Commonwealth v. Marks Contracting, Ltd.
Commonwealth v. Marks Contracting, Ltd.
Opinion of the Court
OPINION BY
We must decide whether field inspectors employed by the Department of Environmental Protection (DEP) are vested with the authority, “by law,” to issue citations for violations of what is colloquially known as the Blasting Act.
Marks is the prime contractor for the McAdoo Borough Sewer Project (Project), which is a construction project that involves installing a sanitary sewer collection system and pump station in the Borough of McAdoo. Mase is a licensed blaster serving on the Project. During the period from October 2002 through January 2003, Parsons, acting in his capacity as a DEP field inspector, filed numerous citations against both Mase and Marks, charging them with various summary offenses under the Blasting Act.
On appeal, DEP argues that its field inspectors are vested by law with enforcement powers under the Blasting Act and, therefore, are “law enforcement officers” as defined under Pa. R.Crim. P. 103.
To determine whether the field inspectors have enforcement power, conferred by statute, we must examine pertinent statutory authority. The first relevant statute is the Blasting Act itself, because it was for violations of this Act that the citations were issued. DEP did not always have enforcement authority for Blasting Act violations; in fact, when the Blasting Act became law on July 10, 1957, the Department of Labor and Industry (L & I) was charged with administering it.
Any person violating any of the provisions of this act, or any of the rules or regulations of the Department of Labor and Industry made pursuant thereto, shall, upon conviction in a summary proceeding, be sentenced to pay a fine of not less than ten dollars ($ 10) nor more than one hundred dollars ($ 100), and upon failure to pay such fine and costs, shall undergo imprisonment for not more than thirty, days.
Although there is no specific grant of authority in the Blasting Act, our inquiry does not end there. We must also examine the enabling legislation which established the agencies involved here, ie., L & I, the Department of Environmental Resources (DER) and DEP, to determine whether enforcement powers are conferred therein. L & I was created by the Act of June 2, 1913, P.L., 396, as amended,
It shall be the duty of the Department of Labor and Industry to enforce the provisions of this act, and the rules and regulations of the said department. Prosecutions for violations of the provisions of this act, or the rules and regulations of the said department, may be instituted by the Department of Labor and Industry.....
(Emphasis added). Thus, to summarize, the status of the law prior to the 1981 reorganization was that L & I had general enforcement powers of those acts under its jurisdiction (including the Blasting Act), and it had the power to institute prosecutions stemming from violations of those acts. Further, in 1929, the legislature acted to make the authority to prosecute specific. That was the state of the law in
In addition to this general grant of enforcement powers, which were transferred to DER/DEP by statute, there has been a legislative trend to specifically grant enforcement authority to DEP. In legislation that pre-dates the early 1960’s, the legislature, as a general rule, used the passive voice when drafting enforcement and penalties provisions. As such, it did not specifically identify who could institute prosecutions or enforce the legislation. See, e.g., under the jurisdiction of L & I, what is colloquially known as the Stuffed Toy Manufacturing Act,
Now, however, the legislative trend is to specifically identify who can institute prosecutions. For example, the General Assembly has, at least twice since the 1986 amendment to the criminal rules that established the definition of “law enforcement officer,” incorporated that term into the legislation when granting authority to an agency to issue citations or enforce the acts within its jurisdiction. The two acts that now incorporate the criminal rule definition of “law enforcement officer” are under the jurisdiction of DEP, Section 9 of the Air Pollution Control Act,
There are good reasons that support granting agency personnel enforcement authority. For example, the regulations implemented under the Blasting Act, indicate a growing need for technical specialization in order to establish the existence of violations. The regulations are highly technical and, in many cases, special equipment and expertise are necessary to determine whether a violation has occurred. In the matter sub judice, numerous citations were issued for blasts that “exceeded the maximum allowable peak particle velocity” at a location closest to a structure designated by the DEP as not owned or leased by the permittee. (Citation No. P4397757-0). A lay person cannot make an educated assessment as to whether such a violation
The courts have also joined the trend by more broadly interpreting legislative grants of authority to include the issuance of citations by inspectors. This is in contrast to earlier case law from this Court that applied a more restrictive interpretation and required that the power to issue citations be expressly conferred.
