Wisconsin's Environmental Decade, Inc. v. Wisconsin Power & Light Co.Wisconsin's Environmental Decade, Inc. v. Wisconsin Power & Light Co.
OPINION AND ORDER
This is a civil action for declaratory and injunctive relief brought pursuant to the Clean Air Act Amendments of 1970,
Facts
Plaintiff is a Wisconsin corporation concerned with the protection and enhancement of the environment. Defendants Wisconsin Power and Light Company, Madison Gas and Electric Company and Wisconsin Public Service Corporation are Wisconsin corporations engaged in the generation, distribution and sale of electricity. Defendant Russell Train is the Administrator of the United States Environmental Protection Agency-
Defendants Wisconsin Power and Light Company, Madison Gas and Electric Company and Wisconsin Public Service Corporation collectively own a steam electric generating unit now under construction in the Town of Pacific in this district, which unit is commonly known as the Columbia Generating Station, Unit 1 (CGS). The CGS will be coal-fired, and capable of operation at greater than 250 million B.T.U. per hour heat input. Defendant Wisconsin Power and Light received permission from the State of Wisconsin Department of Natural Resources to construct the boiler of the CGS on or about September 10, 1972, and commenced actual construction during February, 1973. The combustion of coal in the boiler of the unit will result in the creation of sulfur dioxide which will be emitted into the air through smokestacks in amounts greater than 1.2 pounds per million B.T.U. input for a substantial portion if not all, of the time the unit is in operation. The Wisconsin Implementation Plan, approved by the defendant Administrator on May 31, 1972, pursuant to § 110 of the Act,
“At this time we do not feel that enforcement action under the Clean Air Act is appropriate. This decision has been reached for the following reasons:
2. Regarding enforcement of the Wisconsin State Implementation Plan under Section 113 of the Clean Air Act the state has affirmatively determined that Wisconsin Power and Light has fully complied with all applicable State air regulations.
3. The State has determined that Columbia Generating Station is an existing source under Wisconsin’s Administrative Code (letter attached). Unless there is judicialopinion to the contrary, EPA, as a Federal agency, must take the position that a decision on this matter can only be made by the appropriate Wisconsin agency pursuant to Wisconsin law.”
As relief, plaintiff seeks,
inter alia,
an order requiring the Administrator to notify defendant Wisconsin Power and Light and the State of Wisconsin of the alleged violation of the Wisconsin Implementation Plan and a declaratory judgment stating that the CGS boiler will not meet the sulfur oxide emission limitations of the Wisconsin Implementation Plan and that the failure of the Administrator to so notify defendant Wisconsin Power and Light and the State of Wisconsin violated
Opinion
Plaintiff alleges jurisdiction under the citizen enforcement provision of the Act,
“Except as provided in subsection (b) of this section any person may commence a civil action on his behalf
(2) against the Administrator where there is alleged a failure of the Administrator to perform any act or duty under this chapter which is not discretionary with the Administrator.
The district courts shall have jurisdiction, without regard to the amount in controversy or the citizenship of the parties, to enforce such an emission standard or limitation, or such an order, or to order the Administrator to perform such act or duty, as the case may be.” 2
Plaintiff contends that the Administrator had a non-discretionary duty under § 113 of the Act,
“Whenever, on the basis of any information available to him, the Administrator finds that any person is in violation of any requirement of an applicable implementation plan, the Administrator shall notify the person in violation of the plan and the State in which the plan applies of such finding. If such violation extends beyond the 30th day after the date of the Administrator’s notification, the Administrator may issue an order requiring such person to comply with the requirements of such plan or he may bring a civil action in accordance with subsection (b) of this section.”
Defendant Train seeks dismissal on two grounds: (1) that the duty of the Administrator to give notice of a violation of a state plan is a discretionary one and therefore may not be enforced by a suit brought pursuant to
Defendant Train construes the complaint to allege a violation of the duty to
In the following portion of this opinion, I will consider (1) whether subject matter jurisdiction exists with respect to plaintiff’s claim that the Administrator failed to issue the notice required by
I
The Clean Air Act Amendments of 1970,
The enforcement of a state plan by the Administrator under
Defendant Train cited case law suggesting that the presence of the word “shall” in a statute does not always mean that the performance of the particular act or duty described is not discretionary. While I do not dispute that proposition, I consider that the word “shall” is most commonly an indication that the performance of the act or duty described is intended to be mandatory, especially where, as here, there follows a sentence describing another act and using the permissive “may.” Unless there is evidence of Congressional intent to the contrary, I must consider the act of issuing notices of violation to be one the performance of which is not discretionary with the Administrator. Defendant Train has provided no such evidence, relying instead on case law regarding prosecutorial discretion. I do not believe this case law to be controlling in the instant case, in which the relief sought is not a prosecution or enforcement action, with all their attendant commitment of governmental resources, but rather the issuance of a notice of violation.
Neither does the legislative history of the Clean Air Act Amendments of 1970 support an interpretation other than that which is suggested by a literal reading of the statute. The version of
“where there is alleged a failure . to exercise (i) his authority to enforce standards or orders established under this Act; or (ii) any duty established by this Act.” S. 4358, 91st Cong., 2d Session (1970). Sen. Rep. 91-1196 at 122-23.
