PHOENIX ROOFING, INC., Petitioner, v. Elizabeth DOLE, Secretary of Labor, and Occupational Safety and Health Administration, Respondents.
No. 88-4492.
United States Court of Appeals, Fifth Circuit.
June 9, 1989.
874 F.2d 1027
The HDNI forbids ports from charging for emergency response services “in conjunction with” harbor improvement projects until after the projects are completed. The Act explicitly authorizes non-federal ports to recoup those costs by charging after the harbor improvement is finished. This explicit permission does not establish that Congress intended to deny nonfederal ports the authority to impose fees for services performed when no covered harbor improvement project has been undertaken. The decision of the district court is AFFIRMED.
Our interpretation receives further support from the kinds of fees not mentioned in Section 2236. Fees for other services, such as wharfage and pilotage, attach to individual ships; they are not “port or harbor dues” governed by Section 2236.64 Section 2211, which outlines cost-sharing obligations for projects built by the federal government, requires nonfederal ports to provide lands, easements, rights-of-way, relocations, and dredged material disposal sites;65 the federal government credits these expenses toward other cost-sharing obligations,66 thereby subsidizing them. As we concluded, Section 2236(a)(1)(B) allows the marketplace to pay the only fees not discussed in Section 2211; Section 2240 provides a governmental subsidy for any shortfalls.
IV
If ships receive a service they pay for, fees charged by a nonfederal port authority are constitutional. NOSA‘s attacks based on the dormant and foreign commerce clauses, on the tonnage clause, on the import-export clause, and on the statute admitting Louisiana to the Union fail on this principle.
Robert E. Rader, Jr., Dallas, Tex., for petitioner.
Patrick D. Gilfillan, Barbara E. Kahl, Ann Rosenthal, Ray H. Darling, Executive Secretary, OSHRC, Washington, D.C., James A. Wirz, Office of the Solicitor, Atty. for Secretary of Labor, U.S. Dept. of Labor, Dallas, Tex., for respondents.
Before GARWOOD, JONES, and SMITH, Circuit Judges.
The petitioner in this case contests a citation issued by the Occupational Safety and Health Administration (OSHA) for an asserted violation of certain safety regulations. Our task is twofold: On the one hand, we must determine at what point the
I. Factual and Procedural Background.
The determinative facts in this case are not complicated. Petitioner Phoenix Roofing, Inc. (“Phoenix“), was reroofing a building at Dallas‘s Love Field Airport at the time the citation was issued. The roof measured 350 feet by 150 feet. However, work was performed to completion on sections measuring only 24 feet by 32 feet. Each section was subjected to a three-phase process.
There is no dispute that Phoenix complied with all appropriate regulations through the first and most of the second phases of work on the section in question. However, OSHA contends that Phoenix failed to meet fall-protection requirements near the completion of the second phase and during the third phase.
Phoenix admits that it was in technical noncompliance with the regulations during the third stage because of its use of monitors as the sole safety device. It contends, however, that the employment of any of the conforming methods at this point was either infeasible or would have created additional dangers because the work involved the pouring of hot asphalt. Phoenix also denies that there was sufficient evidence indicating a violation during phase two.
OSHA cited Phoenix for its use of monitors as an exclusive safety device, pursuant to
II. Standard of Review.
We must uphold the ALJ‘s findings of fact if they are “supported by substantial evidence on the record considered as a whole.”
In interpreting administrative statutes and regulations, we accord great deference to those officers and bodies charged with their administration. Brock v. Schwarz-Jordan, Inc., 777 F.2d 195, 196 (5th Cir. 1985) (per curiam). Ordinarily, we will reverse on such matters only upon finding a plain error or an inconsistency with the regulation‘s purpose. United Steelworkers of Am. v. Schuylkill Metals Corp., 828 F.2d 314, 319 (5th Cir. 1987) (citing Udall v. Tallman, 380 U.S. 1, 16-17 (1965)).
III. Violation of 29 C.F.R. § 1926.500(g)(1) .
In order to comply with
Under the regulations, such a safety system is acceptable as an exclusive safety measure only as to work on a roof less than 50 feet in total width.
Phoenix acknowledges this consideration but argues that it constructively complied with the requirements in that the roof section it was working on was without question less than 50 feet wide, so that workers were never spread over an area of more than 50 feet. Moreover, Phoenix maintains, apparently without contradiction from OSHA, that it was physically impracticable or impermissible under Federal Aviation Administration regulations to use any of OSHA‘s approved methods during phase three because of the characteristics of the building and the type of work being performed.3
Finally, Phoenix reminds us that safety monitors are a permissible form of protection for employees working within 6 feet of the edge where only a warning line is in place. Here, the citation was issued based upon the compliance officer‘s observation of employees working 4 feet from the edge.4 Thus, even though there was no
While it is evident that Phoenix was in compliance with the spirit of the regulations, and that the safety measures taken equaled or exceeded the protections afforded by the approved methods, we nevertheless cannot reverse on such a basis.7 This is because as a matter of undisputed fact, Phoenix‘s actions did violate OSHA‘s interpretation of the regulation that the entire roof, rather than the effective work area, must be measured in determining the applicability of the 50-foot convention.
