F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
September 26, 2005
UNITED STATES COURT OF APPEALS
Clerk of Court
TENTH CIRCUIT
THOMAS SLINGLUFF, also known
as Stuck In The Mud,
Petitioner, No. 04-9541
v.
OCCUPATIONAL SAFETY &
HEALTH REVIEW COMMISSION;
UNITED STATES DEPARTMENT
OF LABOR,
Respondents.
PETITION FOR REVIEW OF AN ORDER OF THE OCCUPATIONAL
SAFETY AND HEALTH REVIEW COMMISSION
(OSHRC No. 03-1371)
Submitted on the briefs:
Thomas Slingluff, Pro se Petitioner.
Howard M. Radzely, Joseph M. Woodward, Charles F. James, John Shortall, U.S.
Department of Labor, Washington, D.C. for Respondents.
Before EBEL, McCONNELL, and TYMKOVICH, Circuit Judges.
McCONNELL, Circuit Judge.
Thomas Slingluff, appearing pro se, seeks review of a final decision by the
Occupational Safety and Health Review Commission that affirmed the imposition
of monetary penalties for violation of the Occupational Safety and Health Act of
1970 (“OSHA” or “the Act”), 29 U.S.C. §§ 651-678 (2000). Our jurisdiction
arises under 29 U.S.C. § 660(a). Because we conclude that the Commission’s
decision is supported by substantial evidence and that Mr. Slingluff is subject to
OSHA’s requirements, we affirm. 1
I.
Mr. Slingluff owns a small commercial stuccoing business called Stuck in
the Mud. In June 2003, he and Ben Jaramillo were beginning the process of
stuccoing a building while standing on a scaffolding when a compliance officer
from the Department of Labor inspected the job site. 2
Upon the officer’s
questioning, Mr. Jaramillo stated that he was working for $8/hour and that he had
been on the scaffolding for about an hour and one-half at the time of the
inspection. Tr. at 45-46. The officer issued a citation to Mr. Slingluff that
1
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist the determination of
this appeal. See Fed. R. App. P. 34(a)(2); 10th Cir. R. 34.1(G). The case is
therefore ordered submitted without oral argument.
2
While OSHA charges the Secretary of Labor with rulemaking and
enforcement of its provisions, it gives the task of carrying out adjudicatory
functions to an independent entity, the Commission. See 29 U.S.C. §§ 651(b)(3),
655, 658-59, 661; Martin v. OSHRC, 499 U.S. 144, 147 (1991) (explaining that
OSHA “assigns distinct regulatory tasks to two different administrative actors”).
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alleged three violations of scaffolding regulations that have been adopted by
OSHA 3. See 29 U.S.C. § 658(a); 29 C.F.R. § 1926.451; 29 C.F.R. §§ 1910.11,
1910.12.
Mr. Slingluff timely contested the citation on June 18, 2003, see 29 U.S.C.
§ 659(a), challenging OSHA’s jurisdiction by asserting that he did not qualify as
an “employer” under OSHA, i.e., a person “engaged in a business affecting
commerce who has employees,” 29 U.S.C. § 652(5). He maintained that his
business activities did not affect interstate commerce and that Mr. Jaramillo was
not his employee. Because he contested the citation, the matter was referred to
the Commission for adjudicatory resolution. See 29 U.S.C. § 659(c).
The Secretary of Labor received Mr. Slingluff’s notice of contest on July 3,
2003, thereby triggering a duty to file a formal complaint with the Commission no
more than twenty days after receiving the notice. See 29 C.F.R. § 2200.34. On
July 23, 2003, over Mr. Slingluff’s objection, the Secretary moved for an
extension of time in which to file the complaint. The Secretary filed an amended
3
We are satisfied that the Secretary properly charged Mr. Slingluff with
violation of scaffolding standards set forth in § 1926 of the federal regulations
even though these standards were originally promulgated under the authority of a
different act. See 29 U.S.C. § 655(a); Underhill Constr. Corp. v. Sec’y of Labor, 526
F.2d 53, 56 (2d Cir. 1975) (noting that, “ on May 29, 1971, the Secretary declared the
standards previously promulgated under [the Construction Standards Act] to be
‘established Federal standards’ and promulgated them under OSHA, with a
general effective date of August 27, 1971”).
