ELIZABETH H. DOLE, SECRETARY OF LABOR, UNITED STATES DEPARTMENT OF LABOR, PETITIONER V. OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION, AND CF&I STEEL CORPORATION No. 89-1541 In The Supreme Court Of The United States October Term, 1989 The Solicitor General, on Behalf of the Secretary of Labor, petitions for a writ of certiorari to review the judgment of the United States Court of Appeals for the Tenth Circuit in this case. Petition For A Writ Of Certiorari To The United States Court Of Appeals For The Tenth Circuit TABLE OF CONTENTS Question Presented Opinions below Jurisdiction Statutory and regulatory provisions involved Statement Reasons for granting the petition Conclusion OPINIONS BELOW The opinion of the court of appeals (App., infra, 1a-11a) is reported at 891 F.2d 1495. The decision of the Occupational Safety and Health Review Commission (App., infra, 14a-54a) is reported at 12 O.S.H. (BNA) 2067 and 1986-1987 O.S.H. Dec. (CCH) Paragraph 27,691. The decision of the administrative law judge (App., infra, 55a-91a) is unreported. JURISDICTION The judgment of the court of appeals (App., infra, 12a-13a) was entered on December 22, 1989. On March 14, 1990, Justice White extended the time for filing a petition for writ of certiorari to April 9, 1990. The jurisdiction of this Court is invoked under 28 U.S.C. 1254(1). STATUTORY AND REGULATORY PROVISIONS INVOLVED Pertinent sections of the Occupational Safety and Health Act of 1970 (29 U.S.C. 651(b)(3), 655, 658, 659, 660 (1982 & Supp. V 1987), and 661) are reprinted at App., infra, 92a-110a. Department of Labor regulations 29 C.F.R. 1910.134 and 1910.1029(g) are also reprinted at App., infra, 111a-123a. QUESTION PRESENTED Whether the Secretary of Labor, rather than the Occupational Safety and Health Review Commission, is entitled to deference in the interpretation of a Department of Labor regulation if the Secretary's and the Commission's interpretations of the regulation conflict. STATEMENT 1. In 1970, Congress enacted the Occupational Safety and Health Act (OSH Act), Pub. L. No. 91-596, 84 Stat. 1590 (29 U.S.C. 651 et seq.), "to assure so far as possible * * * safe and healthful working conditions" for "every working man and woman in the Nation." 29 U.S.C. 651(b). Toward that end, the OSH Act provides the Secretary of Labor with a broad array of regulatory and enforcement responsibilities. Specifically, she has authority to "promulgate, modify, or revoke any occupational safety or health standard" (29 U.S.C. 655(b)); to grant variances from such standards to particular employers (29 U.S.C. 655(d)); and to conduct investigations and worksite inspections to assure compliance with health and safety requirements (29 U.S.C. 657). The OSH Act also emplowers her to issue citations to employers whenever she believes that an employer has violated the OSH Act or any standard, rule, regulation, or order promulgated by the Secretary (29 U.S.C. 658); to propose civil penalties against cited employers (29 U.S.C. 659(a), 666); to prescribe abatement periods for cited health and safety violations (29 U.S.C. 658(a), 659(c)); and to seek injunctive relief in federal court from imminent dangers to employee safety and health. 29 U.S.C. 662(a). See generally Cuyahoga Valley Ry. v. United Transp. Union, 474 U.S. 3, 3-4 (1985); Whirlpool Corp. v. Marshall, 445 U.S. 1, 8-9 (1980); Atlas Roofing Co. v. OSHRC, 430 U.S. 442, 445-446 (1977). /1/ In the OSH Act, Congress also created the Occupational Safety and Health Review Commission (OSHRC) "for carrying out adjudicatory functions." 29 U.S.C. 651(b)(3). An employer may contest the Secretary's citation or notice of penalty before the Commission; in addition, an employee or employees' representative may challenge the time for abatement in the Secretary's citation. 29 U.S.C. 659(c). When a citation, penalty, or abatement date is contested, the Commission must "afford an opportunity for a hearing * * * (and) thereafter issue an order, based on findings of fact, affirming, modifying, or vacating the Secretary's citation or proposed penalty." 29 U.S.C. 659(c); Atlas Roofing Co. v. OSHRC, 430 U.S. at 446. The OSH Act vests the Commission with power to compel attendance of witnesses, production of documents, and taking of evidence. 29 U.S.C. 661(h) and (i). The OSH Act limits the Commission's rulemaking authority to establishment of procedural norms for adjudicatory hearings before the Commission and its administrative law judges. 29 U.S.C. 661(g). The Commission has no jurisdiction over petitions to review the Secretary's promulgation of a safety or health standard; rather, the statute provides the courts of appeals with authority to review challenges to standards. 29 U.S.C. 655(f). If the Commission affirms a citation, only the Secretary may seek enforcement of the administrative order in the court of appeals. 29 U.S.C. 660(b). The Secretary or an aggrieved party may seek judicial review of adverse Commission decisions. Ibid. All civil penalties assessed in final Commission decisions are payable to the Secretary and are recoverable only in a civil action brought by the Secretary in federal district court. 29 U.S.C. 663, 666(l); Atlas Roofing Co. v. OSHRC, 430 U.S. at 447. 2. In 1976, the Secretary determined that coke oven emissions are carcinogenic. Pursuant to her rulemaking authority under the Act, she promulgated a standard governing occupational exposure to coke oven emissions. 