The committee report on the Senate bill reveals that the citizen enforcement provision was inserted in response to a widespread sentiment that earlier efforts to control air pollution had been unsuccessful because of less-than-diligent enforcement by government agencies. 6 Suits were authorized against the Secretary as well as against alleged violators of the Act and of state plans so that citizen enforcers would not have the burden of going forward with the entire action. Sen.Rep. 91-1196 at pp. 38-39. 7
Section 116 of the Senate Bill set forth the Secretary’s responsibility in the enforcement process. It required the Secretary to issue an abatement order, and to institute a civil action if that order was not complied with, whenever he found that a plan had been violated and that, in his judgment, the state had
Some legislators and then Secretary of Health, Education and Welfare Richardson, in commenting on the Senate Bill, expressed a fear that suits brought against the Secretary to require him or her to pursue a particular enforcement action might have the effect of distorting the agency’s enforcement priorities. See Steinberg, “Is the Citizen Suit Provision a Substitute for Class Actions in Environmental Litigation? An Examination of the Clean Air Act of 1970 Citizen Suit Provision”, 12 San Diego L. Rev. 107, 135 (1974). In response to this criticism, the Conference Committee altered the citizen enforcement provision to limit suits against the Administrator to those alleging a failure to perform duties which were mandatory under the Act. H.R.Rep. No. 91-1783, 91st Cong., 2d Session (1970) at p. 56, U.S.Code Cong. & Admin.News, 1970, p. 5374. However, at the same time the provision for federal enforcement of state implementation plans was liberalized so that the Administrator could enforce a plan without first finding that the state was not adequately administering its plan.
This history indicates that the Conference did consider the undesirable effects that a provision permitting citizens to sue the Administrator might have on the Agency’s efforts to efficiently allocate its resources, but still found a need to provide a mechanism to challenge sluggish enforcement by the Agency. The compromise struck in Conference permits only those suits which seek to compel the Administrator to perform duties which are not discretionary. In the ease of the enforcement of implementation plans, the result of this compromise is to permit suits seeking to require the Administrator to issue a notice of violation but not those seeking to require him or her to insititute a civil action.
Defendant has cited Kentucky v. Ruckelshaus,
“A reading of section 113(a)(1) reveals that the Administrator shall give notice to persons in violation of the plan, but that he may thereafter issue an order or bring an action under subsection (b). . . . Section 113(b) uses only the discretionary ‘may’; the mandatory ‘shall’ does not appear. . . . ”497 F.2d at 1177 .
II
Neither the words nor the legislative history of
“In case of a violation of any requirement of a State implementation plan, the Administrator is to notify the State in which the violation occurs as well as the violator. If the violation extends beyond the thirtieth day after notification, the Administrator may issue an order requiring compliance by such person or may bring court action against such person. . . . ” H.R.Rep. No. 91-1783, 91st Cong., 2d Session (1970) at pp. 47-48, U.S.Code Cong. & Admin.News, 1970, p. 5380.
This language, while perhaps suggesting that Congress assumed that the Administrator would make a finding, is certainly not dispositive. Nonetheless, having determined that the Administrator’s duty to issue a notice of violation is not discretionary, I must also conclude that when presented with evidence indicating that a violation may exist, the Administrator must make a finding that a violation does or does not exist. Because I consider that Congress made a deliberate decision that the duty to issue notices of violation should be non-discretionary, I cannot accept an interpretation of the language of
Ill
Whether this court may review a finding of the Administrator that an implementation plan has not been violated is a more difficult question. The language of
Following the enactment of
Nonetheless, from the legislative history discussed earlier in this opinion, it appears that
I turn now to defendant Train’s motion to dismiss for failure to state a claim upon which relief can be granted, now considered a motion for summary judgment.
The letter in which the Environmental Protection Agency stated that enforcement action was not appropriate, read most favorably to the plaintiff, indicates that the Administrator did not make an independent determination of whether a violation of the state’s plan existed, but rather considered himself bound by the state’s interpretation of its plan. If the state’s interpretation of its plan is indeed binding on the Administrator under the circumstances present in the instant case, the Administrator’s duty to determine whether a violation exists either would not have arisen or would have been discharged by the statements made in the letter to plaintiff. On the other hand, if the Administrator is not bound by the state’s interpretation of its plan in the circumstances present in the instant case, the letter to plaintiff would not have discharged his obligation to make a finding, and a genuine issue would remain in this lawsuit regarding the material fact of whether this duty had been discharged in some other way.