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motion for extension of time on July 28. The Commission did not explicitly rule
on either motion. Instead, the Chief Judge of the Commission sua sponte filed an
order on August 4, 2003, designating the case for “E-Z Trial pursuant to
Commission Rule 203(a)” and suspending the complaint and answer requirements.
R. Doc. 5. Nevertheless, the Secretary served Mr. Slingluff with a complaint by
mail on August 8. Id. Doc. 7.
Mr. Slingluff moved to dismiss the case on August 13, asserting that the
Secretary had not timely followed Commission procedures nor responded to his
discovery requests. Id. Doc. 6. The Commission denied the motion because of
the designation for E-Z Trial proceedings. R. Doc. 10. The Commission then
afforded Mr. Slingluff a hearing before an administrative law judge (ALJ),
conducted in accordance with the requirements of § 554 of the Administrative
Procedures Act (“APA”). See 29 U.S.C. § 659(c).
After the hearing, the ALJ made the following findings: (1) Mr. Slingluff
is engaged in the construction business; (2) he uses a Dodge truck manufactured
out of state in the course of his work; (3) he had a stuccoing contract at the time
of the violations; (4) he hired Mr. Jaramillo for the duration of the project or until
he no longer needed Mr. Jaramillo’s services; (5) both Mr. Slingluff and
Mr. Jaramillo understood that Mr. Jaramillo worked for Mr. Slingluff; (6)
Mr. Slingluff provided the materials with which Mr. Jaramillo worked, including
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the scaffolding; and (7) Mr. Slingluff was to pay Mr. Jaramillo an hourly wage.
R. Doc. 19 at 4. Based on these findings, the ALJ concluded that Mr. Slingluff
“is a person engaged in a business affecting commerce who has employees, he is
an ‘employer’ as defined by . . . the Act, and is subject to its provisions.” Id. at 5.
Because Mr. Slingluff had conceded to the validity of the substance of the
citations, the ALJ affirmed them in their entirety.
Mr. Slingluff petitioned for discretionary review by the Commission, and
when no Commissioner directed a review, the ALJ’s decision became the final
decision of the Commission. See 29 U.S.C. § 661(j). Mr. Slingluff timely sought
review in this court.
II.
In his petition for review, Mr. Slingluff raises various claims of procedural
and substantive error, but his focus is primarily on his claim that OSHA’s
jurisdiction over him violates his constitutional rights.
With respect to our standard of review, 29 U.S.C. § 660(a)
mandates that the “findings of the Commission with respect to
questions of fact, if supported by substantial evidence on the record
considered as a whole, shall be conclusive.” Additionally, the
Commission’s legal conclusions will generally be upheld if found not
to be arbitrary, capricious, an abuse of discretion or otherwise not in
accordance with law. 5 U.S.C § 706(2)(A). Likewise, OSHA’s
interpretations of its regulations are entitled to deference.
Interstate Erectors, Inc. v. OSHRC , 74 F.3d 223, 226 (10th Cir. 1996).
“Substantial evidence is such relevant evidence as a reasonable mind might accept
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as adequate to support a conclusion, and it must be enough to justify, if the trial
were to a jury, a refusal to direct a verdict when the conclusion sought to be
drawn from it is one of fact for the jury.” Kent Nowlin Constr. Co., Inc. v.
