OPINION OF THE COURT
Petitioner operates a mining operation and cement manufacturing facility on approximately 2,000 acres of land in Albany County. It has been in business at that location since 1961 and its operation is one of the largest of its type in the United States. Petitioner employs approximately 500 people and its product is distributed throughout the entire market east of the Mississippi River.
In 1974, the Legislature enacted the New York State Mined Land Reclamation Law (MLRL) (L 1974, ch 1043). Effective in 1975, the MLRL required mine operators to obtain a permit from respondent Department of Environmental Conservation (DEC) in order to continue mining (ECL 23-2711). In that year, petitioner submitted a detailed application which included, among other things, maps of the entire area owned, mining plans, reclamation plans and the required reclamation bond. The application was approved and a permit was issued. Since permits are only issued for periods of one or three years (ECL 23-2711 [3]), petitioner subsequently applied for renewal of its permit.
In response to petitioner’s 1978 renewal application, DEC requested that a long-form environmental assessment form (EAF) be submitted. This request was based upon the provisions of the newly enacted State Environmental Quality Review Act (SEQRA) which had become effective in 1976 (L 1975, ch 612). Although petitioner protested the application of SEQRA requirements to it, it nevertheless submitted the requested information. DEC issued a "negative declaration”, i.e., a determination that petitioner’s activities would not have
Petitioner’s renewal was approved in 1981 without major incident. On June 11, 1984, DEC received from petitioner the standard renewal application, accompanied by the required fee and reclamation report. TVenty-eight days later, on July 9, 1984, DEC issued a notice of incomplete application indicating that petitioner’s application would have to undergo SEQRA review. DEC also sought additional information under its so-called "Life of the Mine Review Policy”, which purportedly was based upon various requirements of SEQRA and MLRL.
In April 1985, following petitioner’s refusal to provide the additional information, DEC issued a positive declaration under SEQRA, thus requiring petitioner to prepare a draft EIS. DEC then notified petitioner that if the additional submittals were not made by May 1, 1985, its permit renewal application would be denied as incomplete. On April 30, 1985, petitioner commenced the instant CPLR article 78 proceeding challenging the authority of respondent Commissioner of Environmental Conservation to impose the life of the mine review policy, the application of SEQRA to its permit renewal and the denial of its application for renewal. On May 23, 1985, DEC denied petitioner’s renewal application upon the ground that it had failed to submit the requested additional information (see, ECL 70-0117 [2]; 6 NYCRR 621.14 [b]). Thereafter, petitioner’s article 78 proceeding was heard by Special Term. The court held that DEC’s denial of the renewal application on the ground that it was incomplete was illegal, arbitrary and capricious. The court’s holding was based primarily on its determination that petitioner’s application must be "deemed complete” since DEC failed to notify petitioner within 15 days of receipt of the application that more information was needed (see, ECL 70-0109 [1]). The court also found, in footnotes, that the Commissioner lacked the power to invoke the life of the mine review policy without authorizing legislation; that petitioner’s mining activities were grandfathered under SEQRA and, consequently, petitioner was not required to submit an EIS; and, finally, that DEC had already determined that the operation would have no significant environmental impact. Special Term therefore entered a judgment granting the petition to the extent of annulling DEC’s determination denying petitioner’s renewal application and remitted the matter
It is important to note at the outset of our analysis that this dispute involves the renewal of a permit, not an initial application for a permit. Generally, in the absence of a material change in conditions or evidence of a violation of the terms of the permit, a renewal should be granted without unduly burdening the applicant (see, ECL 70-0115 [2]; 6 NYCRR 621.12 [3]; cf , ECL 23-2711 [8], [9]; 30 USC § 1256 [d]). This policy is consistent not only with analogous permit and license renewal procedures in other areas of law (see generally, 12 NY Jur 2d, Business and Occupations, § 1, at 444-445), but also with the express intent of the Legislature to "foster and encourage the development of an economically sound and stable mining and minerals industry” (ECL 23-2703 [1]). To require burdensome information at each renewal, which occurs every one or three years, would create destabilizing uncertainty and additional expense upon the mining industry.
The first issue posed by respondents for consideration is whether Special Term erred in ruling that DEC could not request additional information about petitioner’s renewal application after the date that the application was statutorily deemed complete. It is undisputed that the uniform procedures prescribed by ECL article 70 apply to petitioner’s renewal application (see, ECL 23r2711 [2]; 70-0107 [3] [i]). ECL 70-0109 (1) (b) provides that "[i]f the department fails to mail written notice to an applicant of its determination whether or not an application is complete within such fifteen calendar day period, the application shall be deemed complete”. The interpretation of this statute is significant since petitioner’s permit renewal application was received by DEC on June 11, 1984 and DEC did not issue a notice of incomplete application until July 9, 1984, well over the 15-day limit for DEC to respond. Nevertheless, DEC argues that this does not preclude it from seeking additional information. While DEC’s argument seems on its face to belie the commonsense meaning of "complete”, a closer analysis of the statutory language and its history is necessary to resolve this issue.