It has been suggested that since the Act preserves the right of the states to adopt any standards so long as they are adequate to meet the national standards in a timely fashion,
It is also notable that House Bill 17255 expressly did not permit the Administrator to enforce a plan unless it appeared that, as a result of the state’s failure to enforce its plan, an ambient air quality standard established by the Administrator would not be met. In its final form, the Act did not adopt this limitation, again suggesting that, although the states might be permitted significant leeway in the adoption of their plans, once adopted the scheme of the Act would require the state either to follow the plans closely or to revise them following public hearings, even if less stringent requirements would permit na
Nonetheless, because the states have the primary enforcement responsibility for their plans, I am of the opinion that they should be permitted some leeway in the interpretation of those plans. I do not think it unreasonable to require plaintiffs to appeal pursuant to § 1857h-5 the Administrator’s approval of a state plan if any construction which could reasonably be anticipated would result in a failure to meet the national ambient air quality standards. I conclude, therefore, that although the Administrator is obligated to make an independent determination of whether or not a state’s plan has been violated in a particular instance, he or she should defer to the interpretation of the plan advanced by the state insofar as he or she concludes that the state’s interpretation of its plan is a reasonable one which does not make the plan inconsistent with the Act. In order to discharge his obligation under
However, because I have concluded that I may not, pursuant to
Order
It is hereby ordered that
(1) The motion of defendant Train to dismiss this action for lack of jurisdiction over the subject matter is
(a) denied with respect to plaintiff’s claim that defendant Train violated his duty to give notice pursuant to42 U.S.C. § 1857c-8 ;
(b) ' denied with respect to plaintiff’s claim that defendant Train violated his duty to make a finding pursuant to42 U.S.C. § 1857c-8 ; and
(c) granted with respect to plaintiff’s claim that defendant Train made an incorrect finding that no violation of the Wisconsin Implementation Plan existed.
(2) The motion of defendant Train to dismiss this action for failure to state a claim upon which relief can be granted is
(a) denied with respect to plaintiff’s claim that the Administrator failed to make a finding pursuant to42 U.S.C. § 1857c-8 ; and
(b) granted with respect to plaintiff’s claim that the Administrator violated his duty to give notice pursuant to42 U.S.C. § 1857c-8 .
Notes
. The Wisconsin Administrative Code includes the following definition:
“New Source: Any affected facility the construction or modification of which is commenced after the effective date of these rules.” NR 154.01(19).
The effective date of the regulations was April 1, 1972.
. This provision is just one aspect of a complex enforcement scheme, which also includes several mechanisms by which certain actions of the Administrator (as distinguished from failures to act) may be challenged. For example, the promulgation of most national standards may be reviewed only in the United States Court of Appeals for the District of Columbia; review of the promulgation or approval of a state’s implementation plan may be had in the United States Court of Appeals for the appropriate circuit.
. Primary standards are those which the Administrator considers necessary to protect the public health; secondary standards are those which the Administrator believes necessary to protect the public welfare from known or anticipated adverse effects associated with that pollutant.
. Plans must provide for primary standards to be attained in no more than three years and secondary standards to be attained in a reasonable time.
. The administrator of the Environmental Protection Agency was substituted for the Secretary in the final version of the bill.
. The report stated:
“Government initiative in seeking enforcement under the Clean Air Act has been restrained. Authorizing citizens to bring suits for violations of. standards should motivate governmental agencies charged with the responsibility to bring enforcement and abatement proceedings.” Sen. Rep. 91-1196, pp. 36-37.
. That report commented at pages 38-39: The Committee bill would provide in the citizen suit provision that actions will lie against the Secretary for failure to exercise his duties under the Act, including his enforcement duties. The Committee expects that many citizen suits would be of this nature, since such suits would reduce the ultimate burden on the citizen of going forward with the entire action.
. The Senate Report described that section as follows:
If the Secretary should find that a State or local pollution control agency is not acting to abate violations of implementation plans or to enforce certification requirements, he would be expected to use the full force of Federal law. Also, the Secretary should apply the penalty provisions of this section to the maximum extent necessary to underwrite the strong public demand for abatement of air pollution and to enforce compliance with the provisions of the Act.
Sen.Rep. 91-1196 at p. 97.
. Some courts appear to have adopted this ■ approach, although few have articulated it. The Court of Appeals for the District of Columbia Circuit, for example, in treating actions seeking affirmative relief frequently applies the same considerations as would be applicable had the action been brought pursuant to a statutory review provision. See Byse & Fiocca, “
. The intent of
“Nothing in this section shall restrict any right which any person (or class of persons) may have under any statute or common law to seek the enforcement of any emission standard or limitation or to seek any other relief (including relief against the Administrator or a State agency).”
Thus, there might be alternate causes of action and jurisdictional bases on which review of a negative finding, or, in some circumstances, a failure to make a finding which is the equivalent of a negative finding, could rest. For example, review might be sought under the Administrative Procedure Act, (APA),
In the instant case, there is no statutory prohibition on review of the Administrator’s finding that a violation does not exist. Nor can it be said that there is clear and convincing evidence of the legislature’s intent to restrict review;
.
. It may be that in some circumstances the failure of the Administrator to make a finding would be the equivalent of a negative finding, and therefore reviewable pursuant to some statute other than the Clean Air Act.
See
note 10,
supra.
For example, in Envir. Defense Fund, Inc. v. Hardin,
“We find it unnecessary to decide whether petitioners could have obtained relief from the district court, since the availability of that extraordinary remedy for the failure of an officer to perform his statutory duty need not bar statutory appellate review of his failure to act, when exigent circumstances render it equivalent to a final denial of petitioner’s request.”428 F.2d at 1098 .