41 Fed. Reg. 46,742-46,790 (1976); 29 C.F.R. 1910.1029. The standard requires limiting employee exposure to a specified level of coke oven emissions in a "regulated area" (29 C.F.R. 1910.1029(c)). The standard also requires the use of engineering and work practice controls to achieve that reduction (29 C.F.R. 1910.1029(f)). Of particular relevance for purposes of this case, the standard permits the use of respirators as a method of compliance in certain circumstances -- for example, when controls are not yet sufficient to reduce exposure to the permissible limit (29 C.F.R. 1910.1029(g)(1)). The coke oven regulation includes requirements concerning provision of respirators in such circumstances (29 C.F.R. 1910.1029(g)), and one of these requirements incorporates into the coke oven regulation a general regulation regarding respirators. See 29 C.F.R. 1910.1029(g)(3) ("The employer shall institute a respiratory program in accordance with Section 1910.134 of this part."). 3. In August 1979, the Secretary conducted an inspection at respondent's coke oven facility in Pueblo, Colorado. /2/ The Secretary and respondent had previously reached a settlement regarding citations issued to respondent for violations of the coke oven emissions standard. App., infra, 19a. As a result of the August 1979 inspection, the Secretary issued three additional citations. Id. at 90a-91a. One part of one citation is currently at issue. Id. at 3a, 36a-37a. The inspection disclosed that respondent had conducted two kinds of respirator tests with its employees. App., infra, 79a. The first was a "positive/negative pressure test," in which a worker places the respirator on his face, inhales or exhales, and checks for leakage along the respirator seal; it is not conducted in a "test atmosphere." Id. at 3a, 59a. The second was a "banana oil" test, in which a worker, while wearing a respirator, is put in a "test atmosphere" and exposed to isoamyl acetate ("banana oil") in order to determine whether he can detect the odor of the chemical despite the respirator. Id. at 3a, 38a, 59a. The Secretary discovered that 28 of respondent's employees had detected banana oil, but that respondent had failed to give them different respirators. Instead, respondent had simply sent the employees, with the same respirators, into a "regulated area." Id. at 3a, 38a-39a, 78a. Some of these employees were exposed to coke oven emission levels exceeding the permissible exposure limit. Id. at 81a-82a. Relying on the fact that "28 coke oven employees working in the regulated area exposed to coke oven emissions failed their respirator fit test and were not provided with a different respirator which would fit" (id. at 37a), the Secretary issued a citation for a "willful" violation of 29 C.F.R. 1910.1029(g)(3) -- the coke oven provision that incorporates the respirator regulation in 29 C.F.R. 1910.134. The Secretary assessed the maximum penalty of $10,000. /3/ 4. Respondent contested the citation. A Commission administrative law judge (ALJ) held five days of hearings in February 1980, and issued an opinion upholding the citation in August 1981. The ALJ found that, as the Secretary charged, 28 employees detected banana oil in the banana oil test and were then sent into the coke oven areas without any adjustment in their respirators. App., infra, 79a-82a. The Secretary maintained that Section 1910.1029(g)(3) of the coke oven emissions standard, by incorporation of the respiratory protection program requirement in 29 C.F.R. 1910.134(e) -- and 1910.134(e)(5) in particular /4/ -- requires employers both to assure that each employee's respirator fits properly by using a test atmosphere (as in the banana oil test) and to provide a different type or size respirator if an employee's equipment fails the test. App., infra, 39a, 78a-79a. Respondent defended on the ground that the standard did not require testing in a test atmosphere at all, and that the positive/negative tests fully satisfied the standard. Id. at 78a-79a. The ALJ agreed with the Secretary. He concluded that the pertinent regulation -- 29 C.F.R. 1910.134(e)(5) -- requires qualitative fit testing in a test atmosphere and that it imposed a requirement that a respirator fit properly. App., infra, 79a. "Since these test results show that the employees were not properly fitted, (respondent) was obligated to provide a different respirator to those that failed the test." Id. at 80a. The ALJ concluded that the violation was willful and observed that respondent's "cynical disregard for the safety of its workers and * * * deliberate disregard for the standard itself make() even the maximum penalty seem pitifully inadequate." Id. at 82a. 5. Five years later, in September 1986, the Commission reversed the ALJ's judgment. The Commission concluded that Section 1910.1029(g)(3) -- the coke oven provision incorporating the respirator standard -- is a "training standard" and "does not require the employer to assure proper fit of an employee's respirator." App., infra, 40a. The Commission emphasized that the next paragraph of the coke oven regulation -- Section 1910.1029(g)(4) -- explicitly requires that respirators fit properly; thus, in the Commission's view, Section 1910.1029(g)(3) could not, without redundancy, be read to require proper respirator fit as well. App., infra, 40a, 41a. The Commission also concluded that, on its