’s assertion that such reasoning is speculation, we do not think that the district court’s finding that the plaintiffs “prevailed” under the circumstances of this action is clearly erroneous. A determination by the court that the city had violated provisions of RCRA and the CWA constitutes a change in the legal relationship of the parties that goes beyond what was contained in the Assurance.
2. Fully Compensatory Lodestar
The city’s other arguments relate to “the degree of the plaintiff’s overall success [which] goes to the reasonableness of the award under
Hensley,
not to the availability of a fee award
vel non.” Gingras,
Because we think there is sufficient basis for the district court’s findings, we hold that the court did not abuse its discretion in awarding plaintiffs’ attorneys a fully compensatory fee award. Once a party is deemed to have prevailed, a “reasonable attorney’s fee” is to be determined in the exercise of the district court’s discretion.
Hensley,
The starting point for calculating a reasonable attorney’s fee is “multiplying the number of hours reasonably expended on the litigation times a reasonable hourly rate.”
Blum v. Stenson,
Although “the most critical factor is the degree of success obtained”,
Hensley,
When some reduction is called for, a district court generally will attempt either “to identify specific hours that should be eliminated or * * * simply reduc[e] the award to account for the limited success of the plaintiff.”
Texas Teachers,
3. 25 Percent Enhancement for Contingency/Risk
Finally, the city challenges the district court’s grant of a 25 percent enhancement to its fully compensatory award of attorney’s fees. Relying upon the contingency/risk factor, the district court found that the enhancement was justified under the circumstances of this case.
In
Hensley,
the Supreme Court stated that “in some cases of exceptional success an enhanced award may be justified.”
Hensley,
The enhancement possibility suggested by
Hensley
has thus eroded to the point where apparently the only thing that may still justify an enhancement is the contingency/risk factor.
Pennsylvania v. Delaware Valley Citizens’ Council for Clean Air,
Four justices flatly rejected any multipliers or enhancements to the lodestar figure to compensate for the risk of loss under fee-shifting statutes.
Delaware Valley II,
Given the outcome in
Delaware Valley II,
we do not view any one of the three separate opinions dispositive on the issue before us today. We note that one of the justices that heard the case is no longer on the Court. While some courts view Justice O’Connor’s concurring opinion as being the controlling law,
see, e.g., Alberti v. Klevenhagen,
Judge Billings, therefore, correctly relied on
Friends of the Earth,
where we stated that the critical inquiry was “whether ‘[wjithout the possibility of a fee enhancement * * * competent counsel might refuse to represent clients thereby denying them effective access to the courts.’ ”
Id.
at 298 (quoting
Lewis v. Coughlin,
CONCLUSION
We affirm the judgment of the district court in all respects.