Dunlop v. Rockwell International

540 F.2d 1283, 4 BNA OSHC 1606
CourtCourt of Appeals for the Sixth Circuit
DecidedAugust 26, 1976
DocketNo. 75-1672
StatusPublished
Cited by23 cases

This text of 540 F.2d 1283 (Dunlop v. Rockwell International) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Dunlop v. Rockwell International, 540 F.2d 1283, 4 BNA OSHC 1606 (6th Cir. 1976).

Opinions

CELEBREZZE, Circuit Judge.

This action is before the Court pursuant to 29 U.S.C. § 660(b), which authorizes the Secretary of Labor (hereinafter “Secretary”) to petition for either review or enforcement of any final order of the Occupational Safety and Health Review Commission (hereinafter “Commission”).

In January of 1973, Rockwell International Corp. (hereinafter “Rockwell”) was operating a plant in Ashtabula, Ohio. One of the machines in the plant, grinder # 048, was utilized for removing excess amounts of lining material from brake shoes. Much of the materials and products shipped to and from the plant traveled in interstate commerce. Rockwell thus had to comply with the Occupational Health and Safety Act of 1970, 29 U.S.C. §§ 651-678 (hereinafter “the Act”), and the regulations promulgated thereunder by the Secretary. The Act’s purpose is “to provide for the general welfare [and] to assure as far as possible to every working man and woman in the Nation safe and healthful working conditions and to preserve our human re[1285]*1285sources.”1 The Act authorizes the Secretary to set health and safety standards, to conduct inspections, and to issue citations and proposed penalties. The Commission is established as an independent agency authorized to carry out the adjudicatory functions arising out of enforcement of the Act and is empowered to issue orders, based on findings of fact, “affirming, modifying, or vacating the Secretary’s citation or proposed penalty, or directing other appropriate relief. . . .”2

One of the health and safety standards promulgated by the Secretary, 29 CFR § 1910.93a, delineates the allowable number of asbestos fibers in the breathing zone of an employee at peak periods and during an eight-hour workday. Based on the results of an inspection by the Secretary conducted on January 23, 1973, a citation charging a serious violation of the asbestos fiber standards was issued to Rockwell. Section 666(j) defines a “serious” violation:

(j) For purposes of this section, a serious violation shall be deemed to exist in a place of employment if there is a substantial probability that death or serious physical harm could result from a condition which exists, or from one or more practices, means, methods, operations, or processes which have been adopted or are in use, in such place of employment unless the employer did not, and could not with the exercise of reasonable diligence, know of the presence of the violation.

Section 666(b) sets forth the penalty for such a violation:

(b) Any employer who has received a citation for a serious violation of the requirements of section 654 of this title, of any standard, rule, or order promulgated pursuant to section 655 of this title, or of any regulations prescribed pursuant to this chapter, shall be assessed a civil penalty of up to $1,000 for each such violation.

Specifically, it was charged that Rockwell violated 29 CFR §§ 1910.93a(b)(1) and (3), (c), (1),3 and 29 CFR 1910.134(a)(2), which section requires that employers provide respirators to employees “when such equipment is necessary to protect the health of the employee.”

On March 27, 1973, the Secretary, pursuant to § 659, sent Rockwell a “Notification of Proposed Penalty” in the amount of $800. Rockwell contested the citation and the proposed penalty. The Secretary advised the Commission that Rockwell was contesting the matter and the Commission assigned the case for a hearing before an administrative law judge. The judge is empowered to report recommended findings of fact and conclusions of law to the Commission. Before the judge, Rockwell noted that it had installed an extensive filtering and exhaust system on grinder # 048 and that on three occasions in the two years prior to the Secretary’s tests it had retained an independent testing laboratory to check for excessive amounts of asbestos fibers in the breathing zone of employees. Each of these three prior tests indicated that the number of asbestos fibers in the vicinity of machine # 048 was within then-existing safety standards. Rockwell contends that by installing safety equipment, and by regularly maintaining and periodically checking that equipment, it exercised reasonable diligence and did not know that excessive [1286]*1286and unhealthy amounts of asbestos fibers were in the breathing zone of the operator of machine # 048.

Following a hearing, the administrative law judge, in his Decision and Order, made a factual finding that

“Respondent’s initiative in providing for atmospheric testing prior to January 24, 1973, was an exercise of reasonable diligence intended to determine the existence or non-existence of a violation of the atmospheric health and safety standards established by the Secretary.”4

The judge concluded that Rockwell’s failure to comply with the cited regulations did not rise to the level of a serious violation of the Act due to Rockwell’s failure to appreciate the violative facts despite the exercise of reasonable diligence. The judge concluded that Rockwell was guilty of a non-serious violation and affirmed the citation and penalty on that basis. The Act does not state the elements of a “non-serious” violation, but the penalty imposed by the judge was within the range allowed for such a violation in § 666(c):

(c) Any employer who has received a citation for a violation of the requirements of section 654 of this title, of any standard, rule, or order promulgated pursuant to section 655 of this title, or of regulations prescribed pursuant to this chapter, and such violation is specifically determined not to be of a serious nature, may be assessed a civil penalty of up to $1,000 for each such violation.

The Commission, by a 2-1 vote, vacated the citation and proposed penalty. The result, enunciated by Chairman Moran in the lead opinion, was concurred in separately by Commissioner Van Namee. Commissioner Cleary filed a dissenting opinion.

Chairman Moran concluded that employer knowledge of violative facts was an element of both serious and non-serious violations. Commissioner Van Namee concluded that Rockwell had been guilty of a non-serious violation because, in his view, employer knowledge of the operative facts was not an element of a non-serious violation. He noted that the instant violation was “technical” and vacation was proper. Commissioner- Cleary dissented, concluding from a review of the facts that had Rockwell exercised “reasonable diligence” it would have discovered that grinder # 048 was emitting excessive amounts of asbestos fibers under certain production conditions.

The, Secretary petitioned the Court for ; review of the Commission’s order. Rockwell and the Commission contend that the Commission’s decision should be affirmed.

The Secretary raises two issues.

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629 F.2d 437 (Sixth Circuit, 1980)
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585 F.2d 1327 (Sixth Circuit, 1978)
Edwards v. Oklahoma
577 F.2d 1119 (Tenth Circuit, 1978)
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577 F.2d 133 (Tenth Circuit, 1978)

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Bluebook (online)
540 F.2d 1283, 4 BNA OSHC 1606, Counsel Stack Legal Research, https://law.counselstack.com/opinion/dunlop-v-rockwell-international-ca6-1976.