In support of inferring such authority, Judge Pellegrini cited Commonwealth v. Joki, 330 Pa.Super. 406, 479 A.2d 616 (1984), decided before the criminal rule changes, in which the Superior Court held that a zoning officer had police powers and could institute summary criminal proceedings, and Commonwealth v. Lockridge, 570 Pa. 510, 810 A.2d 1191 (2002), in which the Supreme Court held that because a deputy sheriff had inherent common law power to make arrests, he could also issue summary citations under the Vehicle Code. Using this less stringent approach, Judge Pelle-grini concluded in Daugherty that a code enforcement officer employed by a borough could issue citations for violations of the building code. This is an example of the evolving recognition of more highly specialized law enforcement officials. This current approach provides additional support for interpreting the general legislative grant of enforcement authority of the Blasting Act to include issuing citations.
To summarize, we conclude that field inspectors acting under the Blasting Act have the power and authority to issue citations under Criminal Rule 402 based upon the general enforcement powers conferred by statute, which conclusion is supported by and consistent with the change in the criminal rules to recognize the increasing role of agency inspectors who are not police officers, the trend of the legislature to grant authority to agency inspectors to issue citations, the more flexible standards evolving under the case law and the growing technical specialization required to determine if violations have occurred. We
Judge SMITH-RIBNER concurs in the result only.
ORDER
NOW, May 28, 2004, the order of the Court of Common Pleas of Schuylkill County in the above-captioned matter is hereby reversed and this case is remanded for a trial.
Jurisdiction relinquished.
. Act of July 10, 1957, as amended, 73 P.S. §§ 164-168.
. Marks received 331 citations and Mase 30. Essentially, the citations concern blasting activities that violated the "allowable peak particle velocity” under DEP regulations or that failed to comply with the blasting activity permit in other ways.
. "Blaster” is defined as a "person licensed to fire or detonate explosives in blasting operations.” Section 1 of the Blasting Act, 73 P.S. § 164. A blasting operation is "the use of explosives in the blasting of stone, rock, ore or any other natural formation, or in any construction or demolition work in which six or more employees are engaged....” Id. A blaster-in-charge is "[t]he blaster designated to have supervision and control over all blasting activities related to a blast.” 25 Pa.Code § 211.101. He or she is responsible for the effects of the blast. 25 Pa.Code. § 211.154
. The term "law enforcement officer” is defined as "any person who is by law given the power to enforce the law when acting within the scope of that person’s employment.” Pa. R.Crim. P. 103 (emphasis added).
. This rule, entitled "Persons who shall use Citations,” states that "Law enforcement officers shall ordinarily institute summary proceedings by citation.” Pa. R.Crim. P. 402 (emphasis added). The term "law enforcement officers” was added to the definitional section of the criminal rules in 1986 pursuant to a recommendation by the Criminal Rules Committee (Committee). See 13 Pa. B. 2948-2965 (1983). The official comment to Rule 402 explains, "[i]t is intended that a wide variety of officials will have authority to issue citations and shall do so as provided in these rules. Such authority is, of course, limited by the extent of the enforcement power given by law to such officials ...(Emphasis added.)
The rules do not, themselves, create any substantive right to issue citations, but authorize law enforcement officers to issue citations if, by law, they have enforcement power. Therefore, any right that the field inspectors have to issue citations must derive from the relevant statutory law.
. The Blasting Act was amended twice, once in 1961 to increase the fee for a blaster’s renewal license, see Section 1 of the Act of July 12, 1961, P.L 581 (amending Section 2 of the Blasting Act), and again in 1966 to provide that blasting be performed in accordance with the rules and regulations of the L & I, see Section 1 of the Act of January 26, 1966, P.L. (1965) 1616, (amending Section 3 of the Blasting Act).
. Reorganization Plan No. 8 of 1981 — Storage and Possession of Explosives — Transfer of Powers and Duties, Act of October 28, 1981, P.L. 616, 71 P.S. 751-35 §§ 1-4. Section 2 specifically provided, "All the functions, powers and duties of the Department of Labor and Industry as set forth in the act of July 10, 1957 ... are hereby transferred to the Department of Environmental Resources.”
. Section 501 of the Conservation and Natural Resources Act, Act of June 28, 1995, P.L. 89, as amended, 71 P.S. § 1340.501.
. Section 1 of the Blasting Act, 73 P.S. § 164.
. Section 2 of the Blasting Act, 73 P.S. § 165.
. Section 3 of the Blasting Act, 73 P.S. § 166.
. Section 4 of the Blasting Act, 73 P.S. § 167.
. Section 5 of the Blasting Act, 73 P.S. § 168.
. 71 P.S. §§ 1441-1451.
. Act of June 7, 1923, P.L. 498, as amended.
. Act of April 9, 1929, P.L. 177, as amended, 71 P.S. § 731.