This appears to be the first appellate court interpretation of ECL 70-0109 (1) (b); thus, it is instructive to review the
We see no reason to defer to DEC’S interpretation here. Interpretation of these statutes involves statutory reading and analysis, and the accurate apprehension of legislative intent. As is discussed below, ECL 70-0109 (1) (b) was enacted in part to ensure that DEC acted promptly on applications. Since an intent of the statute was to regulate DEC, it would be inconsistent with the goal of ECL 70-0109 (1) to defer to DEC’S interpretation of the statute.
While the statutory language appears quite clear on its face, we are cognizant of the oft-stated observation that the absence of facial ambiguity is not always conclusive and that consideration should be given to legislative intent (see, e.g., Zappone v Home Ins. Co., 55 NY2d 131, 137; Matter of Burrows v Board of Assessors, 98 AD2d 250, 253, mod 64 NY2d 33). Turning to
Under ECL article 70, however, it is clear that the determination that an application is complete (either affirmatively by DEC or by operation of ECL 70-0109) does not preclude DEC from requesting supplemental information during the course of review of the application (see, ECL 70-0105 [2] ; 70-0117 [2]). The failure to produce the requested supplemental information provides a basis for denial of an application (ECL 70-0117 [2]). The apparent purpose for allowing DEC to request supplemental information after the application is complete is to remove from the agency the difficult task of projecting within 15 days of receiving an application all of the possible information which it would need in reviewing the application. The fact that DEC is allowed to request supplemental information, however, cannot be read to authorize the type of information sought by DEC here. Petitioner submitted a renewal application pursuant to the requirements of the MLRL (ECL 23-2711 [8]; see, 6 NYCRR part 421) in the same
Respondents also challenge on this appeal Special Term’s holding that DEC lacked power to invoke its life of the mine review policy. Respondents contend that the life of the mine review policy, which is outlined in an internal DEC memorandum, is not an improperly promulgated rule or regulation but merely a request for information that it is authorized to seek pursuant to SEQRA and MLRL. A review of respondents’ argument reveals that they rely heavily on certain provisions in SEQRA to justify their life of the mine review policy. It is thus relevant, in determining whether the life of the mine review policy can be enforced against petitioner, to address petitioner’s argument that its activities are "grandfathered” under SEQRA.
It is undisputed that ECL 8-0111 (5) (a) excludes certain actions commenced prior to the effective date of SEQRA from the requirements of ECL 8-0109 (2) (see, Matter of Northeast Solite Corp. v Flacke, 91 AD2d 57). The Court of Appeals has indicated, in dictum, that proof of a substantial change in the level of operations may be sufficient to negate the grandfather provisions of SEQRA even if the basic nature of the activity remains unchanged (Matter of Salmon v Flacke, 61 NY2d 798, 800). Respondents argue that, although petitioner’s action was approved prior to the effective date of SEQRA, an EIS is
Having determined that petitioner’s activities are grandfathered under SEQRA, it follows that DEC’s positive declaration and request for an EIS were unlawful. Further, to the extent respondents’ life of the mine review policy relied on SEQRA, it was unlawful as applied to petitioner. Respondents also rely on the MLRL to justify the information sought upon petitioner’s renewal. We note, however, that the principal sections cited by respondents as providing authority for the information sought (see, e.g., ECL 23-2713) pertain to the issuance of new permits and not renewal permits. We cannot extrapolate from the MLRL the authority for DEC to seek all the information required by its life of the mine review policy. Accordingly, we agree with Special Term’s decision that respondents have failed to show that they are authorized to require petitioner to provide the information sought under their life of the mine review policy.
Finally, we turn to petitioner’s assertion, on its cross appeal, that Special Term erred in failing to direct DEC to renew its mining permit. The arbitrary refusal of an agency to renew a permit can be remedied through mandamus (see, Matter of Small v Moss, 277 NY 501, 507; Matter of Filmways Communications v Douglas, 106 AD2d 185, affd 65 NY2d 878). However, if the record fails to establish a clear right to the relief sought, the matter should be remitted to the agency for
Mahoney, P. J., Main, Mikoll and Yesawich, Jr., JJ., concur.
Judgment affirmed, without costs.
Respondents’ argument, raised in a footnote in their brief on this appeal, that the application should not be deemed complete because it was not "in a form prescribed by the department” (ECL 70-0109 [1] [a]), was not raised at Special Term and is thus precluded from appellate review.
