Horton v. United States Department of Agriculture

559 F. App'x 527
CourtCourt of Appeals for the Sixth Circuit
DecidedMay 19, 2014
Docket13-3660
StatusUnpublished
Cited by1 cases

This text of 559 F. App'x 527 (Horton v. United States Department of Agriculture) 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
Horton v. United States Department of Agriculture, 559 F. App'x 527 (6th Cir. 2014).

Opinion

CLAY, Circuit Judge.

Petitioner Lanzie Carroll Horton, Jr., was found to be in violation of the Animal Welfare Act (“AWA” or “the Act”), 7 U.S.C. §§ 2131-2159 (2006), by an Administrative Law Judge (“ALJ”), who issued a *528 cease and desist order to prevent further violations of the Act and ordered Petitioner to pay $14,430 in civil penalties. Both Petitioner and Respondent, the Administrator of the Animal and Plant Health Inspection Service (“APHIS”), appealed the ALJ’s decision to a judicial officer (“JO”), acting for the Secretary of the Department of Agriculture (the “Department”), who increased the civil penalties amount from $14,430 to $191,200. Petitioner appeals this decision, alleging that (1) the ALJ and JO erred by failing to determine the willfulness of his actions, and (2) the JO improperly applied the Department’s criteria for assessing civil penalties.

For the reasons that follow, we DENY the petition for review and AFFIRM the Secretary’s Decision and Order.

BACKGROUND

I. Facts

During the time of the events described herein, Petitioner owned and operated Horton’s Pups, a business located in Virginia, where Petitioner also lived. From November 9, 2006, through September 27, 2007, Petitioner sold dogs to William Pau-ley, a licensed dealer and owner of a retail pet store in Virginia called Pauley’s Pups. Receipts in the record demonstrate that from November 9, 2006, through September 27, 2007, Pauley purchased a total of 914 puppies from Petitioner’s business. Evidence also indicates that over a longer seven-to-eight-year period, Pauley purchased approximately 4,000 puppies from Petitioner. Resp.’s Br. at 11. When given the opportunity to review and contest Pau-ley’s statements and records, Petitioner “stated that he was sure that Pauley’s Pups’ records were accurate, he did not want to review the records, and said that he sold all the dogs listed in the records.” Pet’r’s App. at 16.

On November 6, 2007, Petitioner received a letter from the APHIS Regional Director of Animal Care for the Eastern Region, Dr. Elizabeth Goldentyer, who warned that Petitioner likely needed to obtain a license to operate his business in compliance with the AWA. Her letter stated, “It has come to our attention that you may be conducting activities that would require you to be licensed or registered with us. Accordingly, we are enclosing a packet of AWA related information, including copies of the AWA regulations and standards and other materials.” Id. at 12. Additionally, the letter welcomed Petitioner to “[e]ontact this office ... if you have any questions regarding this letter or the Animal Welfare Act.” Id.

On June 8, 2008, without first obtaining an AWA license, Petitioner sold forty-two dogs to Ervin Raber, a licensed dealer and owner of Golden View Kennels in Ohio. Later that year, on November 25, 2008, an APHIS investigator named Christopher Mina visited Petitioner, discussed Golden-tyer’s letter and the AWA licensing requirements, and inspected the premises. At that time, Mina asked whether Petitioner had received the letter and attached documents about licensing requirements from the Department, and Petitioner responded that he had. Petitioner also stated that he did not believe his transactions were of a nature that required him to obtain an AWA license. The inspector informed Petitioner that he did, in fact, need to obtain a license in order to continue engaging in the type of transactions his business regularly conducted; otherwise, he would have to cease and desist from operating as a dealer in violation of the AWA. At that time, Petitioner appears to have stopped the activity that violated the *529 Act. 1

II. Procedural History

On November 4, 2011, the APHIS Administrator filed a complaint against Petitioner. The complaint alleged that Petitioner, operating as Horton’s Pups, violated the AWA by acting as a dealer as defined in 9 C.F.R. § 1.1 and 7 U.S.C. § 2132(f) from November 9, 2006, through September 20, 2009, without first obtaining a license from the United States Secretary of Agriculture (the “Secretary”). Petitioner filed an answer to this complaint on November 28, 2011.

After both parties conducted discovery, the Administrator filed a Motion for Summary Judgment on June 4, 2012. Petitioner filed his Memorandum in Opposition to the Motion for Summary Judgment, arguing that summary judgment would be improper because two genuine issues of material fact remained regarding whether Petitioner’s AWA violations were willful and whether Petitioner operated as a dealer during the period from December 27, 2008, through September 30, 2009.

On January 2, 2013, the ALJ issued a decision granting in part and denying in part the Administrator’s motion for summary judgment. The ALJ’s order concluded that (1) from November 9, 2006, through September 27, 2007, Petitioner delivered for transportation, transported, sold, or negotiated the sale of 914 domesticated dogs for use as pets in violation of 9 C.F.R. § 2.1(a)(1) 2 ; (2) on or about June 8, 2008, Petitioner delivered for transportation, transported, sold, or negotiated the sale of forty-two dogs in violation of 9 C.F.R. § 2.1(a)(1); (3) on or about December 27, 2008, Petitioner delivered for transportation, transported, sold, or negotiated the sale of two dogs in violation of 9 C.F.R. § 2.1(a)(1); and (4) on or about September 30, 2009, Petitioner delivered for transportation, transported, sold, or negotiated the sale of four dogs in violation of 9 C.F.R. § 2.1(a)(1). The ALJ also determined that 7 U.S.C. § 2149(b), which governs the assessment of civil penalties for violations of the Act, did not require that she make a willfulness determination before ordering Petitioner to cease and desist and pay civil penalties.

The ALJ applied the factors listed in § 2149(b) for assessing a civil penalty and found that Petitioner operated a large business, the gravity of his violations was serious due to the large number of violations he committed in a short period of time, and he failed to show good faith because he disregarded Goldentyer’s letter and continued to conduct business as a dealer without an AWA license. The ALJ also found that Petitioner did not have a history of previous violations of the AWA and accepted as true his statement that he ceased acting in violation of the statute after receiving the APHIS investigator’s warning in November 2008. 3

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Related

Knapp v. United States Department of Agriculture
796 F.3d 445 (Fifth Circuit, 2015)

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Bluebook (online)
559 F. App'x 527, Counsel Stack Legal Research, https://law.counselstack.com/opinion/horton-v-united-states-department-of-agriculture-ca6-2014.