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USDOL/OALJ Reporter
Mackowiak v. University Nuclear Systems, Inc., 82-ERA-8 (ALJ July 25, 1986)


U.S. Department of Labor
Office of Administrative Law Judges
211 Main Street
San Francisco, California 94105
Suite 600
(415) 974-0514
FTS 8-454-0514

CASE NO. 82-ERA-8

In the Matter of

ROBERT MACKOWIAK,
    Complainant,

    v.

UNIVERSITY NUCLEAR SYSTEMS, INC.,
    Respondent.

Ann Cross Eschenbach, Esq.
    5700 Columbia Center
    701 Fifth Avenue
    Seattle, WA 98104
       For the Complainant

Frank E. Drachman, Jr., Esq.
    University Industries Building
    3430 Camino Del Rio North, Suite 200
    San Diego, CA 92108
       For the Respondent

Before: EDWARD C. BURCH
    Administrative Law Judge

DECISION AND ORDER ON REMAND

STATEMENT OF THE CASE

    This case arises under the Energy Reorganization Act (ERA), 42 U.S.C. § 5851. Complainant Robert Mackowiak was employed by


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respondent University Nuclear Systems, Inc. (UNSI) from January 13, 1981 through January 29, 1982 as a quality control inspector (QCI) in the construction of a nuclear power plant in Richland, Washington. Mackowiak filed a claim under the ERA, alleging that he was laid off by UNSI on January 29, 1982, because he was an overzealous QCI, and because he had reported safety problems to the Nuclear Regulatory Commission (NRC).

    Respondent alleged that Mackowiak was laid off in a legitimate reduction in force (RIF) ordered by the prime contractor in the construction of the power plant, Bechtel Corporation.

    Following an administrative hearing on June 8 and July 26, 1982, a recommended decision and order was issued denying Mackowiak's complaint on the ground that he had not made out a prima facie case of discrimination.

    On April 29, 1983, the Secretary of Labor issued a decision and final order denying the complaint. The Secretary found that Mackowiak had made out a prima facie case of discrimination, and that an employee is protected by 42 U.S.C. § 5851 not only when reporting safety violations to the NRC, but also when he/she makes internal complaints of safety problems. However, the Secretary also found that UNSI also had legitimate business reasons for laying off Mackowiak, and that it had met its burden, under Mt. Healthy City School District v. Doyle, 429 U.S. 274, 97 S.Ct. 568, of proving that Mackowiak would have been discharged even if he had not engaged in protected conduct.

    Mackowiak petitioned the Ninth Circuit Court of Appeals for review of the Secretary's decision and final order.

    In a decision rendered on June 22, 1984, the Ninth Circuit upheld the Secretary's findings that Mackowiak had made out a prima facie case of discrimination, and that § 5851 of the ERA protects quality control inspectors from retaliation for internal reports of safety and quality control violations as well as from retaliation for reports to the NRC. However, the Court also held that there was insufficient evidence in the record from which to determine if Mackowiak would have been terminated even if he had not engaged in protected activity. Hence this case was remanded to the Secretary


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for determination of this issue, either by holding evidentiary hearings, or by remanding for a new hearing before an administrative law judge. The Secretary chose to remand for a new hearing, which was held in Seattle, Washington on January 23 and 24, 1986.

ISSUES AND CONCLUSIONS

I. The Admissibility of Shackleton's Testimony:

    Before addressing the main issue in this case, it is necessary to determine, as a preliminary matter, whether the testimony of Ohlen Shackleton should be stricken from the record.

    Ohlen Shackleton, the Director of the Field Office of Investigations (Region 5) of the NRC, testified as to allegations of deliberate wrongdoing by UNSI management personnel which he had received from other UNSI employees on or around the time that Mackowiak was terminated. On cross examination, he declined to state the names of the informing employees. Respondent contends that Mr. Shackleton's testimony should be stricken, since his testimony is hearsay upon hearsay, and since the lack of the informers' identities deprives respondent of the right to ascertain whether or not they were actually UNSI employees, whether or not they had first hand knowledge of the allegations they made, and on what authority they based their allegations (Remand Transcript - RT - pp. 269-270).

