Mike PERKINS, Appellant, v. DISTRICT OF COLUMBIA BOARD OF ZONING ADJUSTMENT, Respondent.
Nos. 96-AA-30, 97-AA-772.
District of Columbia Court of Appeals.
Argued Feb. 17, 2000. Decided Dec. 31, 2002.
206
The record before us is incomplete, however. The OEA administrative judge based her decision primarily on Murchison‘s testimony, not on Murchison‘s medical reports. But no transcript or comprehensive summary of Murchison‘s testimony is included in the record. The Department‘s brief informs us that, for whatever reason, the evidentiary hearing in this case was not transcribed. Without a transcript, we cannot say that Murchison failed to offer credible evidence that she was incapacitated for several weeks (unlikely as that perhaps may seem). Hence we are in no position to decide whether the OEA determination was supported by substantial evidence or not. We are at a loss to understand how the Department could ask the Superior Court or this court to overturn an administrative agency decision for lack of substantial evidence without proffering for judicial consideration the evidence on which the agency relied.
Although we cannot affirm the Superior Court‘s ruling, we cannot reinstate the OEA‘s decision either. The OEA determined only that Murchison did suffer from what it called “a legitimate medical illness.” As the Superior Court stated, neither the administrative judge nor the full OEA made findings on what all agreed was the key factual issue—whether and to what extent Murchison‘s sinusitis was so severe that for seven weeks it was actually disabling. When an administrative body fails to make findings on material, contested issues of fact, a reviewing court cannot fill in the gap and make its own findings. Rather, the court must remand the case to the agency for it to make the necessary factual determinations. See Jimenez, 701 A.2d at 840. We follow that course here.
We return this case to the Superior Court with directions to remand it to the OEA for that body to make specific factual findings regarding whether, and to what extent, Murchison was incapacitated by her sinus ailments and unable to work at her job during her seven week absence without leave. Once such findings are made, and a final OEA decision is rendered thereon, the losing party may, if so advised, challenge the findings for lack of substantial evidence to support them. In doing so, that party would be well advised to procure the transcript of the testimony on which the OEA relies.
So ordered.
James C. McKay, Jr., Assistant Corporation Counsel, and Jo Anne Robinson, Interim Corporation Counsel, and Charles L. Reischel, Deputy Corporation Counsel, were on the brief, for respondent.
Before WAGNER, Chief Judge, and FARRELL and REID, Associate Judges.
WAGNER, Chief Judge:
In these consolidated appeals, petitioner, Mike Perkins, petitions for review of a decision and orders of the District of Columbia Board of Zoning Adjustment (BZA) revoking his certificate of occupancy for premises on which he operated a waste transfer station. He argues that the BZA erred in concluding that his business operations do not conform to the use permitted by his certificate of occupancy. We agree and reverse.
I.
A. Factual Background
Perkins applied for a certificate of occupancy to operate a business at 2160 Queens Chapel Road, Northeast. The Department of Consumer and Regulatory Affairs (DCRA) issued Perkins a certificate of occupancy listing the following purpose:1
Light Manufacturing, Processing, Fabricating, & Warehousing of Steel Products and Office and Retail Construction Industrial Supplies; All Material Non-Hazardous; Not sexually oriented.
Perkins had applied for the certificate of occupancy in almost identical language.2 After receiving the certificate of occupancy, Perkins commenced operating a waste transfer facility at the premises. On March 21, 1994, the DCRA issued Perkins a “Notice of Proposed Revocation” of the certificate of occupancy, alleging that his use of the premises was not in conformity with the certificate issued.
