DocketNumber: N3-2002-0362A, N3-2002-0326A, N3-2002-0325A
Judges: THUNBERG, J.
Filed Date: 11/20/2002
Status: Precedential
Modified Date: 7/6/2016
Defendants move to dismiss the charges on grounds that both regulations were promulgated in violation of the Administrative Procedures Act. Additionally, Defendants also move to dismiss the second set of counts on the grounds that the enforcement of Reg. 7.7.5-1c violated Defendants' due process rights, and that this regulation violates the constitutional privilege against self-incrimination. The State objects to these arguments. The case was first brought in Rhode Island District Court pursuant to §
FACTS AND TRAVEL
In order to preserve the species of summer flounder, the United States Department of Commerce controls the poundage that may be caught by fishermen from each state every year.
As part of its duty to protect fish and wildlife in the state of Rhode Island, the Rhode Island Department of Environmental Management (DEM) is responsible for enforcing the limits set in place by the U.S. Department of Commerce. It does so by enacting rules and regulations, upon the advice of the Rhode Island Marine Fisheries Council (RIMFC), which govern the per-vessel amount of summer flounder that may be caught during certain periods of time, and by requiring fisherman to notify the Rhode Island Office of Law Enforcement (RIOLE) prior to offloading certain amounts of flounder so RIOLE may inspect in order to ensure compliance.2
The summer flounder possession limits for each quarterly season are delineated in DEM Regs. 7.7.1-1 through 7.7.1-4. Between May and September 1999, DEM amended these limits eight times.3 These changes were added to the text of Reg. 7.7.2-2 each time. The amendments changed the possession limits on summer flounder from anywhere between three hundred (300) pounds to zero pounds (completely prohibited). In each case, once DEM decided to change the possession limit, the agency filed the change, in the form of an amendment to the regulation, with the Secretary of State and submitted a press release to the Providence Journal one day prior to the date the amendment went into effect. This is the only notice that commercial fisherman were given concerning the changes in the possession limits.
Defendants are commercial fisherman in Rhode Island affected by these DEM changes.
Between July and September, 1999, Defendants were successful in catching several thousand pounds of summer flounder. Unbeknown to Defendants, DEM had changed the possession limits eight times during the summer. Without realizing they were doing so, Defendants possessed more flounder than the regulations permitted on many different dates during the applicable time period. Defendants were also unaware that they were required by Reg. 7.7.5-1c to notify law enforcement when they would be offloading flounder in excess of the maximum allowable possession limits.
Defendants' fishing expeditions came to a close when a former bookkeeper turned them over to law enforcement for possessing overages of flounder. All three Defendants were charged with multiple violations of possessing overages of flounder and failure to notify law enforcement prior to offloading the flounder from their boats. The Defendants were issued summonses to appear in Rhode Island District Court pursuant to §
ANALYSIS
Validity of Summer Flounder Possession Limit Amendments (Reg. 7.7.2-2)
The first issue addressed by the Court is whether DEM's procedure for amending its summer flounder possession limits comports with the requirements of the Administrative
Procedures Act (APA). Defendants argue that DEM violated the act in implementing each and every amendment because it did not follow the APA requirement that agencies precede amending its regulations with thirty days' published notice and an opportunity for a hearing. The State argues that it was not required to hold a new hearing and provide separate notice for each amendment. The State bases its argument on a DEM regulation, promulgated in 1992, which purports to give DEM authority to amend its regulations without a separate hearing and notice. In the alternative, the State argues that the hearing and notice provided for the 1992 DEM regulation is sufficient for each amendment thereafter.
Administrative Procedures Act Requirements for Amending Regulations The APA grants agencies the authority to adopt, amend, or repeal rules within the agency's jurisdiction. G.L. 1956 §
Administrative Law § 166 (1994). The notice requirement serves an even more crucial role in cases such as the present where changes are constantly being made to the regulations, and where failure to adhere to those regulations can result in criminal penalties and impinge upon fishermen's ability to engage in their livelihood.
