People v. Allied Health Care Products Inc.

174 A.D.2d 246, 578 N.Y.S.2d 937, 1992 N.Y. App. Div. LEXIS 879
CourtAppellate Division of the Supreme Court of the State of New York
DecidedJanuary 30, 1992
StatusPublished
Cited by3 cases

This text of 174 A.D.2d 246 (People v. Allied Health Care Products Inc.) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Allied Health Care Products Inc., 174 A.D.2d 246, 578 N.Y.S.2d 937, 1992 N.Y. App. Div. LEXIS 879 (N.Y. Ct. App. 1992).

Opinion

OPINION OF THE COURT

Levine, J.

On March 8, 1988, an air pollution inspector of the State Department of Environmental Conservation (hereinafter DEC) conducted an inspection of the manufacturing plant of defendant Allied Health Care Products Inc. (hereinafter Allied) located in Columbia County. One week later, the inspector wrote to Allied’s plant manager, defendant Raymond Ringer, identifying various emission sources and advising that, as an [248]*248owner of an "air contamination source (Process and exhaust or ventilation system)”, Allied must obtain a certificate from DEC to operate that source. The inspector enclosed a copy of a portion of the DEC regulations pertaining to air contamination and air pollution (6 NYCRR parts 201, 212) and application forms, and asked for a reply within 10 days setting forth Allied’s intended action.

Allied sent a timely response, advising that it had hired a consulting engineering firm to assist in processing its application for a certificate to operate and to "design and install a system to correct any deficiencies noted during your inspection o[f] March 8th, 1988”. In late April 1988, the consulting engineering firm submitted on Allied’s behalf, on a DEC printed form covering both applications for a permit to construct or modify and for a certificate to operate an air contamination source, an application for a permit to modify Allied’s plant equipment to correct the problems identified in the inspection report. The application was eventually granted in April 1989.

While the application for a permit was pending, Allied’s plant was also under investigation by other DEC staff. The investigation consisted of interviewing various witnesses, inspecting areas in the general vicinity of Allied’s plant and, finally, in October 1988, executing a search warrant for the search of the plant and Allied’s records. This investigation allegedly revealed that, as a result of the plant’s operation, hazardous substances were being vented, disbursed and accumulated in Kinderhook Creek and on surrounding vegetation.

The DEC investigation culminated in a five-count Grand Jury indictment in January 1990. Defendants were charged with the crimes of endangering public health, safety or the environment in the second degree (ECL 71-2713 [5]), endangering public health, safety or the environment in the third degree (two counts; ECL 71-2712 [2], [4]), air pollution (ECL 71-2105; 6 NYCRR 211.2) and operating an air contamination source without a certificate (ECL 71-2105; 6 NYCRR 201.2 [b]). All the crimes were allegedly committed from March 1988 through October 1988.

Defendants moved to dismiss the indictment on various grounds, among which were that Allied was authorized to continue its emission-producing operations by virtue of the provisions of 6 NYCRR 201.2 (c) and by express permission of DEC officials; that the statutory and regulatory framework [249]*249allegedly violated by defendants was so vague and lacking in fair warning of what conduct was prohibited as to deny them due process; that the evidence before the Grand Jury was insufficient as a matter of law to support the charges; and that the charges should be dismissed in the interest of justice because of several alleged acts of prosecutorial misconduct. County Court granted the motion to dismiss all counts, but solely on the ground that the conduct alleged in the indictment was authorized under 6 NYCRR 201.2 (c). The court declined to reach any other issue. This appeal followed.

At the outset, we note that the only ground for affirmance open for our consideration on this appeal is the propriety of County Court’s ruling that 6 NYCRR 201.2 (c) legally authorized defendants’ conduct (see, CPL 470.15 [1]; People v Karp, 76 NY2d 1006, 1008-1009; People v Goodfriend, 64 NY2d 695, 698). We thus do not reach any of the other issues raised in defendants’ motion to dismiss the indictment.

Turning to the merits on the issue properly before us, we agree with County Court’s ruling that 6 NYCRR 201.2 (c) requires dismissal of the fifth count of the indictment, charging defendants with the crime of operating an air contamination source without a certificate by willfully violating 6 NYCRR 201.2 (b). That section of the regulations provides in pertinent part that "no person shall operate an air contamination source without having a valid certificate to operate” (6 NYCRR 201.2 [b]). Section 201.2 (c), however, provides that "[a] person who owns or operates an existing air contamination source, but who does not have a certificate to operate” must apply for a certificate "and shall be permitted to continue operation of such source” until receipt of notice of disapproval of the application. Application of the literal meaning of these two subdivisions, as defendants urge upon us, appears to authorize the use of an existing air contamination source while an application for a permit to operate is pending, rather than to require, pending such approval, immediate shutdown of an operation which actually may emit only an inconsequential level of contaminants, either independently or after the installation of pollution control devices.

Attempting to avoid this exculpatory interpretation, the prosecution draws a sharp distinction between an application for a certificate to operate an air contamination source (see, 6 NYCRR 201.2 [b]) and one for a permit to construct or modify such a source (see, 6 NYCRR 201.2 [a]). The prosecution claims that the regulatory scheme envisages a two-step process under [250]*250which one can only apply for a certificate to operate after first receiving DEC approval of an application for a permit to construct or modify the contamination source. Thus, according to the prosecution’s argument, until Allied received approval of its application for a permit to modify its venting system, it was not legally authorized to operate its air contamination source.

As pointed out in County Court’s decision, the prosecution did not urge before that court any salient distinction in the regulations between an application for a permit to construct or modify and one for a certificate to operate a contamination source and, thus, the argument is raised for the first time on appeal. Additionally, the contention that there can be no operation of an air contamination source authorized under the regulations until a permit to construct or modify such source has been granted appears to conflict with the provisions of 6 NYCRR 201.2 (c) requiring a person who "operates an existing air contamination source” to apply for a certificate to operate but permitting the applicant "to continue operation of such source” pending disposition of the application (emphasis supplied). Moreover, it does not appear to be DEC’S interpretation, as reflected in the DEC inspector’s initial letter to Allied. Even if the prosecution’s version was applied by DEC for regulatory purposes, however, its conflict with an at least equally plausible exculpatory interpretation of the same provisions means that the prosecution’s version cannot be the basis of criminal liability for malum prohibitum conduct without violating due process requirements of fair warning (see, Bouie v City of Columbia, 378 US 347, 351-352; State of New York v Mobil Oil Corp., 38 NY2d 460, 466).

We reach a contrary conclusion with respect to the remaining counts of the indictment. The fourth count accuses defendants of the crime of air pollution by willfully violating 6 NYCRR 211.2.

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Related

People v. Allied Health Care Products, Inc.
611 N.E.2d 752 (New York Court of Appeals, 1993)

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Bluebook (online)
174 A.D.2d 246, 578 N.Y.S.2d 937, 1992 N.Y. App. Div. LEXIS 879, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-allied-health-care-products-inc-nyappdiv-1992.