    Complainant contends that Mr. Shackleton, as a government investigator, has a limited privilege not to reveal his sources, particularly where, as here, employees would be discouraged from reporting safety violations to the NRC for fear of economic retaliation if their anonymity were not preserved (Complainant's Memorandum of Legal Authorities, pp. 7-8). In support of this position, complainant cites 10 C.F.R. § 9.201, which prohibits NRC employees from disclosing information in NRC files without prior approval of the NRC's General Counsel (Complainant's Memorandum of Legal Authorities, p. 6). Apparently, Mr. Shackleton received permission to testify as to the substance of his investigation, but was not permitted to reveal the names of his sources (RT pp. 263-264).

    To begin with, since this is an administrative proceeding, the fact that Mr. Shackleton's testimony contains hearsay upon hearsay, does not, by itself, bar its admission. As stated in Calhoun v. Bailar, 626 F.2d 145 (9th Cir. 1980). at 148:


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Not only is there no administrative rule of automatic exclusion for hearsay evidence, but the only limit to the admissability of hearsay evidence is that it bear satisfactory indicia of reliability ... [T]he test of admissibility [requires] that the hearsay be probative and its use fundamentally fair. (citations omitted).

    Under 20 C.F.R. Part 18, "Rules of Practice and Procedure For Administrative Hearings Before the Office of Administrative Law Judges":

all relevant, material and reliable evidence is admissable, but may be excluded if its probative value is substantially outweighed by unfair prejudice ... 20 C.F.R. § 18.44(b).

    The leading case on the subject of the so-called informer's privilege is Roviaro v. United States 353 U.S. 53; 77 S.Ct. 623. In that case, the Supreme Court defined the privilege as the Government's privilege to withhold from disclosure the identity of persons who furnish information of violations of law to officers charged with enforcement of that law," Roviaro, at 59. The Court held that where the disclosure of an informer's identity ... is essential to a fair determination of a cause, the privilege must give way." Roviaro, at 60-61.

    Although Roviaro was a criminal case, its principles have been applied to civil cases in general [see In Re Coordinated Pretrial Proceedings, 747 F.2d 1303 (9th Cir. 1984) in the administrative context, to claims arising under the Fair Labor Standards Act 29 U.S.C. § 201 et seq. (see Donovan v. Forbes, 614 F.Supp. 124).

    The burden of demonstrating the need for disclosure of an informer's identity rests with the defendant. United States v. Fixen, 780 F.2d 1434 (9th Cir. 1986).

    Applying both the principles surrounding the application of the informer's privilege and those regarding the admission of hearsay evidence in an administrative proceeding, it is apparent that the question of whether or not Shackleton's testimony should be stricken depends on: (1) its reliability, (2), whether its use will


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unduly prejudice the defendant, and (3) whether the NRC's need to protect its sources outweighs the defendant's need for their disclosure.

    In considering these factors, it is also necessary to bear in mind whether the underlying purpose of section 5851 of the ERA will be served by the admission of this testimony.

    In Calhoun v. Bailor, supra, at 149, the Ninth Circuit outlined some indicia of reliability which may be considered when contemplating the admission of hearsay evidence in an administrative proceeding. Among these are (1) the bias of the declarant, (2) whether the statements are signed and sworn to as opposed to anonymous, oral, or unsworn, (3) whether or not the statements are contradicted by direct testimony, (4) whether or not the declarant is available to testify, and if not, whether no other evidence is available, (4) the credibility of the witness testifying to the hearsay, and (5) whether or not the hearsay is corroborated by other evidence.

    Here, the declarants are all employees of UNSI; however, they are otherwise unknown and so it is unclear whether they were particularly biased against UNSI. Although these employees apparently submitted sworn statements to the NRC (see complainant's exhibit C-AA), none of these statements are of record. However, the only allegations which were directly contradicted by other testimony are the rather conclusory statements that UNSI's management was deliberately violating procedures and mistreating its quality control inspectors (QCI's). (RT pp. 242 & 245).

    Since the employees in question are unknown, they are unavailable to testify. There is other evidence available, namely the testimony of Mr. and Mrs. Mackowiak and other witnesses for the complainant. On the other hand Mr. Shackleton appeared to be a very credible witness, and there is no reason to believe that he would report anything other than what he heard.