While the APA speaks generally to the rulemaking of all agencies, §
DEM's Procedures for Amending Summer Flounder Possession Limits During the summer of 1999, DEM amended its summer flounder possession limit regulation eight times, none of which constituted an emergency situation. In what appears to be a half-hearted attempt to satisfy the notice requirement for some of the amendments, the State has provided the Court copies of three press releases notifying the public. These press releases only exist for three of the amendments, however, and appear to have been published the day before the amended possession limit was to go into effect. Not once in 1999 did DEM give thirty days' prior notice. Additionally, the State has produced no evidence that DEM provided a hearing or any other opportunity for affected persons to be heard on the issue of possession limits prior to each amendment's implementation date. DEM's procedure for amending its possession limit regulation, therefore, did not provide the notice and opportunity for a hearing procedure required by the APA, or by DEM's governing statute, thus prejudicing substantial due process rights of the Defendants.
State's Argument that DEM Followed APA Procedure Alternatively, the Rhode Island Office of the Attorney General (State) argues that DEM did in fact abide by the APA in amending these regulations. The State's argument is that in 1992,
DEM promulgated Reg. 7.7.2-2 which purported to allow the director of Fish and Wildlife (under authority of DEM) to amend summer flounder possession limits at will by merely filing an amendment with the Secretary of State, which is already required under the APA, and issuing a press release at some unspecified point in time.5 This regulation was adopted using proper APA procedure by providing notice and a hearing prior to implementation. Because DEM followed proper APA procedure in enacting this 1992 amendment, the State asserts, it must be a valid and effective regulation delineating the procedure DEM has to follow in amending its regulations.
Therefore, since DEM conformed itself to 7.7.2-2's requirements when it filed the 1999 amendments with the Secretary of State and issued a press release, the State maintains DEM followed proper APA procedure in effectuating the 1999 amendments. In the alternative, the State seems to suggest that the notice and hearing provided prior to the implementation of the 1992 regulation suffice to meet the notice and hearing requirement for amendments thereto.
DEM Reg. 7.7.2-2 Violates APA Requirements The process of agency rulemaking is initiated when the legislature delegates to an administrative agency power to make rules and regulations for the purpose of implementing a statute. Since the agencies themselves are creations of the legislature, they have no inherent power in and of themselves to promulgate regulations absent specific or implied grants of statutory authority. Berkshire Cablevision of Rhode Island, Inc., v Burke,
It is unquestionable that DEM understood its responsibility to abide by the APA in enacting regulations and amendments. This fact is evidenced by letters sent from DEM to the Secretary of State upon filing some of the 1999 amendments. In those letters dated 7/15/99, 8/4/99, and 9/15/99, DEM stated that it was amending the regulation governing summer flounder in accordance with the APA.6 Additionally, the amendment forms themselves, which DEM filed with the Secretary of State, list the APA as DEM's statutory authority to implement the amendment. However, even after acknowledging that it was subject to the APA's authority,
DEM chose to act in contravention of its governing statute and the APA.
As previously stated, the law is clear that agencies may not promulgate regulations without statutory authority to do so. Berkshire Cablevision of Rhode Island, Inc.,
Nowhere, either expressly or impliedly, has the legislature given DEM authority to promulgate regulations that contradict clear requirements of the APA. In fact, even in a portion of DEM's enabling act giving the agency power to fix possession limits, §
The State's argument that the hearing and notice provided prior to 7.7.2-2's promulgation in 1992 satisfy the hearing and notice required for each amendment is completely without merit.
Section 40-32-5 states in unmistakable language that the hearing and notice requirements apply to "the adoption, amendment or repeal" of an agency regulation. The most basic and well-settled rule of statutory construction states that "where ``the language of a statute is clear and unambiguous, the statute may not be construed or extended but must be applied literally.'" State v. Alejo,
For these reasons, this Court finds that Reg. 7.7.2.2, which purports to give DEM the right to amend summer flounder limits at will, violates APA § 40-32-5 and DEM's enabling legislation found in §
Validity of Requirement to Notify Law Enforcement Prior to Offloading Certain Amounts of Summer Flounder (Reg. 7.7.5-1c)
Defendants argue that this provision was also published without proper notice and opportunity for a hearing in violation of the APA. Additionally, Defendants argue that a conviction for violating this regulation would deny them due process because the regulation punishes wholly passive conduct. Finally, Defendants argue that the provision violates their constitutional privilege against compelled self-incrimination.