OSHRC , 648 F.2d 1278, 1279 (10th Cir. 1981) (quotation marks and citation
omitted). Of course, as with any administrative agency adjudicatory proceeding
conducted under the APA, we may also set aside an agency determination not only
if it is “arbitrary, capricious, an abuse of discretion, or otherwise not in
accordance with law,” 5 U.S.C. § 706(2)(A), but also if it is “(b) contrary to
constitutional right, power, privilege, or immunity; (c) in excess of statutory
jurisdiction, authority, or limitations, or short of statutory right; (d) [made]
without observance of procedure required by law; (e) unsupported by substantial
evidence; or (f) unwarranted by the facts to the extent they are subject to de novo
review.” Custer County Action Ass’n v. Garvey , 256 F.3d 1024, 1030 n.6 (10th
Cir. 2001) (citing 5 U.S.C. § 706(2)(b)-(f)).
When we review an agency’s decision under the arbitrary,
capricious or abuse of discretion standard, our review is narrow and
deferential; we must uphold the agency’s action if it has articulated a
rational basis for the decision and has considered relevant factors.
However, these limitations do not apply to questions of law.
Mountain Side Mobile Estates P’ship v. Sec’y of HUD , 56 F.3d 1243, 1250
(10th Cir. 1995) (quotation marks, bracket, and citation omitted).
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III.
A. Interstate commerce . Mr. Slingluff first argues that the ALJ erred in
concluding that Stuck in the Mud is a business affecting interstate commerce
because the ALJ based his decision solely on the fact that Mr. Slingluff uses a
truck in his business that was manufactured in another state. 4
But Mr. Slingluff’s
first premise – that the ALJ based his conclusion solely on that finding – is
incorrect. The ALJ made an additional finding regarding the effect
Mr. Slingluff’s business has on interstate commerce: that it involved
construction. 5
Noting that the Commission has held that “construction is in a
class of activity which as a whole affects interstate commerce,” the ALJ
concluded that the Secretary of Labor had “adequately established that Slingluff
operates a business affecting interstate commerce.” R. Doc. 19 at 4.
Mr. Slingluff next argues that, even if construction activities in general
may affect interstate commerce, the Secretary failed to establish that his particular
4
We reject Mr. Slingluff’s contention that, because his truck is his personal
property and is not used in a business of “hauling for hire,” Petitioner’s Br. at 4,
the ALJ improperly considered the undisputed fact that he uses the truck in his
stucco business. See Tr. 22-23.
5
“Construction” is defined as “work for construction, alteration, and/or
repair, including painting and decorating.” 29 C.F.R. § 1926.32(g); see id.
§ 1910.12(a) (adopting standards prescribed in section 1926 as OSHA standards).
In light of this regulatory definition, we decline Mr. Slingluff’s invitation to
define “construction” by using a general definition provided in B LACK ’ S L AW
D ICTIONARY .
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business has a sufficient nexus with interstate commerce to support federal
regulation of his activities. The Secretary contends that it is not necessary to
prove that Mr. Slingluff’s independent activities substantially affect interstate
commerce as long as the aggregate impact of the whole class of similar or related
activity, i.e., stucco work, substantially affects interstate commerce, citing
Wickard v. Filburn , 317 U.S. 111, 127-29 (1942) (intrastate production and
consumption of wheat), Hodel v. Virginia Surface Mining & Reclamation Ass’n,
Inc. , 452 U.S. 264, 268 (1981) (intrastate mining), and United States v. Lopez,
514 U.S. 549, 561 (1995). Mr. Slingluff does not challenge the ALJ’s finding
that the business of stuccoing/construction affects interstate commerce; he argues
that his specific construction activity does not have the requisite effect on
interstate commerce to warrant federal regulation.
In United States v. Bolton, 68 F.3d 396 (10th Cir. 1995), we examined our
commerce-clause jurisprudence in light of the Supreme Court’s decision in Lopez .
We concluded that, where economic activities are the subject of regulation,
“Lopez did not . . . require the government to show that individual instances of
the regulated activity substantially affect commerce to pass constitutional muster
under the Commerce Clause.” Bolton , 68 F.3d at 399. Rather, Lopez recognized
that if a federal “statute regulates an activity which, through repetition, in
aggregate has a substantial effect on interstate commerce, ‘the de minimis
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character of individual instances arising under that statute is of no consequence.’”