own terms, the general respirator standard of Section 1910.134 does not impose a requirement that an employer assure respirator fit; the Commission stressed that Section 1910.134 refers to instruction and training and should be interpreted as a training program. App., infra, 40a. Thus, the Commission interpreted Section 1910.134(e)(5) as "requiring the employer to instruct employees during training in such things as how to select a respirator, how to put on a respirator, how to achieve a proper fit and how to obtain a face-piece seal" (App., infra, 41a), and as requiring the employer to give an employee the opportunity to wear the respirator in a test atmosphere during training. Ibid. The Commission concluded, however, that it does not require the employer to insure that proper fit is achieved. Ibid. Inasmuch as respondent's employees had received instruction and an opportunity to wear respirators in a test atmosphere, the Commission concluded that the requirements of Section 1910.134 had been met. App., infra, 45a. According to the Commission, "(t)he fact that some employees detected the banana oil while in the test atmosphere does not establish by itself that the instructions or training otherwise provided were inadequate." Ibid. Accordingly, the Commission vacated the citation. One Commissioner dissented. /5/ 6. The Secretary petitioned for review. On December 22, 1989, the court of appeals denied the petition and upheld the Commission's determination. The court noted that an agency's interpretation of a statute is entitled to deference and must be accepted if reasonable, and that such deference is particularly appropriate where an agency "interprets its own administrative regulations." App., infra, 4a. The court then observed that, although the Secretary had interpreted 29 C.F.R. 1910.1029(g)(3) as a testing standard for proper fit, the Commission had interpreted it as a training standard. "The question therefore arises: When the Secretary and Commission disagree over the interpretation of an OSHA regulation, which view prevails, i.e., to whom is deference owed?" App., infra, 4a. Observing that the question is "an issue upon which the federal circuits are split" (ibid.), the court concluded that, "in the face of conflicting regulatory interpretations, deference is properly accorded to the interpretation of the Commission." Id. at 2a. /6/ Since in the court's view the statutory language did not settle the matter, the court consulted the legislative history. It noted that Congress had decided against combining prosecutorial and adjudicative authority in the Secretary, and had created the Commission as an "autonomous, independent, and quasi-judicial body." App., infra, 6a. The court emphasized that the "adjudicative function necessarily encompasses the power to 'declare' the law." Id. at 7a. Thus, the court concluded that "where the Secretary has failed to convey the meaning of an OSHA regulation to those charged with construing it, and where the Commission has given the regulation an interpretation well within the plain meaning of the terms of the regulation, we will defer to the interpretation of the Commission." Ibid. The court of appeals took note of Potomac Electric Power Co. v. Director, OWCP, 449 U.S. 268, 278 n.18 (1980) (Pepco), in which this Court concluded that the interpretations of the Benefits Review Board under the Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 901 et seq., were not entitled to deference because the Board has only adjudicative, and not policymaking, authority. The court of appeals viewed this Court's statement as "dicta" (App., infra, 8a) and, for two reasons, distinguishable. First, Longshore adjudications are nonaccusatory, "whereas OSHA requires accusatory proceedings that may result in substantial penalties." Ibid. Second, Longshore claims are brought by private citizens, not by the government. Ibid. The court concluded that the Longshore context does not "implicate" Congress's concerns about vesting prosecutorial and adjucative functions in a single governmental entity, and that the "need for a strict separation of prosecutorial and adjudicative functions is therefore far more acute in the case of OSHA." Ibid. The court of appeals also stated that its decision did not give "carte blanche" to the Commission; it observed that "(t)he Secretary's unique policy and rulemaking role requires that her regulatory interpretations be accorded substantial weight by the Commission and contravened only if clearly wrong or in the presence of genuine ambiguity." App., infra, 9a. However, if there is "genuine ambiguity," the court held, the reasonable interpretation of the Commission will control. Ibid. The court also noted that, if the Secretary maintains that a different result should prevail, she may amend or clarify the regulations through rulemaking. Id. at 7a, 11a. Turning to the merits of the specific interpretive question at issue, the court ruled that the Commission did not unreasonably interpret 29 C.F.R. 1910.1029(g)(3) to be a training standard rather than a testing standard to ensure continuing proper fit. App., infra, 9a-11a. The court found support for its position in 29 C.F.R. 1910.134(e)(5)'s reference to "training." At the same time, the court noted that "it is certainly possible to reach an alternate interpretation of the ambiguous regulatory language." App., infra, 11a. Nonetheless, applying