. See Section 2201, 71 P.S. § 561. Section 1901-A The Administrative Code of 1929, 71 P.S. § 510-1, added by Section 20 of the Act of December 3, 1970, P.L. 834, also contained a partial transfer to the Department of Environmental Resources of the powers and duties relating to the Blasting Act, but that transfer is not important for our purposes here.
. Sections 2201 — 2240 of The Administrative Code of 1929, 71 P.S. §§ 561 — 580.20.
. Sections 1901-A — 1937-A of The Administrative Code of 1929, 71 P.S. §§ 510-1 — 510-37.
. 71 P.S. § 1445.
. Act of July 25, 1961, P.L. 857, as amended, 35 P.S. §§ 5201-5209.
. 35 P.S. §§ 5401-5402.
. Act of January 24, 1966, P.L. (1965) 1535, as amended, 35 P.S. §§ 750.1-750.20a.
. Act of November 26, 1978, P.L. 1375, as amended, 32 P.S. §§ 693.1-693.27.
. Act of May 31, 1945, P.L. 1198, as amended, 52 P.S. §§ 1396.1-1396.19a.
. Act of January 8, 1960, P.L. (1959) 2119, as amended, 35 P.S. § 4009. The amendment adding this language was passed in 1992.
. Act of July 6, 1989, P.L. 169, as amended, 35 P.S. § 6021.1306(a).
. See Chapter 211 of Title 25 of the Pennsylvania Code, dealing with explosives, especially 25 Pa. Code § 211.151 (Prevention of damages) and 25 Pa.Code § 211.172 (Monitoring instruments).
. See, e.g., Department of Environmental Resources v. Quaker State Oil Refining Company, 70 Pa.Cmwlth. 107, 452 A.2d 614 (1982)(under old criminal rule Department of Environmental Resources field inspector could not issue citations under Clean Streams Law); Commonwealth v. Domin, 684 A.2d 211 (Pa.Cmwlth. 1996) (township sewage enforcement officer could not issue citations under the Clean Streams Law); Commonwealth v. Theodorou, 777 A.2d 1203 (Pa.Cmwlth. 2001) (township engineer could not issue citations under authority of board of supervisors without such authority being explicitly delegated by that board).
Dissenting Opinion
DISSENTING OPINION BY
I respectfully disagree that Department of Environmental Protection (DEP) field inspectors are empowered to initiate significant criminal prosecutions without reference to law enforcement officers or judicial officers under the statute known as the 1957 Blasting Act.
First, it is undisputed that the 1957 Blasting Act does not expressly authorize agency employees to initiate criminal proceedings.
DEP’s attempt to trace criminal enforcement authority through its predecessor agency lacks merit. The Act of June 2, 1913,
DEP argues authority to prosecute is implicit in Section 5 of the 1957 Blasting Act, which defines summary penalties.
The interpretation invited by DEP violates this basic tenet of statutory construction. The proper interpretation here, being most favorable to the accused, restricts authority to prosecute to those expressly provided such power by law. This conclusion is reinforced by decisions of this Court which require express legislative delegation of the authority to issue criminal citations. See Commonwealth v. Theodorou, 777 A.2d 1203 (Pa.Cmwlth. 2001); Commonwealth v. Domin, 684 A.2d 211 (Pa.Cmwlth. 1996); Dep’t of Envtl. Res. v. Quaker State Oil Ref. Co., 70 Pa.Cmwlth. 107, 452 A.2d 614, 616 (1982)(“any authority in Department personnel to issue criminal citations must, therefore, be conferred by the legislation, and must be express”).
Second, the criminal prosecution power DEP seeks is unnecessary because alternate methods of criminal enforcement are available. The Pennsylvania Rules of Criminal Procedure provide several procedures to initiate summary criminal prosecutions; citation, complaint, and, in rare cases, warrantless arrest. Pa.R.Crim.P. 400. While citation and warrantless arrest are available only to law enforcement officers, a non-law enforcement “affiant”
DEP advances the naive argument that use of the complaint procedure would imperil enforcement because district attorneys and judicial officers acting as issuing authorities lack sufficient sophistication to approve prosecutions for violations of blasting regulations. Suffice it to say that judicial officers and district attorneys routinely address prosecutions involving scientific evidence more complex than that required here. Identification by DNA analysis, hair comparison and fingerprint analysis, time-of-death estimation by forensic entomologists, cause-of-death analysis by pathologists, accident reconstruction by engineers and injury cause and severity opinion by physicians are commonplace. Moreover, as here, district justices and judges will be involved in prosecutions whether initiated by citation or by complaint. Thus, there is no reason to believe prosecutions initiated by citation will be more successful than those commenced by complaint and summons.