Moreover, under the above standard of review, we are not free to overrule this plain-meaning interpretation and substitute our own. See Austin Commercial v. OSHRC, 610 F.2d 200, 201 (5th Cir. 1979) (per curiam); Diamond Roofing Co. v. OSHRC, 528 F.2d 645, 649 (5th Cir. 1976). Section 1926.500(g)(1)(iii) explicitly provides that the width of the “roof” controls; section 1926.502(p)(6) defines “roof” as “the exterior surface on the top of a building.” Phoenix‘s common-sense argument that “work area” width should control simply cannot be sustained once OSHA has chosen to issue citations based upon the literal wording of the regulation.
It would also be improvident for us to overrule OSHA‘s interpretation of its regulations, for to do so would send employers the message that they could ignore the obvious mandates of the safety regulations and independently determine what, if any, measures should be undertaken in a given situation. In this case, we are satisfied that the measures taken provided protection equal to or greater than those required by regulation.8 In its brief on appeal, OSHA does not appear to contend otherwise. However, under our settled precedent, “an employer must follow the law even if it has a good faith belief that its own policy is wiser.” RSR Corp. v. Brock, 764 F.2d 355, 363 (5th Cir. 1985).
IV. De Minimis Classification.
A violation of the Occupational Safety and Health Act of 1970 (the “Act“) is designated as serious, not serious, or de minimis. See Brennan v. Butler Lime & Cement Co., 520 F.2d 1011, 1019 n. 10 (7th Cir. 1975). “Absent ... a direct, immediate nexus between noncompliance and employee safety or health, a violation of an OSHA standard may be classified as de minimis the regulations without regard for any possible safety differentials. In any event, we note that this testimony is irrelevant, as the instant citations were issued based upon the compliance officer‘s observation of employees working near the edge of the roof, for whom a warning line could offer no protection. As discussed supra, these workers could have, and would have, been protected by monitors even if a warning line were in place to protect other employees who were more than 6 feet from the edge. Hence, in theory the remote possibility of human error would have been at least equal in both cases. In reality, the possibility of human error was undoubtedly reduced by Phoenix‘s use of at least 2 monitors. See supra note 6.
Despite Phoenix‘s convincing argument that its violation was purely technical at worst and created no additional safety risk, the ALJ found it to be “serious” and deserving of penalties. Phoenix concedes that a de minimis citation, rather than no citation at all, may have been appropriate but asserts that the “serious” designation is uncalled for here. We agree with Phoenix and reverse the agency‘s determination, based upon our conclusion that the ALJ applied an improper legal analysis.
There are, conceptually, at least three circumstances under which a violation may be considered de minimis: (1) Where no injury will result, or any injury will be minor;9 (2) where the possibility of injury is remote;10 or (3) where there is no significant difference between the protection provided by the employer and that which would be afforded by technical compliance with the standard.11
In this case, we need consider only the third type of de minimis classification. The compliance officer acknowledged that Phoenix‘s use of monitors, given the less-than-50-foot-wide work area, at least equaled the protection that would have been provided by using warning lines in compliance with the standard. Moreover, as discussed supra, the citation was based only upon the compliance officer‘s observation of employees working near the edge of the roof who, under the regulations, could have been protected by monitors. The additional presence of a warning line would be only for the protection of employees working further from the perimeter. The ALJ nonetheless denied de minimis classification, based upon the likely seriousness of an injury caused by any fall.
We have no doubt that such an injury indeed would be serious or fatal. However, it would still be exactly the same type of injury that would occur with equal or greater frequency using warning lines. Here, the protections which Phoenix employed provided safety equal to or greater than that imposed by regulation. Accordingly, we conclude that a de minimis classification is not only appropriate but required as a matter of law by OSHA‘s own precedent.