its rule that it would defer to a reasonable Commission interpretation, the court upheld the Commission's decision. REASONS FOR GRANTING THE PETITION This Court should review the court of appeals' holding that it would defer to the Commission's interpretation of an OSH Act standard that the Secretary had promulgated rather than to the Secretary's interpretation. As the court of appeals' opinion recognizes, the circuits are in widespread conflict on the question. Furthermore, in concluding that a purely adjudicatory body (the Commission) rather than the policymaking and enforcement authority (the Secretary) is entitled to deference, the court of appeals misapplied the principles underlying this Court's decisions on deference. Finally, the question is of considerable importance. As this case illustrates, the court of appeals' rule frustrates the Secretary's exercise of the policymaking and enforcement duties entrusted to her by Congress. 1. The courts of appeals are severely divided on the question of which entity -- the Secretary or the Commission -- is entitled to deference under the OSH Act. The First, Fifth, Seventh, and Eleventh Circuits have endorsed a rule favoring the Secretary's interpretation. Donovan v. A. Amorello & Sons, Inc., 761 F.2d 61, 64-66 (1st Cir. 1985); Brock v. Chicago Zoological Soc'y, 820 F.2d 909, 912 (7th Cir. 1987); United Steelworkers v. Schuylkill Metals Corp., 828 F.2d 314, 319-320 (5th Cir. 1987); Brock v. Williams Enterprises of Georgia, Inc., 832 F.2d 567, 569-570 (11th Cir. 1987). Cf. Brock v. Cathedral Bluffs Shale Oil Co., 796 F.2d 533, 537 & n.2 (D.C. Cir. 1986) (noting split under OSH Act, and holding that, under the Federal Mine Safety and Health Act, deference is accorded to the Secretary rather than to the Federal Mine Safety and Health Review Commission). In contrast, in addition to the Tenth Circuit in this case, the Second, Fourth, Sixth, and Ninth Circuits defer to the Commission. Marshall v. Western Elec., Inc., 565 F.2d 240, 244 (2d Cir. 1977); Brennan v. Gilles & Cotting, Inc., 504 F.2d 1255, 1261-1262 (4th Cir. 1974); Usery v. Hermitage Concrete Pipe Co., 584 F.2d 127, 132 (6th Cir. 1978); Brock v. Bechtel Power Corp., 803 F.2d 999, 1000-1001 (9th Cir. 1986). /7/ This division of authority undermines important values of uniformity. Moreover, as this case illustrates, a deference rule is often outcome determinative, since the rule establishes which of two reasonable, but conflicting, interpretations the court will approve. See App., infra, 11a ("While it is certainly possible to reach an alternate interpretation of the ambiguous regulatory language * * * , we defer to the interpretation chosen by the Commission."); United Steelworkers v. Schuylkill Metals, 828 F.2d at 320 ("In this case, the standard of review determines the outcome."); Brennan v. Gilles & Cotting, 504 F.2d at 1262 (statute allows decision "either way" on question of whether a general contractor is jointly responsible with subcontractor for safety violations hazardous to subcontractor workmen, and court defers to interpretation of Commission). In addition, the existence of conflicting rules on this issue provides a strong incentive for forum shopping by the party seeking review of a Commission decision. See 29 U.S.C. 660(a) (1982 & Supp. V 1987) (aggrieved party may obtain review of Commission order in the circuit in which violation occurred, where the employer has its principal place of business, or in the District of Columbia Circuit). Thus, there is a substantial conflict in the circuits, and a need for this Court to establish the governing rule. /8/ 2. The decision below is incorrect. The court of appeals' fundamental error is its failure to recognize that the Secretary is entitled to deference because she is charged by Congress with policymaking and rulemaking; the Commission is simply an adjudicatory agency. Judicial deference is rooted in a proper respect for the "legislative delegation to an agency" of policymaking responsibility. Chevron U.S.A. Inc. v. NRDC, 467 U.S. 837, 844 (1984). Thus, "considerable weight should be accorded to an executive department's construction of a statutory scheme it is entrusted to administer" (ibid.), and the dispositive question is whether the agency's "choice represents a reasonable accommodation of conflicting policies that were committed to the agency's care by statute" (id. at 845) (internal quotation marks omitted). Deference is appropriate because an agency's interpretations are part of the policymaking responsibility that has been delegated to the agency. /9/ As this Court has observed, "(i)t is the Secretary, not the Commission, who sets the substantive standards for the workplace," and "enforcement of the Act is the sole responsibility of the Secretary." Cuyahoga Valley Ry. v. United Transp. Union, 474 U.S. at 6-7. In contrast, the Commission's function "is to act as a neutral arbiter and determine whether the Secretary's citation should be enforced over employee or union objections." Id. at 7. A necessary component of Congress's grant to the Secretary of broad and exclusive authority to define, investigate, and prosecute health and safety violations, see p. 2, supra, is the authority to provide guidance for both OSHA compliance officers and affected employers and employees by developing reasonable interpretations of the standards and regulations issued under her