United States v. Raymond T. Brittain

931 F.2d 1413, 21 Envtl. L. Rep. (Envtl. Law Inst.) 21092, 32 ERC (BNA) 2084, 1991 U.S. App. LEXIS 7598, 1991 WL 65280
CourtCourt of Appeals for the Tenth Circuit
DecidedApril 30, 1991
Docket90-6202
StatusPublished
Cited by29 cases

This text of 931 F.2d 1413 (United States v. Raymond T. Brittain) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Raymond T. Brittain, 931 F.2d 1413, 21 Envtl. L. Rep. (Envtl. Law Inst.) 21092, 32 ERC (BNA) 2084, 1991 U.S. App. LEXIS 7598, 1991 WL 65280 (10th Cir. 1991).

Opinions

BALDOCK, Circuit Judge.

A jury convicted defendant-appellant, Raymond T. Brittain, of eighteen felony counts of falsely reporting a material fact to a government agency, 18 U.S.C. § 1001, and two misdemeanor counts of discharging pollutants into the waters of the United States in violation of §§ 301(a) & 309(c)(1) of the Federal Water Pollution Control Act of 1972 (Clean Water Act), codified at 33 U.S.C. §§ 1311(a) & 1319(c)(1). Defendant appeals, contending: (1) the government did not establish materiality as required by 18 U.S.C. § 1001; (2) he is not a “person” who discharged pollutants as contemplated by the Clean Water Act; and (3) the evidence is insufficient to prove that he discharged pollutants in violation of the Clean Water Act. We affirm.

I.

We first consider materiality under 18 U.S.C. § 1001. The Clean Water Act prohibits the discharge of pollutants from any point source into the navigable waters of the United States unless such discharge complies with a permit issued by the EPA pursuant to the National Pollutant Discharge Elimination System (NPDES) or by [1415]*1415an EPA authorized state agency. See 33 U.S.C. §§ 1311(a) & 1342. NPDES permits impose limits on the point sources and amounts of discharged pollutants, and the EPA monitors compliance through monthly discharge monitoring reports from the per-mittee. See generally 33 U.S.C. § 1342 (NPDES system); 40 C.F.R. § 122 (1989) (NPDES regulations). Defendant, as public utilities director for the city of Enid, Oklahoma, had general supervisory authority over the operations of the Enid waste-water treatment plant and was responsible for filing the plant’s discharge monitoring reports. Defendant directed the plant supervisor to falsify eighteen monthly discharge monitoring reports and the supporting laboratory records by recording 25 to 30 milligrams per liter of effluent for two specific pollutants regardless of the actual measurements at the point of discharge. Rec. vol. VII at 501-02. Defendant’s convictions under 18 U.S.C. § 1001 resulted from these falsifications.

Section 1001 prohibits any person from knowingly and willfully making a false statement regarding a material fact that is within the jurisdiction of a federal agency. See United States v. Irwin, 654 F.2d 671, 675-76 (10th Cir.1981), cert. denied, 455 U.S. 1016, 102 S.Ct. 1709, 72 L.Ed.2d 133 (1982). Defendant concedes sufficient evidence on all of the elements of § 1001 except materiality. Therefore, we limit our discussion to whether defendant’s false statements were of a material fact, a separate and distinct element of the offense.1 Although materiality remains an essential element of the § 1001 offense, we recently overruled our past decisions and determined that materiality is a question of law to be reviewed de novo. See United States v. Daily, 921 F.2d 994, 1004-06 (10th Cir.1990) (citing Kungys v. United States, 485 U.S. 759, 108 S.Ct. 1537, 99 L.Ed.2d 839 (1988) (Supreme Court ruled that materiality under 8 U.S.C. § 1451(a) is a question of law)).

A false statement is material if it “ ‘has a natural tendency to influence, or [is] capable of influencing, the decision of the tribunal in making a determination required to be made.’ ” Gonzales v. United States, 286 F.2d 118, 122 (10th Cir.1960) (quoting Weinstock v. United States, 231 F.2d 699, 701-02 (D.C.Cir.1956)), cert. denied, 365 U.S. 878, 81 S.Ct. 1028, 6 L.Ed.2d 190 (1961). See also Irwin, 654 F.2d at 677. Defendant contends that the government did not establish materiality because it did not demonstrate that his false statements were capable of influencing govern ment action. He relies on a plant laboratory technician’s personal diary offered by the government. The diary reflected the true levels of pollutant discharge to be below the falsely reported levels and within the plant’s NPDES permit limits. Defendant also urges us to consider the testimony of Sharon Parrish, an expert witness for the government. Ms. Parrish testified that an EPA enforcement action would result if the discharge monitoring reports reflected pollutant discharges outside the NPDES permit limits. Rec. vol. V at 459-60. According to defendant, the government did not establish materiality since its only evidence reflected the actual levels of pollutant as within permit limits and enforcement action would result only if the levels exceeded permit limits. As authority, he cites United States v. Radetsky, 535 F.2d 556 (10th Cir.), cert. denied, 429 U.S. 820, 97 S.Ct. 68, 50 L.Ed.2d 81 (1976).

Radetsky involved a Medicare fraud scheme whereby the defendant doctor at[1416]*1416tempted to obtain reimbursement from the government for medicinal drugs that he did not prescribe. We held, as matter of law, that the government could not establish materiality under 18 U.S.C. § 1001 because the doctor’s false reports were of drugs that were noncompensable under Medicare regulations. Radetsky, 535 F.2d at 572-74. The doctor’s false reports therefore were incapable of influencing the government to reimburse.2 Defendant contends that the circumstances of his case parallel those of Radetsky because the government’s evidence, the laboratory technician’s diary, reflected no need for EPA enforcement because it recorded the true levels of pollutants to be within NPDES permit limits. The record, however, reveals that defendant’s reliance on Radetsky is misplaced.

Contrary to defendant’s position, the lab technician’s diary was not the only evidence the government produced as to the true levels of effluent. The record contains expert testimony to the effect that it was impossible for the treatment plant to meet its NPDES permit limitations during the indictment period, May 1985, to September 1986. Rec. vol. VII at 844. The government expert testified that he examined the plant in November 1986, and found it in a state of disrepair.

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931 F.2d 1413, 21 Envtl. L. Rep. (Envtl. Law Inst.) 21092, 32 ERC (BNA) 2084, 1991 U.S. App. LEXIS 7598, 1991 WL 65280, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-raymond-t-brittain-ca10-1991.