Importantly, DEP’s conduct here is inconsistent with citation practice. Citations are intended to provide the accused with prompt notice of minor charges.
Finally, from a policy viewpoint, implying criminal enforcement power in DEP is unwise. It is not the mission of this Court to expand government authority or to facilitate agency prosecutions. The delicate
Accordingly, I would affirm the order of the Court of Common Pleas of Schuylkill County, which concluded that DEP field inspectors lacked power to initiate this significant prosecution without prior reference to law enforcement officers and judicial officers.
. Act of July 10, 1957, P.L. 685, as amended, 73 P.S. §§ 164-168.
. Section 5 of the 1957 Blasting Act, 73 P.S. § 168 provides:
Any person violating any of the provisions of this act, or any of the rules or regulations of the Department of Labor and Industry made pursuant thereto, shall, upon conviction in a summary proceeding, be sentenced to pay a fine of not less than ten dollars ($10) nor more than one hundred dollars ($100), and upon failure to pay such fine and costs, shall undergo imprisonment for not more than thirty days.
. Pa.R.Crim.P. 103 defines "Law Enforcement Officer” as "any person who is by law given the power to enforce the law when acting within the scope of that person’s employment.”
. Pa.R.Crim.P. 103 defines "issuing authority” as "any public official having the power and authority of a magistrate, a Philadelphia bail commissioner, or a district justice.” Judges of the courts of common pleas may act as issuing authority. 42 Pa.C.S. § 912.
. P.L. 396, as amended, 71 P.S. §§ 1441-1451.
. Section 8 of the Act of June 2, 1913, emphasis added. Section 8 was repealed by the Act of June 7, 1923, P.L. 498. Article 29 of the Act of June 7, 1923 (Repealer) repealed Section 8 but not Section 16, which remains in effect.
. 71 P.S. § 1445 (emphasis added).
. DEP asserts implied authority to issue citations is supported by precedents of this Court, the Superior Court, and our Supreme Court. However, the cited cases are distinguishable. In those cases, the officer’s criminal enforcement authority was derived from an express grant or common law. See Commonwealth v. Lockridge, 570 Pa. 510, 810 A.2d 1191 (2002) citing Commonwealth v. Leet, 537 Pa. 89; 641 A.2d 299 (1994)(deputy sheriff's authority to issue citations based on witness statements derived from common law duties of sheriff); Commonwealth v. Daugherty, 829 A.2d 1273 (Pa.Cmwlth. 2003)(expressed authority granted by section 105.1 of the BOCA code); Dep’t of Envtl. Res. v. Blosenski Disposal Serv., 97 Pa.Cmwlth. 489, 509 A.2d 978 (Pa.Cmwlth. 1986)(explicit grant of authority to DEP provided by Section 104(11) of the Solid Waste Management Act); Commonwealth v. Joki, 330 Pa.Super. 406, 479 A.2d 616 (1984)(expressed authority for zoning officer to issue citations provided by local zoning ordinance in accordance with 53 Pa.C.S. § 10617).
.Pa.R.Crim.P. 103 defines "affiant” as "any responsible person capable of taking an oath who signs, swears to, affirms, or, when permitted by these rules, verifies a complaint and appreciates the nature and quality of that person’s act.”
. The Criminal Rules Committee's Introduction to Chapter 4 of the Rules provides in pertinent part, with emphasis added:
The procedures set out in the following rules governing summary cases (as defined in Rule 103) recognize the importance of prompt notice that a summary offense is being alleged, while also taking account of the minor nature of summary offenses. Although the law recognizes the possibility of an arrest in some summary cases, it is intended under these rules that a citation will be issued to the defendant except in exceptional circumstances (such as those involving violence, or the imminent threat of violence, or those involving a danger that the defendant will flee).
Experience with citation procedures indicates that most defendants will obey summary process in summary cases. The rule procedures here, therefore, are generally designed to favor the least intrusive means of instituting a summary proceeding. The general scheme laid out in these rules is that normally summary cases will be instituted not by arrest, but by a law enforcement officer (as defined in Rule 103) handing a citation to the defendant at the time the offense is committed. There may, however, be situations when it is not feasible to immediately issue a citation to the defendant; in these situations, the law enforcement officer would file a citation with the district justice. In the situations when the affiant is not a law enforcement officer, the affiant would file a complaint with the district justice. When either a citation or a complaint is filed with the district justice, the district justice is expected thereafter to issue a summons to the defendant.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.