B. Proceedings Before the Office of Adjudication
A hearing was held before the DCRA‘s Office of Adjudication (OAD). The Administrative Law Judge (ALJ) assigned to the case made findings of fact and dismissed the DCRA‘s Notice of Proposed Revocation with prejudice, having concluded that Perkins’ use of the premises was within the parameters of the certificate of occupancy. The ALJ found that Perkins’ business consisted of compacting and deodorizing non-hazardous waste brought in by private contractors which was transferred to 18-wheel tractor trailers for transport to a landfill in Virginia within 12 hours of arrival. While there is no manufacturing of steel at the facility, some steel products were left by the previous owner, and there are some steel products in the waste material. In his application, Perkins listed as the nature of the business:
Light manufacturing, processing, Fabricating, warehousing of steel products and office and retail construction Industrial supplies, All material no[n]-hazardous.3
At the time Perkins applied for his certificate of occupancy, there was no zoning category for trash transfer facilities and no regulations which addressed specifically these kinds of facilities. There were seven privately owned transfer facilities in the District of Columbia (including Perkins‘) at the time for which the purposes listed on the certificates of occupancy varied widely.4 The ALJ for the OAD determined
In analyzing this issue, the ALJ considered the language describing the permitted use in the certificate of occupancy which read in pertinent part:
Light Manufacturing, Processing, Fabricating, & Warehousing Steel Products and Office and Retail Construction Industrial Supplies; All Material Non-Hazardous; Not sexually oriented.
Relying on the rule of statutory construction known as the “Rule of Last Antecedent,”5 the ALJ rejected the District‘s argument that the term “processing” modified the term “steel,” thereby limiting the certificate of occupancy to processing steel products, not waste. Weighing in favor of this conclusion, the ALJ cited the “broad descriptions of activities permitted in C-M districts.” The ALJ also considered the dictionary definition of “processing” and concluded that the “series of events at the Facility of condensing and deodorizing the waste from the small trucks to the 18-wheel long-haul tractors meets the definition of ‘processing.‘”6
C. Appeal to the Board of Zoning Adjustment
The District, on behalf of the Department of Public Works, appealed the OAD‘s decision to the BZA. The District stated that the appeal was being brought pursuant to
The BZA summarized the evidence of record concerning how Perkins secured the certificate of occupancy. The opinion stated that Perkins and his associate, intending to engage in a business involving a solid waste transfer station, searched the
- [Perkins‘] proposed use under Subsection 801.7(j) was also subject to the provisions of Sections 804 and 805 [of the zoning regulations];10
- There is no evidence that [Perkins] submitted information to DCRA to address the external effects issues raised in the Zoning Regulations.
- Proper procedures were not followed in issuing the subject certificate of occupancy.
- The ALJ did not consider these procedures in deciding not to revoke the certificate of occupancy.
Therefore, the BZA concluded that the ALJ‘s decision was in error and that the certificate of occupancy should have been revoked. The BZA determined that Perkins had not submitted the appropriate documentation regarding external effects when he submitted his application and that the ALJ had failed to examine whether the process had been complied with. Accordingly, the BZA reversed the ALJ‘s decision.
On December 26, 1995, Perkins filed a request for reconsideration. In support of the request, Perkins argued that the issue regarding whether he complied with the external effects provision in the regulations was not raised in the Notice of Proposed Revocation and was not an issue before the OAD. Therefore, Perkins contended that the BZA “acted beyond the scope of its authority in addressing it.” In addition, Perkins argued that
[t]he Board need not here rule on whether as a matter of fact [Perkins] complied with the rules governing the standards of external effects. The Board need only rule that the ALJ‘s interpretation below was flawed, for reasons of grammar and logic and because
Upon reconsideration, the BZA adhered to its opinion that the OAD erred in failing to revoke the certificate of occupancy due to noncompliance with the process. The BZA clarified its order as follows:
The Board concludes that the decision of the ALJ is erroneous for the following reasons: The [certificate of occupancy] at issue allows for “light manufacturing, processing, fabricating and warehousing of steel products ...” The ALJ‘s interpretation effectively allows for warehousing of steel products, but light manufacturing, processing and fabricating of anything the operator wishes to handle, simply because the desired use is not specifically delineated in the Zoning Regulations. The Board believes that this interpretation is not logical, that the words “steel products” clearly apply to each of [the] activities listed, not just warehousing.
(Emphasis added.)
II.