    Finally, most of allegations to which Mr. Shackleton testified were corroborated by testimony from the Mackowiaks, Mr. Narbut (another NRC investigator), and even by respondent's witnesses Barry Sachs and Conrad Holt.1 The allegations of mistreatment and deliberate violation of procedures are corroborated only by the Mackowiaks, but can be given little weight in any case, since they are merely expressions of opinion.


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    Because Mr. Shackleton was a very credible witness, and because most of the allegations to which he testified were corroborated, I find that his testimony contains sufficient indicia of reliability to be admissible.

    It is true that respondent is prejudiced by the admission of this testimony, since it does not have the opportunity to cross examine the employees who made the allegations in question. However, whatever prejudice respondent may suffer can be alleviated by according little weight to that part of Mr. Shackleton's testimony which is not corroborated by other evidence.

    Furthermore, if employees engaged in the construction of nuclear power plants are too intimidated by the possibility of economic reprisals to report violations of federal safety standards to the NRC, then there would be virtually no incentive for their employers to observe such standards. The very real threat of an uncontrolled nuclear accident due to a poorly constructed nuclear power plant is of such magnitude that I find that the NRC's need to protect its sources in this case far outweighs respondent's need for their disclosure.

    In addition, according to its legislative history, section 5851 of the ERA was designed to:

[offer] protection to employees who believe they have been fired or discriminated against as a result of the fact that they have testified, given evidence, or brought suit under [the ERA] or the Atomic Energy Act. (1978 U.S. Code Cong. and Adm. News, p. 7303; emphasis added).

This purpose would hardly be served if an employee, upon giving evidence of prohibited discrimination on behalf of a fellow employee, could incurr similar discrimination as a consequence.

    For the reasons discussed above, I shall admit Mr. Shackleton's testimony, but little weight will be accorded to those allegations which are not corroborated by other evidence, and no weight shall be given to unsupported expressions of opinion concerning the motives of UNSI's management personnel.


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II. Why Mackowiak was Laid Off:

    Respondent bears the burden of proving that it would have laid Mackowiak off even if he had not engaged in protected conduct. Mackowiak v. University Nuclear Systems, 735 F.2d 1159, at 1164, citing Mt. Healthy City District v. Doyle, supra.

    The record shows that Mackowiak was layed off on January 29, 1982, in a general reduction in force which was ordered by the prime contractor on the nuclear installation, Bechtel Corporation (RT pp. 52). A total of four QCI's were layed off at that time (RT p. 52). It is undisputed that Mackowiak had more seniority than many of the QCI's who were retained, and that he was the only QCI in respondent's employ at the time of the layoff who was an American Welding Society, Certified Welding Inspector (AWSCWI) (RT pp. 62 & 148).

    Furthermore, during the same week in which Mackowiak and the other 3 QCI's were layed off, two additional QCI's were terminated for excessive absenteeism (RT pp. 148-149 & 335), and one new QCI was hired (RT p. 337). Respondent's witness Conrad Holt, the assistant Quality Assurance/Quality Control manager at UNSI during Mackowiak's employment there, could not offer an explanation as to why the two employees who had been terminated for absenteeism were not included in the general layoff, nor could he explain what would have happened if the new QCI, one Mark Thompson, had been told that a layoff was occurring and he could not be hired as promised (RT pp. 337-339)

    Mackowiak was a member of the Sheet Metal Workers' Union, Local 242, which had a contract with UNSI (original bearing transcript - HT - pp. 55 & 66). The union contract had a seniority clause, which stated that:

In case of layoffs, the last Employee hired shall be the first layed off prviding the ability and efficiency of the employee is substantially equal. (Exhibit 14, p. 3; Record, Vol. I, p. 130).

However, Jerry Dennis, the Union's business manager and financial secretary, testified at the first hearing that this clause was not enforceable (HT pp. 55 & 64).

    Respondent contends that not only was this clause unenforceable (see Respondent's Post Hearing Brief, p. 3), but even if it


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was enforceable, Mackowiak was layed off on January 29, 1982, because he had a bad attitude, he was abrasive, and because he could not get along with other people (RT pp. 53-54, 115, 121-122, 128, 137-138).