The State does not address Defendants' first argument and scantily touches upon some of Defendants' other arguments. Without addressing Defendants' due process argument regarding the punishment of wholly passive conduct, the State argues that Defendant's allegation that DEM unlawfully delegated its policing powers is meritless because the purpose of the requirement is to satisfy obligations under the federal government guidelines. Addressing the compelled self-incrimination argument, the State contends that as long as fishermen abide by the possession limits in effect, they will not be required to incriminate themselves.
Reg. 7.7.5-1c requires every licensed person in charge of a commercial vessel carrying more than 200 pounds or the maximum allowable possession amount of flounder to call the Rhode Island Office of Law Enforcement (RIOLE) at least one hour prior and not more than six hours prior to offloading their flounder. This provision, according to the State, was created to ensure compliance with possession limits. Additionally, DEM already has at its disposal, by virtue of its delegated powers from the legislature, several mechanisms it may use to enforce the possession limits. G.L. §
Additionally, §
Reg 7.7.5-1c violates APA requirements The previous section details the APA requirements of notice and an opportunity to be heard which an agency must comply with in promulgating rules and regulations. See G.L 1956 §
7.7.5-1c Violates Due Process Even assuming 7.7.5-1c was promulgated following proper notice and an opportunity for hearing, the regulation violates due process because it punishes wholly passive conduct without proper notice. In this case, even if Defendants were put on notice of the regulation, they could not have fully complied with it without proper notice of the maximum possession limits.
Generally speaking, ignorance of the law is no excuse. Since this regulation was in effect during the summer of 1999, the general rule would require Defendants to abide by it or risk prosecution. An exception to the general rule exists, however. In Lambert v. California,
Id. at 226-227. The Court held that a conviction under the registration provision violated due process when the defendant had no notice that remaining in the city might lead to criminal prosecution. See Id. at 228-30. Lambert's criminal conduct was "wholly passive — mere failure to register. It was unlike the commission of acts, or the failure to act under circumstances that should alert the doer to the consequences of his deed." Id. at 228-29.
Applying the two-pronged Lambert test, this Court finds that the regulation at issue violates due process in the same manner as the Lambert regulation. First, Defendants' conduct was wholly passive in that their criminal conduct was in "doing nothing." The fishermen failed to notify law enforcement of a condition they had no reason to know was unlawful — just as the defendant in Lambert failed to notify law enforcement of her presence in the city. Without doing anything, those who possessed fish could be punished for having the fish lawfully on their boats merely because they failed to call law enforcement.
The second prong of Lambert requires an "absence of ``circumstances that should alert the doer to the consequences of his deed.'" United States v. Denis, 297 F.3d at 29 (quoting Lambert v. California, 355 U.S. at 228). This prong is easily satisfied. First of all, as stated earlier, DEM did not abide by proper notice and hearing requirements in promulgating the maximum possession limits. The regulation requires fishermen to call if they are over 200 pounds or the maximum possession limit. Since DEM changed the maximum limit eight times during the course of 1999, there was no way for Defendants to know whether they possessed over the maximum amount or whether that amount was 200 pounds.
Secondly, it is axiomatic that Defendants would have been aware of the requirement to call law enforcement if they were over the legal limit. Enforcing the regulation would be analogous to upholding a law requiring a drunk driver to call law enforcement before he drives, a trucker to call before he drives with more weight in his truck than is allowed, or the fast driver to let police know he will be speeding. Such laws simply do not exist and that
Defendants should have been aware of such a law relating to their particular occupation is tenuous speculation at best.
Defendants had every right to believe that as long as they had the proper permits and stayed within the possession limits (those they knew of), they were not violating the law. Their failure to call law enforcement was wholly passive conduct which could be punished criminally despite the fact that they had no knowledge of the requirement. Like Lambert, the present case "highlights the limited circumstances in which the State's reliance on a presumption of knowledge strains the constitutional requirement that the liberty and property of persons be dealt with fairly and rationally by the State. The State's power to impose sanctions on individuals is to be tested in part against the rationality of the proposition that those individuals were or could have been aware of their legal obligations." Texaco, Inc. v. Short,
The real issue is whether potential self-incrimination, which is clearly contemplated by the statute (since fisherman are required to call if over the maximum amount), equates to compelled self-incrimination in violation of section thirteen of the Rhode Island Constitution.