rulemaking authority. Cf. Cuyahoga Valley Ry. v. United Transp. Union, 474 U.S. at 7 (Commission may not review Secretary's decision to issue or withdraw a citation because the Secretary's authority to make such decisions is a "necessary adjunct" of her power to set substantive standards and issue citations). In light of Congress's explicit grant of authority to the Secretary, not to the Commission, to promulgate standards for employee safety and health, it is clear that the Secretary's interpretation of her own regulations should receive deference. The Commission does not write, or participate in any way, in the formulation of health and safety standards. Cf. Mullins Coal Co. v. Director, OWCP, 484 U.S. 135, 159 (1987) ("(T)he Secretary's view is not only eminently reasonable but also is strongly supported by the fact that Labor wrote the regulation."). The Commission is vested "with no direct policymaking functions" (Donovan v. OSHRC, 713 F.2d 918, 930 (2d Cir. 1983)), and "(u)nlike the NLRB and the FTC, it has neither prosecution nor enforcement powers," Dale M. Madden Constr., Inc. v. Hodgson, 502 F.2d 278, 280 (9th Cir. 1974). The Commission, as an institution with a solely adjudicatory function, is not well situated to develop broad expertise in administering an occupational safety and health program, or in appreciating "the likely practical outcomes" of different interpretations of particular safety and health standards. Donovan v. A. Amorello & Sons, Inc., 761 F.2d at 66. Because OSHRC reviews only contested enforcement actions that the Secretary initiates -- a tiny proportion of OSHA's overall activities /10/ -- the Commission's vision of the program is, of necessity, quite narrow. The Secretary, in contrast, has gained a much wider and sharper perspective in the course of developing new and revised standards, of monitoring workplaces across the country for compliance, and of making investigatory and prosecutorial decisions on the broad range of health and safety issues that arise under the Act itself and the standards she has promulgated. Notwithstanding the Secretary's pivotal role, the court of appeals concluded that deference to the Commission was appropriate to protect the Commission's role under the Act. App., infra, 6a-7a. The court emphasized that since the Commission's adjudicative function encompasses a "power to 'declare' the law," deference to the Secretary's interpretation of her regulations, rather than to the Commission's interpretation of them, would undermine that power. Id. at 7a. The court's analysis is off the mark. As an initial matter, even an agency entitled to deference on judicial review does not conclusively "'declare' the law"; only the reviewing court may properly exercise that function. See Ford Motor Credit Co. v. Milhollin, 444 U.S. at 568 (noting the "ultimate judicial responsibility to determine the law"). And the court of appeals' statement is incorrect even as to the more limited point that an adjudicatory agency must receive deference in its exposition of the governing standard. The Commission's pronouncement about the meaning of the Secretary's regulations are not based on the exercise by the Commission of any regulatory function; as a result, those pronouncements do not qualify for deference under Chevron and its progeny. Moreover, deference to the Secretary's reasonable interpretation of her regulations -- by the Commission as well as by courts -- is not inconsistent with an adjudicatory function. /11/ When an adjudicatory body defers to a reasonable administrative interpretation of a regulation or statute, it is not denigrating its adjudicatory authority; it is, rather, exercising that authority in accordance with established principles. Chevron, 467 U.S. at 842-845. The court of appeals also relied on the OSH Act's legislative history, and in particular on the congressional determination to separate the adjudicatory function from the enforcement function. App., infra, 6a-7a. This is a slender reed. The legislative history reveals that Congress forged a compromise between bills creating different administrative schemes: one approach would have lodged enforcement authority in the Secretary, but placed rulemaking as well as adjudication authority in separate boards independent of the Secretary; the other approach would have placed all three functions in the Secretary. In the end, Congress provided the Secretary with authority to regulate and enforce, and created the Commission to adjudicate contested citations. /12/ For purposes of the issue presented here, the critical point is that Congress entrusted exclusive policymaking authority to the Secretary; indeed, Congress explicitly rejected the proposal to take that authority away from the Secretary. /13/ Thus, the legislative history does not suggest that Congress intended the Commission to have broad interpretive powers. Like the statute itself, this history indicates instead that the principal purpose of creating the Commission was to ensure fair and even-handed treatment of individual employers who have been cited for violations. /14/ This goal is in no way undermined by requiring deference to the Secretary's interpretations of regulations (or of the statute). The conclusion that in this context the policymaking entity rather than the adjudicatory entity should receive deference is also supported by principles established in analogous