    In fact, Mackowiak was issued a "counseling statement" on October 22, 1981, warning him that if his attitude did not improve, he would be terminated within 30 days (RT pp. 45-46 & 48-49). Another QCI, Virginia Robbins, was also issued a counseling statement on that date, for the same reason (RT p. 47). She worked with Mackowiak on swing shift (RT p. 47). Mackowiak was not terminated at the close of the 30 day probationary period, because his attitude seemed to have improved (RT pp. 48-49). However, immediately after the probationary period, he reverted to his pre-counseling statement attitude (RT p. 50).

    Respondent's witnesses testified to a variety of incidents which, respondent contends, are examples of Mackowiak's poor attitude, abrasiveness, and inability to get along with others, and which prove that he would have been terminated even if he had not engaged in protected conduct under section 5851 of the ERA.

    One of these reasons is that Mackowiak allegedly refused to work on the "as-built program." Under this program, UNSI was to sketch the completed work which had been installed within a particular time period and provide this sketch to the architect- engineer for evaluation (RT p. 37). According to Barry Sachs, the Quality Assurance/Quality Control (QA/QC) Manager for UNSI, Mackowiak refused to work on this program, declaring that it was a waste of time (RT p. 37). However, Mackowiak testified that he did in fact work on this program for 2 or 3 months, and identified Exhibit C-U as a record he kept of hangars that called for inspection under this program, with his notes as to which ones needed corrections and which had been "bought off" (i.e. approved) (RT pp. 188 & 192).

    Mackowiak further testified that he called this program a waste of time because he was expected to inspect duct work that was 30 feet high without scaffolding, and he felt he could not perform a complete inspection from that distance (RT pp. 190-191). Nevertheless, he did work on the program (RT p. 191).

    Another problem which Mackowiak had with the as-built program is that, instead of being performed properly, the required procedure was being overidden via speed memos (RT p. 188). In


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particular, he testified that the proper standards required that he only inspect to tolerances of plus or minus one-eighth of an inch, but he was ordered via a speed memo (Exhibit C-C, authored by Barry Sachs on August 18, 1981) to inspect to tolerances of plus or minus one-quarter of an inch (RT p. 193). This speed memo was issued after Mackowiak had received, in response to his Quality Control Request For Information (QCRFI) on July 27, 1981 (Exhibit C-V, p. 2), a speed memo from Conrad Holt (Mr. Sachs' assistant QA/QC manager), dated August 4, 1981, indicating that the one-quarter inch tolerances had been arrived at without reference to UNSI's duct standards, and as such were incorrect (Exhibit C-V, p. 1).

    Paul Narbut, an NRC investigator, also testified that Mackowiak had been concerned about the fact that the as-built program was not being performed in accordance with procedure, and that this was a valid concern (RT pp. 158 & 159).

    Furthermore, on cross examination, Mr. Sachs testified that a stop work order was issued on the as-built program (Exhibit C-D, dated September 18, 1981) because it was not being performed in accordance with the required procedure (RT pp. 71-72), thus lending credence to Mackowiak's assessment that the program was a waste of time.

    In view of this evidence, it appears not only that Mackowiak did not refuse to work on the as-built program, as alleged by Mr. Sachs, but that his criticisms of the program were valid. Hence, his purported refusal to participate in this program cannot be relied upon as a justification for his termination.

    Mr. Sachs testified that another reason for Mackowiak's termination was the fact that when he was by-passed for a promotion over other, less senior quality control inspectors, he wrote to Sachs, "demanding" that Sachs justify this decision (RT pp. 42-43). Sachs stated that the reason he by-passed Mackowiak for the promotion was his inability to work with people (RT pp. 42-43), but that he responded to Mackowiak's demand by stating that "it was a management decision, period" (RT p. 43). He could not remember hearing any further complaint from Mackowiak after this response.

    Mackowiak admitted that he wrote Sachs a QCRFI asking why, with all of his qualifications, he had not been considered for the promotion, but stated that he had never been angry about it (RT, p. 222-223), and that, after issuing the QCRFI, he never brought the matter up again (RT p. 224).


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    When asked why he considered Mackowiak's inquiry concerning the promotion a justification for laying him off, Mr. Sachs responded: "That was only a small part of it. [There was] an ongoing problem with Bob in the way that he was interfacing with people and myself."

    I do not find the above to be persuasive evidence that Mackowiak's inquiry concerning his failure to be promoted formed a part in the decision to lay him off on January 29, 1982.