Id. (quoting Lopez, 514 U.S. at 558) (citation omitted). We conclude that the ALJ
did not err in holding that Mr. Slingluff’s stuccoing/construction business is
subject to OSHA regulation because the economic activity of
stuccoing/construction, as an aggregate, affects interstate commerce.
B. Employer status. Mr. Slingluff argues that Mr. Jaramillo was not his
employee, and, therefore, that he is not an employer. The Act defines “employee”
as meaning “an employee of an employer who is employed in a business of his
employer which affects commerce.” 29 U.S.C. § 652(6). This circular definition
is not helpful, so the Commission has adopted standards for determining who is
an employee under the Act that are consistent with a Supreme Court case holding
that the term “employee” in a federal statute should be interpreted under common
law principles unless the particular statute specifically indicates otherwise. See
Sec’y of Labor v. Davis , 2001 WL 856241, *3-*4 (O.S.H.R.C. July 30, 2001);
Nationwide Mut. Ins. Co. v. Darden , 503 U.S. 318, 322-23 (1992).
A key consideration in determining whether Respondent was the
actual employer of particular workers is whether it had the right to
control the manner and means by which they carried out their work.
The Commission has considered a number of factors when making
such a determination, including the following:
1) Whom do the workers consider their employer?
2) Who pays the workers’ wages?
3) Who has the responsibility to control the workers?
4) Does the alleged employer have the power to control the workers?
5) Does the alleged employer have the power to fire, hire, or modify
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the employment condition of the workers?
6) Does the workers’ ability to increase their income depend on
efficiency rather than initiative, judgment, and foresight?
7) How are the workers’ wages established?
Sec’y of Labor v. Vergona Crane Co. , 1992 WL 184539 at *2 (O.S.H.R.C.
July 22, 1992). The Commission also considers additional factors set forth in
Darden: “Among the other factors relevant to this inquiry are the
skill required; the source of the instrumentalities and
tools; the location of the work; the duration of the
relationship between the parties; whether the hiring
party has the right to assign additional projects to the
hired party; the extent of the hired party’s discretion
over when and how long to work; the method of
payment; the hired party’s role in hiring and paying
assistants; whether the work is part of the regular
business of the hiring party; whether the hiring party is
in business; the provision of employee benefits; and the
tax treatment of the hired party.” Thus, the central
inquiry . . . is the question of whether the alleged
employer has the right to control the work involved.
Id. (quoting Darden , 503 U.S. at 323-24) (citations omitted).
We review the ALJ’s ultimate finding that Mr. Jaramillo was an
“employee” as defined in the Act for substantial evidence on the whole record,
§ 660(a), keeping in mind that
[c]redibility determinations are particularly the province of the
ALJ. . . . We refuse to substitute our judgment on the credibility of
witnesses for that of the ALJ, absent extraordinary circumstances.
We do not sit as a super trial examiner, and do not weigh the
credibility of one witness against another, nor do we search for
contradictory inferences.
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Ready Mixed Concrete Co. v. NLRB , 81 F.3d 1546, 1551 (10th Cir. 1996)
(quotation marks, citation, and bracket omitted); see also Diaz v. Sec’y of Health
& Human Servs. , 898 F.2d 774, 777 (10th Cir. 1990) (noting that “[c]redibility
determinations are peculiarly the province of the finder of fact, and we will not
upset such determinations when supported by substantial evidence”). In
promulgating the federal APA for administrative agency review, “Congress was
very deliberate in adopting this standard of review. It frees the reviewing courts
of the timeconsuming and difficult task of weighing the evidence, it gives proper
respect to the expertise of the administrative tribunal and it helps promote the
uniform application of the statute.” Consolo v. Fed. Mar. Comm’n , 383 U.S. 607,
620 (1966) (footnote omitted).