contexts. Referring to the Benefits Review Board and its adjudicatory role under the Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 901 et seq., this Court stated that "the Benefits Review Board is not a policymaking agency; its interpretation of the LHWCA thus is not entitled to any special deference from the courts." Potomac Elec. Power Co. v. Director, OWCP, 449 U.S. 268, 278 n.18 (1980) (Pepco). /15/ Despite the court of appeals' asserted distinctions (App., infra, 7a-8a), this principle is fully applicable to the OSH Act context because in both instances Congress assigned policymaking responsibilities to the Secretary. Neither the fact that the Secretary (rather than a private citizen) brings OSH Act enforcement actions nor the fact that in the OSH Act Congress separated that prosecutorial function from the adjudicatory function undercuts this basic identity. Similarly, under the Federal Mine Safety and Health Act of 1977 (the MSH Act) (30 U.S.C. 801 et seq.), the Secretary of Labor, rather than the Mine Health and Safety Review Commission, receives deference in the interpretation of the Secretary's regulations. See Brock v. Cathedral Bluffs Shale Oil Co., 796 F.2d at 537 n.2 (Scalia, J.) ("We see no reason to depart from the view we announced with regard to the Mine Act * * * which leaves interpretive discretion where it normally resides, with the policy-maker rather than the adjudicator."). /16/ Under the OSH Act, as in these other contexts, the policymaker should receive deference in the interpretation of the policy-maker's regulations. 3. The issue presented in this case is of considerable importance. As we have noted, a court's deference rule is often outcome determinative, and thus a rule favoring deference to the Commission treads heavily on the policymaking and regulatory role Congress sought to lodge in the Secretary. Cf. Cuyahoga Valley Ry. v. United Transp. Union, 474 U.S. at 7 ("a procedure (that) would * * * allow the Commission to make both prosecutorial decisions and to serve as the adjudicator of the dispute * * * (would be) a commingling of roles that Congress did not intend"). Moreover, the many decisions in the courts of appeals on this issue (pp. 9-10, supra) reveal how frequently the issue recurs. Although the court of appeals in this case suggested that the Secretary can amend the regulation, the amending process is burdensome and time-consuming, and if the Secretary's interpretation of a regulation is reasonable, that process should not be necessary. /17/ Furthermore, the court's requirement bars enforcement of the Secretary's interpretation in the interim. In this case, for instance, the court of appeals' holding would enable respondent to escape liability even though, under the Secretary's reasonable interpretation of her own regulations, the employer willfully violated the coke oven emissions standard by requiring its workers to use inadequate respirators in areas with dangerously high emission levels. In view of the division in the courts of appeals on a question of such importance, the issue warrants this Court's review. CONCLUSION The petition for a writ of certiorari should be granted. Respectfully submitted. KENNETH W. STARR Solicitor General DAVID L. SHAPIRO Deputy Solicitor General CLIFFORD M. SLOAN Assistant to the Solicitor General ROBERT P. DAVIS Solicitor of Labor ALLEN H. FELDMAN Associate Solicitor CHARLES I. HADDEN Deputy Associate Solicitor MARK S. FLYNN Attorney Department of Labor APRIL 1990 /1/ The Secretary has delegated many of her OSH Act responsibilities to the Assistant Secretary for Occupational Safety and Health, who heads the Occupational Safety and Health Administration (OSHA), an agency within the Department of Labor that is responsible for enforcing the OSH Act. See generally Secretary of Labor's Order No. 12-71, 36 Fed. Reg. 8754 (1971); Order No. 8-76, 41 Fed. Reg. 25,059 (1976); Order No. 9-83, 48 Fed. Reg. 35,736 (1983). /2/ References in this petition to respondent are to respondent CF&ISteel Corporation, which briefed and argued the case in the court of appeals. OSHRC was nominally a respondent in the court of appeals (pursuant to Fed. R. App. P. 15), but did not participate in those proceedings. /3/ A "willful" violation is the most serious form of civil violation, and the highest civil penalties are authorized for such violations; violations may also be characterized as "serious" and "not serious." 29 U.S.C. 666. /4/ 29 C.F.R. 1910.134(e)(5) provides, in part, that "(t)raining shall provide the men an opportunity to handle the respirator, have it fitted properly, * * * and, finally, to wear it in a test atmosphere." /5/ The dissenting Commissioner reasoned that, regardless of whether Section 1910.134 is a "training standard or a use standard," the Secretary had established a violation. App., infra, 51a. He maintained that, even if the standard is construed as a training provision, the 28 employees who used respirators that did not fit "were not trained to comprehend the proper fit of respirators, or to use the respirators properly." Id. at 52a. He also agreed that the violation was appropriately characterized as "willful." Emphasizing that 28 employees failed the banana oil test, he noted that the conduct "demonstrates, at the very least, plain indifference to employee safety." Id. at 54a. /6/ The panel distinguished the Tenth Circuit's earlier decision in