Perkins argues that the BZA erred in concluding that his actual use of the premises did not conform to the use permitted by his certificate of occupancy. He contends that the BZA reached a decision contrary to that of the OAD, which found his use permissible, because the BZA failed to interpret properly the language in the certificate of occupancy. Perkins argues that application of the Rule of the Last Antecedent and applicable case law leads to an interpretation supporting his position. The District responds that the referenced rule is one of general statutory construction which is subordinate to other evidence of the intent of the language. It contends that the rule should be disregarded in this case because the BZA‘s interpretation is reasonable, consistent with the natural reading and syntax of the language and with the Zoning Regulations.
The Rule of Last Antecedent provides that “[o]rdinarily, qualifying phrases are to be applied to the words or phrase immediately preceding and are not to be construed as extending to others more remote.” United States v. Pritchett, 470 F.2d 455, 459 (D.C.Cir.1972); see also District of Columbia v. Smith, 329 A.2d 128, 130 (D.C.1974). The rule is not inflexible, and it is not applied if the context of the language in question suggests a different meaning. See Pritchett, 470 F.2d at 459. Here, the language in the certificate of occupancy describing the permitted uses of the property states:
Light Manufacturing, Processing, Fabricating, & Warehousing of Steel Products and Office and Retail Construction Industrial Supplies; All Material Non-Hazardous; Not sexually oriented.
The BZA took the position that the phrase “of Steel Products and Office and Retail Construction Industrial Supplies” modifies each of the four antecedents (i.e., manufacturing, processing, fabricating and warehousing). Thus, it argues that each of these activities had to be related to steel products and office and retail construction industrial supplies, which Perkins’ operations did not. Applying the Rule of Last Antecedent, Perkins argues that “steel products” only modifies “warehousing,” not “processing” or the more remote words. See Pritchett, 470 F.2d at 459. He contends that the other enumerated activities, including processing, would not be understood as being limited to steel products.
In Pritchett, the appellant, an off-duty corrections guard, was convicted for carrying a dangerous weapon (pistol) (CDW) in violation of
Pritchett indicates that the placement of the qualifying phrase is not all controlling, but consideration must also be given to the context and intent of the language. See Pritchett, supra, 470 F.2d at 459. This court made that point in District of Columbia v. Smith, 329 A.2d 128, 130 (D.C. 1974). In Smith, this court was interpreting a statute delineating the limits of the prosecutorial authority of the Corporation Counsel under a statute which then authorized the Corporation Counsel to prosecute
violations of all police or municipal ordinances or regulations and for violations of all penal statutes in the nature of police or municipal regulations, where the maximum punishment is a fine only, or imprisonment not exceeding one year....
329 A.2d at 129 (quoting
[s]aid district court shall have jurisdiction of all controversies where all of the parties on either side of the controversy are citizens or subjects of a foreign State or States, or citizens of a State, Territory, or District of the United States not domiciled in Porto Rico, wherein the amount in dispute exceeds ... $3000.
Id. at 346, 40 S.Ct. 516 (emphasis added.)12 The question presented was whether the italicized language applied to American citizens as well as to aliens. The Supreme Court held that the clause “not domiciled in Porto Rico” should be read to apply to
both aliens and American citizens. Id. In reaching that conclusion, the Court observed that if the clause were doubtful, the construction should be given which effectuates the legislative purpose. Id. at 348, 40 S.Ct. 516 (citations omitted). It concluded that Congress “could not have intended to give the District Court jurisdiction of any controversy to which a domiciled alien is a party while denying under similar circumstances jurisdiction where a domiciled American is a party.” Id. at 349, 40 S.Ct. 516.
Perkins does not challenge that the application of the Rule of the Last Antecedent is dependent upon the context of the statute in question and its legislative history. He contends, however, that there is no legislative history or evidence of intent in the present case to argue against the application of the Rule. He contends that the primary evidence of intent applicable here comes from the BZA itself, as reflected in case law. Perkins relies primarily on Concerned Citizens of Brentwood v. District of Columbia Bd. of Zoning Adjustment, 634 A.2d 1234 (D.C.1993).