    Another reason for which respondent allegedly chose to lay Mackowiak off was that he refused to take a liquid penetrant class (RT pp. 40 & 201-202). Apparently he had taken this class once in order to be certified to test welds using the liquid penetrant process (RT pp. 39-40). However, upon completion of the class, the certifications of all the class participants were revoked, because the instructor was not qualified to teach the class (RT pp. 40 & 74). Hence, all of the participants were asked to retake the class, and Mackowiak refused to do so. (RT pp. 39-40 & 74-76). The first time that the class was given, the participants were asked to come in on weekends, on their own time (RT p. 74). Mackowiak testified that he spent 49-50 hours of his own time on this class (RT p. 202). Although Mackowiak could still inspect welds visually without the benefit of this class, he could not do so using the liquid penetrant process (RT p. 40). Mr. Sachs testified that most of the people whose certifications were revoked were angry about it (RT pp. 75-76).

    Based on this evidence, it appears that Mackowiak had some reason to be angry about the revocation of his certification, although he perhaps was somewhat less than diplomatic in his refusal to retake the class. Since he could still perform weld inspections without the liquid penetrant certification, this incident is not, by itself, adequate justification for his layoff. However, it does show a certain abrasiveness in his attitude toward UNSI management.

    Another incident on which respondent relies in justifying Mackowiak's layoff concerns the "red-tagging" of a locked tool crib. Mackowiak testified that upon arriving to inspect the temperature of the rod oven within the crib, he found the door locked (RT pp. 175-176). He testified that he waited for one half


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hour for the tool crib attendant to return so he could enter and inspect the oven (RT p. 177). When no one came, he hung a red tag on the tool crib door, marking it "rod ovens" to denote that only the oven had to be checked (RT p. 178 & 214-215). He knew that this would prevent anyone from drawing or issuing weld rod from that oven (RT pp. 177 & 214), but, he stated, he could not wait any longer because he was behind schedule and had other rod stations to check before his shift was over (RT p. 178).

    Mr. Holt, on the other hand, testified that the tool crib attendant was only gone for about 15 minutes, that the red- tagging of the tool crib prevented anyone from entering the tool crib and withdrawing tools as well as weld rod, and that it took almost 2 hours to locate Mackowiak in order to ascertain the reason for the red tag (RT pp. 115-116). On cross examination, Mr. Holt admitted that he had never spoken to the attendant involved, and had never actually seen the red tag (RT pp. 131-132). He also indicated when told to remove the tag, Mackowiak apparently did so (RT pp. 132-133).

    This incident was not the first time Mackowiak and other QCIs had had trouble gaining access to tool cribs to inspect the rod ovens (RT p. 176). Mackowiak had written a QCRFI on the subject on January 8, 1982 (See Exhibit 10; original hearing). In addition, Lorna Mackowiak (Mackowiak's wife and fellow employee) testified to an incident in which she, too, had had trouble gaining access to the rod stations (RT pp. 287-290; exhibit C-DD).

    Mackowiak also testified that some time after he placed the red tag, he was paged on a loudspeaker (RT P. 179). When he answered the page, Conrad Holt, the assistant QA/QC manager, was on the line, wanting to know why Mackowiak had placed the red tag. When Mackowiak explained why, Holt told him to remove the tag, to which he responded "Well, as long as we can settle this ... it's quite all right with me" (RT p. 180). Mackowiak explained that by "settling this" he was referring to being able to "work it out so we [could] get some keys and combinations so we [could] get in and do our surveillance" (RT p. 180). He further testified that although he and Mr. Holt never arrived at a solution to the problem, he did not have any further problems in gaining access to the rod stations (RT p. 180).

    Since Mr. Holt had no personal knowledge of the tool crib incident, other than the fact that he was the one who told Mackowiak to remove the red tag, I accept Mackowiak's version of it.


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    Based on the evidence, it appears that Mackowiak may have been justified, in view of his previous problems with rod station access, in taking some action to alleviate this problem. However, his red-tagging of the tool crib, with the knowledge that this would prevent anyone from drawing or issuing weld rod, seems to have been a bit extreme. Whether or not this incident justified his layoff, however, depends on the other evidence of record.