Brennan v. OSHRC & Kesler, 513 F.2d 553, 554 (1975), in which the court of appeals had appeared to endorse the contrary rule and pay deference to the interpretation of the Secretary. Because, in the panel's view, the Commission's interpretation in that case was not supported by the regulatory language, the panel did not believe that Kesler established a rule applicable to this case. App., infra, 5a. /7/ The court of appeals cited the Eighth Circuit as one of the Circuits favoring deference to the Commission. App., infra, 5a (citing Brennan v. OSHRC, 513 F.2d 713, 715-716 (1975)). The Eighth Circuit's most recent decision, however, suggests that deference to the Commission is not appropriate. See Brock v. Dun-Par Engineered Form Co., 843 F.2d 1135, 1137 (1988). The Third Circuit has not articulated a clear deference rule governing cases in which there is a conflict between the Secretary's and the Commission's interpretations. Compare Bethlehem Steel Corp. v. OSHRC, 573 F.2d 157, 160 (1978) (suggesting that deference is inapplicable when Commission's and Secretary's interpretations conflict), with Director, OWCP v. Mangifest, 826 F.2d 1318, 1323 n.11 (3d Cir. 1987) (explaining Bethlehem Steel on the ground that the Secretary had failed to clarify an ambiguous regulation interpreted in conflicting ways by the Commission). See also Donovan v. Adams Steel Erectors, Inc., 766 F.2d 804, 807 n.3 (3d Cir. 1985). /8/ The court of appeals' suggestion that deference to the Commission is appropriate only when there is ambiguity in a regulation (App., infra, 7a, 9a) does not minimize the reach of its decision because deference is generally relevant only when there is ambiguity in the language of a regulation (or statute). See also Lukman v. Director, OWCP, No. 88-1733 (10th Cir. Feb. 22, 1990), slip op. 5 n.3 (noting that, "(i)n Dole, we joined those Circuits which defer to the Commission"). /9/ "When the construction of an administrative regulation rather than a statute is in issue, deference is even more clearly in order." Udall v. Tallman, 380 U.S. 1, 16 (1965). See also Ford Motor Credit Co. v. Milhollin, 444 U.S. 555, 566 (1980). An administrative interpretation of a regulation is "of controlling weight unless it is plainly erroneous or inconsistent with the regulation." Bowles v. Seminole Rock & Sand Co., 325 U.S. 410, 414 (1945); Udall v. Tallman, 380 U.S. at 16-17. The particular deference due an agency's interpretation of its regulation rests on the fact that the interpretation has been provided by "the agency responsible for promulgating and administering the regulation." Immigration & Naturalization Service v. Stanisic, 395 U.S. 62, 72 (1969). /10/ In fiscal year 1988, less than two percent of the Secretary's citations were contested; 174,396 violations were cited during that time. Current Report, 18 O. S. H. Rep. 1668 (BNA) (Mar. 1, 1989). /11/ Indeed, at the same time that the court of appeals stressed the importance of the interpretive role to the Commission's adjudicatory function (App., infra, 7a), the court also emphasized that the Commission should defer to the Secretary's interpretation and reject it only if "clearly wrong or in the presence of genuine ambiguity." Id. at 9a. /12/ During consideration of the bill that ultimately became the OSH Act, labor and management advocates were at odds about whether the Secretary of Labor, in addition to his prosecutorial role, should have power to promulgate safety and health standards and adjudicate contested enforcement cases. The Administration bill, suported by business interests, proposed creation of separate rulemaking and adjudication boards, both independent of the Secretary, while the Senate and House committee bills, supported by organized labor, combined all three functions in the Secretary. See S. Rep. No. 1282, 91st Cong., 2d Sess. 8, 15 (1970), and H.R. Rep. No. 1291, 91st Cong., 2d Sess. 17-20, 24 (1970), reprinted in Staff of the Senate Subcomm. on Labor of the Senate Comm. on Labor and Public Welfare, 92d Cong., 1st Sess. Legislative History of the Occupational Safety and Health Act of 1970 at 148, 155, 847-850, 854 (Comm. Print 1971) (hereinafter Legislative History). Senator Javits unsuccessfully proposed in committee a compromise whereby the Secretary would regulate and enforce, and an independent three-person panel would adjudicate (S. Rep. No. 1282, supra, at 55 reprinted in Legislative History 194), but he was later successful in obtaining its adoption on the Senate floor (Legislative History 381-393, 462-479). The creation of an independent adjudicatory panel was included in the House-passed bill (id. at 1098-1101), and was adopted by the conference committee (id. 1147, 1165-1169). /13/ The OSH Act requires the President to appoint Commissioners "who by reason of training, education, or experience are qualified to carry out the functions of the Commission." 