To affirm the denial of a de minimis classification in this case would prevent the use of such a designation in any case in which serious injury is possible, regardless of whether compliance with standards would fail to provide better protection.12 The de minimis category thus
Notes
In Clifford B. Hannay & Son, Inc., 6 O.S.H.Cas. (BNA) at 1337-38, OSHRC held that a violation was de minimis despite the possibility of an explosion causing serious injury or death. The basis for that conclusion was that the electrical equipment used by the employer provided as much protection as technical compliance with the standard would have. Likewise, in Charles H. Tompkins Co., OSHRC reviewed a violation where the potential danger presented was a thirty-foot fall that obviously could cause serious injury or death. Concluding that “climbing safety was not appreciably diminished by the additional distance be- of work being performed. None of the above cases involved any effective alternative employer safety measures. Instead, the employers relied exclusively upon the argument that, although an injury-causing accident was possible because of the violation, it was not probable. Where, as here, an injury would be equally or more probable had the employer complied, a designation of the violation as “serious” is not required and in fact makes no sense.
tween the rungs” of a scaffold buck as compared to a ladder, OSHRC found the violation to be de minimis. 6 O.S.H.Cas. (BNA) at 1047 (emphasis added).14
Given the admissions made by the compliance officer and the fact that the citation was based upon that officer‘s observation of employees working near the edge of the roof, we find the instant case to be indistinguishable from Hannay and Tompkins and their progeny. Accordingly, we reverse the denial of the de minimis classification and hold that Phoenix‘s violation is de minimis as a matter of law, as it did not “appreciably diminish” the workers’ safety and in fact probably enhanced it.15
OSHA argues forcefully that RSR Corp. v. Brock and Bunge Corp. v. Secretary of Labor are to the contrary. We cannot agree. In RSR we emphasized that employers are not free to make independent safety determinations. 764 F.2d at 363. However, our analysis there went only to the existence of a violation, rather than to whether an acknowledged violation should be characterized as de minimis or serious. These are two separate issues that are not, and should not be, subject to the same considerations. To say that an employer commits a violation when it knowingly con-
We are similarly unpersuaded that Bunge applies to this case. There, we considered the issue of grain-dust accumulations, in violation of housekeeping regulations, that presented the hazard of a possible explosion. As we have observed, supra note 12, we held this condition to be a serious violation based upon the substantial probability that death or serious injury would result should such an accident occur. In so holding, we emphasized that “the seriousness of the violation depends on the hazard produced by the condition.” 638 F.2d at 834. In that case, absent the violation there was no hazard at all, as the employer had not undertaken any alternative safety measures. Thus, the condition without question produced the hazard.
The instant case is patently distinguishable. Here, the condition in violation of the regulations did not produce any additional hazard—a requirement that is implicit in the above language from Bunge—and therefore should not have been considered a serious violation. Bunge stands only for the proposition that where a condition creates a hazard that may cause death or serious injury, a “serious” designation is warranted even if the possibility of such injury is remote; but, where, as in this case, the condition cannot be said to have created an additional hazard, the Bunge logic does not apply.17
V. Conclusion.
For the aforementioned reasons, the petition for review is denied as to the finding of a violation but granted as to the de minimis classification and the imposition of penalties. This may very well be a case in which OSHA, in its discretion, should not have issued a citation. Under the facts presented here, where the company has acted in good faith to achieve the purpose of the regulations—to ensure workers’ safety—enforcement at more than a de minimis level arguably would constitute what we have denounced, in a different context, as “regulation ad absurdum.” American Petroleum Inst. v. Environmental Protection Agency, 787 F.2d 965, 972-73 (5th Cir. 1986). In fact, the de minimis category appears particularly well-tailored to circumstances such as this. But while we emphasize the pointlessness of overzealous, hypertechnical enforcement of OSHA standards, we also stop far short of suggesting to employers that they are free to disregard regulations and make their own safety evaluations. Under only limited circumstances, such as those here, may an employer fail to comply with safety regulations and avoid the consequent penalties.
AFFIRMED IN PART; REVERSED IN PART.
GARWOOD, Circuit Judge, dissenting:
While I agree with much of the cogent majority opinion, I am unable to concur in its ultimate holding that the particular vio-
The majority concludes that this is a situation where there is no significant difference between the protection provided by the employer and that afforded by technical compliance with the regulations, which required the presence of a warning line system. It seems to me that it was the employer‘s burden to prove that the presence of a warning line would not have diminished the risk of falling off the roof and that, at most, the employer may have created a fact issue in this respect, which should have been, but was not, resolved by the administrative law judge.
The compliance officer‘s testimony is consistent with the commonsense observation that a warning line has the potential advantage over monitors in that the monitors may from time to time be distracted or inattentive.1
I readily concede that the warning line would not enhance safety for those employees working outside of it. It is also true that the employees, whom the compliance officer testified she observed, were then working near the edge of the roof in areas which would have been outside of a properly placed warning line. But it seems obvious that the employees worked not only along the edge of the roof, but also on the portions of the roof which would have been protected by a proper warning line. There is no suggestion that the employer maintained a warning line until the work was completed up to those parts of the roof within six feet of the edge.
The relevant standard violated here was that provided in
Accordingly, I respectfully dissent.
JERRY E. SMITH
UNITED STATES CIRCUIT JUDGE