Applying these standards, we conclude that substantial evidence supports
the ALJ’s findings. On the day he was issued a citation, Mr. Slingluff indicated
on an unofficial form that he had one employee on site and in the company, and
that he held safety meetings. Although he now claims that he did not understand
the technical meaning of “employee” at the time he filled out the form, his
statements are still admissible. His claim that the ALJ erred in considering the
form he filled out because it was not an official OSHA document is without merit.
Mr. Jaramillo indicated that Mr. Slingluff was his employer on the day of
the citation and that he had worked for Mr. Slingluff before. The ALJ rejected
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Mr. Jaramillo’s trial testimony stating that he did not intend his statements about
being an employee to be taken as a statement of fact. We will not second-guess
that credibility determination.
Although he admits that Mr. Jaramillo eventually helped him stucco the
wall at the work site where he was issued a citation, Mr. Slingluff asserts that, on
the day of the citation, Mr. Jaramillo was not working for him – that they were on
the scaffolding simply talking about spiritual matters. But the ALJ rejected this
testimony, apparently choosing to believe (1) Mr. Slingluff’s trial testimony that
Mr. Jaramillo was in fact working for him that day: “[w]ell, as Ben said on his
employee questionnaire, we were putting the foam up so that we could color the
wall. . . . And that’s what we were using the day that [the officer] videotaped
us,” Tr. at 16-17; (2) Mr. Jaramillo’s statements, made the day of the citation, that
he was working for Mr. Slingluff for $8/hour; (3) Mr. Jaramillo’s trial testimony
that he went up on the scaffolding to help Mr. Slingluff because Mr. Jaramillo did
stucco work; (4) the compliance officer’s testimony that the two men were “on
top of a scaffold working with some foam” when he stopped to inspect the work
site, id. at 42, and (5) Mr. Jaramillo’s testimony that it was possible that he told
the officer that he was working for $8/hour on the day of the citation. Again, we
do not reweigh the credibility of the witnesses.
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The record demonstrates that Mr. Slingluff contracted for the job and for
the scope of the work, provided and paid for all the materials and scaffolding,
controlled when the work would be done, and had complete control over the work
site. Under these circumstances, we conclude that the ALJ’s finding that
Mr. Jaramillo was an employee as defined in the Act is supported by substantial
evidence on the whole record.
C. Other claims of error. Mr. Slingluff asserts that the Commission’s
decision must be overturned because the compliance officer’s questionnaire was
not authorized under 5 C.F.R. Part 1320. But this regulation does not apply to
administrative agency investigations against specific individuals or entities. See
5 C.F.R. Part 1320.4(a)(2).
Mr. Slingluff next asserts that he was prejudiced because the Secretary
failed to provide information about OSHA’s jurisdiction and definitions and the
compliance officer’s status and refused to respond to Mr. Slingluff’s
questionnaire. See R. Doc. 2 at 1, Aplt. Br. at 3. But, under the E-Z Trial
proceedings, “[d]iscovery is not permitted except as ordered by the [ALJ],”
29 C.F.R. § 2200.200(b)(4), and Mr. Slingluff never moved for an order
permitting discovery. Mr. Slingluff also could have posed his questions to the
compliance officer at the hearing, but he did not do so.
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Mr. Slingluff urges reversal because the Secretary did not timely file the
complaint and the Commission did not grant the Secretary’s motion for extension
of time. But the Secretary’s duty to file a complaint within twenty days of notice
of Mr. Slingluff’s contest to the citation was suspended by the Commission’s
assignment of the case to the E-Z Trial proceedings. See 29 C.F.R.
§ 2200.205(a). After assigning the case for E-Z Trial, the motion for extension of
time became moot and Mr. Slingluff suffered no prejudice by the Secretary’s
subsequent filing of the complaint.
The petition to review is DENIED and the order of the Commission is
AFFIRMED.
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