29 U.S.C. 661(a). Some courts have considered this provision an indication that Congress intended to make OSHRC an expert body, and have concluded that courts should therefore defer to its expertise. See, e.g., Dunlop v. Rockwell International, 540 F.2d 1283, 1289-1290 (6th Cir. 1976). But the provision is not an endorsement of any policy role for the Commission; rather, it reflects congressional concern that the Commissioners have some background in safety and health to assist them in carrying out their adjudicative function. Indeed, the fact that the OSH Act does not require Commission involvement in the formulation of standards or in the resolution of the vast majority of violations confirms OSHRC's lack of a policy role. Thus, there is no Commission review of the Secretary's interpretation of the OSH Act and regulations for the more than 98% of violations that employers do not contest. See 29 U.S.C. 659(a) and note 10, supra. Moreover, the OSH Act permits affected persons to challenge the validity of standards that the Secretary promulgates directly in the court of appeals, without any review by the Commission. 29 U.S.C. 655(f). /14/ See, e.g., Legislative History 464 (Sen. Javits) ("The enforcement of orders is an adjudicatory act, whereas the establishment of standards is a deliberative act. There are serious penalties involved for the individual enterprise. It is a case by case proposition. It does not apply across the board to every member of industry."); id. at 1147 (Sen. Williams) (separation of prosecutorial and adjudicative roles intended "to provide every assurance that fairness and due process would be fairly served"). Critics of the combination of all functions in the Labor Department had objected that management would perceive the Secretary, "traditionally * * * the voice of labor in the administration" (id. at 473 (Rep. Anderson)) as unfair to businesses that were cited for violations (ibid. (Sen. Holland)), and that the combination would create "an undue concentration of power" with a potential for abuse. id. at 426 (Sen. Dominick). /15/ The longshore and harbor workers' compensation program (33 U.S.C. 901 et seq.) is similar to the OSH Act in that one entity (the Secretary of Labor) is given policymaking and program functions (33 U.S.C. 939 (1982 & Supp. V 1987)), and another entity (the Benefits Review Board) is given adjudicatory authority (33 U.S.C. 921(b)). The Secretary has delegated her authority to the Director, Office of Workers' Compensation. 20 C.F.R. 701.201, 701.202. Deputy Commissioners subordinate to the Secretary (and thus the Director) make initial determinations on benefits claims (33 U.S.C. 919 (1982 & Supp. V 1987)), and their decisions may be appealed to the Benefit Review Board (33 U.S.C. 921(b)). Unlike OSHRC, the Benefit Review Board's members are appointed by the Secretary of Labor; its decisions nevertheless constitute final agency action from which judicial review may be sought by the Director and other aggrieved parties. 33 U.S.C. 921(c). The Black Lung Benefits Act of 1972 (30 U.S.C. 901 et seq.) incorporates this structure. See 30 U.S.C. 932(a) (1982 & Supp. V 1987) (incorporating by reference certain administrative provisions of the Longshore Act). Following Pepco, the courts of appeals have concluded that, because "the BRB's function is more akin to that of a District Court, unlike other agencies' policymaking bodies," due deference should be accorded to the views of the Director, and not the Board, in cases of conflict over statutory or regulatory interpretation between the Director and the Board. Alford v. American Bridge Div., U.S. Steel Corp., 642 F.2d 807, 809 & n.2 (5th Cir. 1981), cert. denied, 455 U.S. 927 (1982). See also Lukman v. Director, OWCP, slip op. 5; Saginaw Mining Co. v. Mazzulli, 818 F.2d 1278, 1283 (6th Cir. 1987); Peabody Coal Co. v. Blankenship, 773 F.2d 173, 175 (7th Cir. 1985); Bethlehem Mines Corp. v. Director, OWCP, 766 F.2d 128, 130 (3d Cir. 1985). Cf. Mullins Coal Co. v. Director, OWCP, 484 U.S. 135, 163-164 (1987) (Court adopts Secretary's reasonable interpretation of black lung regulation that she has promulgated, but also notes Board's agreement with Secretary); Morrison-Knudsen Const. Co. v. Director, OWCP, 461 U.S. 624, 635 (1983) (shared "practice" of Board and the Director is entitled to deference). But see Director, OWCP v. Detroit Harbor Terminals, Inc., 850 F.2d 283, 288 (6th Cir. 1988) (neither Board nor Director is entitled to deference). /16/ The Federal Mine Safety and Health Act of 1977 established a structure for the mine safety and health program similar to the occupational safety and health program. The Secretary of Labor is entrusted with rulemaking, investigative, and prosecutorial authority (30 U.S.C. 811, 813-816 (1982 & Supp. V 1987)), and the Federal Mine Safety and Health Commission has adjudicative powers (30 U.S.C. 815, 823). The legislative history of the MSH Act (which was passed seven years after the OSH Act) confirms that the Secretary of Labor should receive deference as an aspect of her policymaking and administrative responsibilities: "Since the Secretary of Labor is charged with responsibility for implementing the Act, it is the intention of the Committee, consistent with generally accepted precedent, that the Secretary's interpretations of the law and regulations shall be given weight by both the Commission and the courts." S. Rep. No. 181, 95th Cong., 1st Sess. 49 (1977). See also 1 C.F.R. 305.86-4 (recommendation of Administrative Conference of the United States that legislation adopting a split-enforcement model of agency adjudication explicitly provide that the adjudicatory agency should defer to the rule-making agency's interpretations). /17/ To the extent that the same deference rule applies to statutory interpretations, the Secretary cannot correct a Commission interpretation simply by amending a regulation. APPENDIX