In Concerned Citizens, the applicant sought a permit to construct and operate a facility designed “to collect, sort, compact, and transport recyclable waste materials (glass, paper, plastic, steel, and aluminum)” in a C-M district.13 Id. at 1236-37. After filing the application, the Zoning Administrator informed the applicant that the
In determining that the activities at the subject site were permissible under the regulations, the OAD followed the same reasoning used in Concerned Citizens. The OAD considered that non-hazardous commercial and residential waste was hauled into the facility and loaded onto a concrete hanger to be weighed. The waste was then deodorized, compacted and transferred to a tractor-trailer for transport to a landfill outside the district. Relying on the dictionary definition of “processing,” the OAD found that the activities at Perkins’ business property constituted processing within the ordinary meaning of the word.15 Therefore, because the proposed use was generally consistent with the broad description of activities permitted in C-M districts under the zoning regulations at the time, the BZA‘s attempt to restrict that activity to the processing of steel products only is inconsistent with the regulations. As found in the OAD decision, the zoning regulations did not recognize waste transfer facilities, nor was there such a zoning category to choose from when Perkins applied for his certificate of occupancy. None of the certificates of occupancy issued for the other six waste transfer facilities indicated that the use was for “waste transfer” or “trash transfer.”
Considering these circumstances, we conclude that the construction that the District seeks to place on the certificate of occupancy here is contrary to the context and established application of the regulation.16 The Rule of Last Antecedent and the context and established application of the regulation support the interpretation that the processing use permitted by the certificate of occupancy is not limited to steel products. See Smith, supra, 329
We are not unmindful that on appeal, “[t]his court defers to the interpretation by the agency of its own regulations ‘unless plainly erroneous or inconsistent with the regulations.‘” 1330 Connecticut Ave., Inc. v. District of Columbia Zoning Comm‘n, 669 A.2d 708, 714 (D.C.1995) (citations omitted). Therefore, “[a]bsent some compelling indication that the interpretation is erroneous, we are bound by the agency‘s construction of its own regulations.” Id. (citations omitted). In the District, “the Zoning Commission promulgates the regulations, but it is the responsibility of the BZA to interpret the regulations adopted by the Commission.” Keefe Co. v. District of Columbia Bd. of Zoning Adjustment, 409 A.2d 624, 625 (D.C.1979) (citation omitted). Here, however, the BZA‘s interpretations of its regulations are inconsistent in a material respect. Moreover, the court reviews legal questions essentially de novo. Concerned Citizens, supra, 634 A.2d at 1240 & n. 12 (citations omitted).
For the foregoing reasons, the order of the BZA is
Reversed.
FARRELL, Associate Judge, dissenting:
The majority opinion, I believe, confuses the occupancy permit Perkins filed for and received with one he could have applied for and might (though not necessarily would) have received. It is true that “processing” as permitted in C-M districts has been defined broadly by the BZA. See Concerned Citizens of Brentwood v. District of Columbia Bd. of Zoning Adjustment, 634 A.2d 1234, 1242-43 (D.C.1993). Thus, in much the same way as did the applicant in Brentwood, Perkins could have sought permission to operate—as a form of processing—his business of compacting, deodorizing, and transferring non-hazardous waste for shipment.1 At the same time, permission to engage in processing and any other of the uses permitted in C-M districts is “subject to the standards of external effects set forth in [11 DCMR] § 804,”
Perkins, however, did not apply for a permit to process non-hazardous waste. Admitting at the hearing that “we were going to stay away from such words as transfer station, waste, recyclables, anything that would raise a red flag with the government,” he applied for and received a permit to conduct the following business:
Light Manufacturing, Processing, Fabricating, & Warehousing of Steel Products and Office and Retail Construction Industrial Supplies; All Material Non-Hazardous; Not sexually oriented.