This section, entitled "Self-crimination," states that "no person in a court of common law shall be compelled to give self-criminating evidence." R.I. CONST. art. I § 13. It would appear at first glance that this privilege extends only to in-court compelled testimony. The Rhode Island
Supreme Court seemed to extend the privilege, however, to include "disclosures that would support a conviction" and "disclosures that would constitute a link in the chain of evidence needed to initiate a prosecution." Dennis J. Robert II, Attorney General et al v. Communications Investment Club of Woonsocket et al,
"An organized society imposes many burdens on its constituents. It commands the filing of tax returns for income; it requires producers and distributors of consumer goods to file informational reports on the manufacturing process and the content of products, on the wages, hours, and working conditions of employees. Those who borrow money on the public market or issue securities for sale to the public must file various information reports; industries must report periodically the volume and content of pollutants discharged into our waters and atmosphere. . . In each of these situations there is some possibility of prosecution — often a very real one — for criminal offenses disclosed by or deriving from the information that the law compels a person to supply. Information revealed by these reports could well be "a link in the chain" of evidence leading to prosecution and conviction. But under our holdings the mere possibility of incrimination is insufficient . . .
Id. The problem with this regulation is that it requires far more than a possibility of incrimination. Indeed, it targets primarily those fishermen who violate the possession limit regulation rather than all fishermen who engage in catching flounder.
This regulation is arguably analogous to the reporting requirement in G.L (1956) §
The Rhode Island Supreme Court rejected defendant's argument on the basis that the statute merely required those who were involved in the accident, regardless of fault, to provide information concerning the circumstances of the collision. The Court, relying on its reasoning from State v. Lemme,
Forcing fishermen to call law enforcement prior to offloading their flounder when they possess amounts in excess of the permitted limit is a use and abuse of "legal process to force from the lips of the . . . individual the evidence necessary to convict him." Spevack v. Klein,
Additionally, Reg. 7.7.5-1c, requiring fishermen to call law enforcement prior to offloading certain amounts of flounder, also violates the APA as there is no evidence that it was promulgated pursuant to proper procedures. This regulation also violates due process because it punishes wholly passive conduct of which Defendants had no reasonable notice.
Furthermore, this regulation also violates Defendants' state constitutional right against compelled self-incrimination because it forces them to provide the government with incriminating evidence that could be used against them.
Pursuant to the above analyses, this Court holds that both regulations at issue — DEM
Regulations 7.7.2-2 (under Section 7.7.2 entitled "Summer flounder Trip Limits (possession limits)) and Regulation 7.7.5-1c (under Section 7.7.5-1 entitled "Prohibition on the transfer of Summer flounder") — are invalid. Additionally, this Court also finds that the amendments of summer flounder possession limits are invalid. Accordingly, the Court grants Defendants' motion to dismiss all the charges against them.
a. May 1:300 pounds
b. May 26: prohibited
c. June 1:100 pounds
d. July 16:50 pounds
e. August 5: prohibited
f. September 1:300 pounds
g. September 16:100 pounds
h. September 30: prohibited
(a) Prior to the adoption, amendment, or repeal of any rule the agency shall:
(1) Give at least thirty (30) days notice of its intended action. The notice shall include a statement of either the terms or substance of the intended action or a description of the subjects and issues involved, and of the time when, the place where, and the manner in which interested persons may present their views thereon . . .
(2) Afford all interested persons reasonable opportunity to submit data, views, or arguments, orally or in writing . . . . . . (sections omitted) . . .
State v. Alejo , 1999 R.I. LEXIS 6 ( 1999 )
Texaco, Inc. v. Short , 102 S. Ct. 781 ( 1982 )
Hummell v. Superior Court , 100 R.I. 54 ( 1965 )
State v. Lemme , 104 R.I. 416 ( 1968 )
Roberts v. Communications Investment Club of Woonsocket , 1981 R.I. LEXIS 1180 ( 1981 )
United States v. White , 64 S. Ct. 1248 ( 1944 )
Pizza Hut of America, Inc. v. Pastore , 1987 R.I. LEXIS 396 ( 1987 )
State v. Smyth , 121 R.I. 188 ( 1979 )
United States v. Denis , 297 F.3d 25 ( 2002 )
Berkshire Cablevision of Rhode Island, Inc. v. Burke , 1985 R.I. LEXIS 442 ( 1985 )