He has never contended that “Steel Products and Office and Retail Construction Industrial Supplies” were to be the exclusive, or even a significant, part of the material he would “process” at the site. Instead, he reads these grammatical objects in the permit as qualifying only the verb form “Warehousing,” and the permission to conduct “Processing” as limited only by the exclusion of hazardous materials. The BZA rejected this reading, and
Both textually and as a matter of common sense, the permit appears to limit the named activities (manufacturing, etc.) to the two classes of objects described. If Perkins is right that warehousing alone among those activities is limited to steel products and industrial supplies, one would expect the permit to have made that distinction, perhaps by stating:
Light Manufacturing, Processing, or Fabricating; & Warehousing of Steel Products and Office and Retail Construction Industrial Supplies....
Instead, the direct objects follow a succession of verbs each naming an activity to which the objects naturally relate. Furthermore, it taxes common sense to read the permit as allowing the manufacture, processing, or fabricating of anything non-hazardous (all of which would entail some storage), but warehousing only of the materials specified.2
The “rule of the last antecedent,” discussed at length by the majority, does not assist Perkins because “[w]hen several words are followed by a clause ... as applicable as much to the first and other words as to the last, the natural construction of the language demands that the clause be read as applicable to all.” Porto Rico Ry., Light & Power Co. v. Mor, 253 U.S. 345, 348, 40 S.Ct. 516, 64 L.Ed. 944 (1920). The court rejects the BZA‘s application of that principle as inconsistent with the regulation permitting “processing” (unqualified except—importantly—with regard to “the standards of external effects“). But, as I have said, this confuses the permit granted with one Perkins might have requested but deliberately did not. A regulation authorizing “processing” as such, but hedged with environmental limitations, did not preclude the grant of an occupancy permit requesting lesser authority. We know now what Perkins intended to do with the site, but the Board reasonably understood him to have requested and received permission to do something considerably more limited. The court‘s decision effectively puts the burden on the permit administrators to ferret out the real purpose behind an application artfully drawn to camouflage that purpose.
I respectfully dissent.
GERALD H. SMITH, Appellant, v. UNITED STATES, Appellee.
No. 00-CF-1169.
District of Columbia Court of Appeals.
Argued March 21, 2002. Decided Dec. 31, 2002.
Notes
Light manufacturing, processing, Fabricating, warehousing of steel products and office and retail construction Industrial supplies, All material no[n]-hazardous. Indeed,
Office/Warehouse & Retail of Contractor, Industrial Supplies[.] Not sexually oriented.
On the application, the previous owner proposed the following purpose for the property:
[L]ight manufacturing, processing, fabricating and warehousing of steel products and office and retail of contractor [sic], industrial supplies.
In an earlier certificate of occupancy, issued in either 1965 or 1953, the purpose was:
Light manufacturing, processing, fabricating and warehousing of steel products and office & retail of ammunition limited to 2500 Sq. Ft.
ABC Salvage Corp.[‘s] listed purpose is “Junk Storage Area;” Consolidated Waste Industries, Inc./BFI[‘s] listed purpose is “Sorting & Separating of Recyclable Materials Industrial Processing;” Eastern TransWaste of Maryland, Inc.[‘s] listed purpose is “Trash Hauling & Parking;” Rodgers Brothers Custodial Service, Inc. has two facilities[.][O]ne has its listed purpose as “Temporary Storage all materials are non-Hazardous[;]” the other has “Recycling Bulk Waste Paper[;]” James L. Taylor Trash Removal Contractor, Inc.‘s purpose listed in its original [certificate of occupancy] in 1967 was “Warehouse General Office Building Home Improvement Office.”
all uses established in a C-M District under authority of Subsection 801.7 ... shall be operated so as to comply with the standards of external effects set forth in this section. Subsection 805.1(b) provides that applications for a use under subsection 801.7 requires a description of any operations that would be affected by the standards of external effects as provided in Subsection 804. Section 805.2 provides for the applicant to submit such other information necessary to determine compliance with the provisions of subsection 804.
(1) collection of cans, bottles, plastic containers, and paper; (2) sorting and segregating these materials; (3) compacting the segregated materials into bales; and (4) loading and transporting those bales for sale to recycling facilities outside the District of Columbia. Concerned Citizens, supra, 634 A.2d at 1236.