    Another incident on which respondent relies as justification for Mackowiak's layoff is the red-tagging of a duct run.2

    According to Barry Sachs, Mackowiak said the duct run was "off location," but it was subsequently found to be on location (RT p. 33). This duct run had previously been approved by day shift QCIs (RT p. 33-34). The red-tagging had the effect of stopping all work in that location (RT p. 35).

    Sachs stated that rather than red tagging the entire duct run, Mackowiak should have asked with his QA (quality assurance) supervisor about it (RT p. 67). However, on cross examination, Sachs admitted that he did not know whether or not Mackowiak had consulted with anyone before placing the tags (RT p. 67).

    Mr. Holt testified that the duct run was found to be acceptable after re-evaluation by day shift QCIs under supervision from a QA superintendent (RT p. 114).

    Mackowiak's version of this event is as follows: He went to inspect a hangar, and found that the critical angle of the duct was welded off center (RT 181-182). He subsequently discovered that all of the hangars in the area had the same problem, so he red-tagged them all (RT p. 182). Before doing so, however, he spoke to "Ginny," his foreman,3 who allowed Lorna Mackowiak to assist him with the tagging (RT 182-183). Some of the ducts had previously been accepted by day shift QCIs (RT pp. 1.83).

    Mackowiak identified exhibit C-S as a speed memo he wrote to his supervisor, Dave Jones, about this matter, asking that the day shift foreman replace the red tags Mackowiak had issued, since they were a part of the "generic problem," (RT p. 184). Apparently someone on day shift had removed the tags, since they couldn't find


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anything wrong with the duct run (RT p. 184). Mr. Jones commented that Mackowiak had made a "good effort," and told him to replace the tags and issue a non-conformance report (C-S).

    Exhibit C-T is the non-conformance report Mackowiak issued on this problem, and includes a diagram showing the position of the allegedly incorrect angle.

    This incident does not justify Mackowiak's layoff. Even if he was mistaken in hanging the tags, and his mistake stopped all work for a time, it appears that at the very worst he was making a good faith effort to perform his duty as a QCI. Since, as the Ninth Circuit has dictated, internal reports of violations of quality control standards are protected under § 5851, the red-tagging of the duct run constitutes such protected conduct. Respondent has not alleged that Mackowiak was incompetent. To the contrary, Barry Sachs stated that Mackowiak was "very competent in inspecting welds" (RT p. 62). To cite this incident as an example of Mackowiak's negative attitude, justifying his early layoff, is an attempt to punish an employee for overzealousness. As such, a violation of § 5851 is established.

    Respondent also states that there was a great deal of unrest between the day and swing shift QCIs at UNSI. As Barry Sachs put it "they were at each other's throats," and the efficiency of both shifts was suffering (RT p. 36). He stated that swing shift QCIs were re-inspecting and rejecting work that had already been accepted by day shift (RT p. 36). He considered Mackowiak and Virginia Robbins to be the leaders of swing shift and apparently the cause of the problem (RT p. 37), although there was no problem within swing shift, and Sachs could not give a reason why the swing shift QCIs were calling the day shift's work into question (RT pp. 61-62). He also stated that when welds were called into question by swing shift, it was the day shift inspector who did the verifying (RT p. 62-63).

    Mr. Con Holt similarly testified to the problem between day and swing shifts. He stated that Mackowiak was re-inspecting work which had already been done, which was not his duty, and that he was one of the "co-leaders" of swing shift (RT p. 112). In Mr. Holt's opinion, the day shift QCIs were competent and doing proper work (RT p. 112). However, Mr. Holt admitted that he had never worked on a nuclear installation before his employment with UNSI, and that he had never been a welder (RT p. 129).


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    Paul Narbut, and NRC investigator, testified that he had had a meeting with swing shift personnel, and was taken aback by the degree of agitation among them (RT pp. 156-157). They reported to him that they felt intimidated by management, because they believed that if they wrote non-conformance reports (NCRS) or reported problems, they would be in trouble (RT p. 161). Narbut felt that such a degree of agitation was indicative of real problems (RT pp. 156 & 171). Mackowiak was at this meeting, but was more reticent than some of the others (RT pp. 157 & 169).

    Narbut also testified that when he expressed his concerns about this agitation to Barry Sachs, Sachs asked him if Mackowiak was involved, to which he responded affirmatively (RT pp. 170- 171). However, according to Narbut, the problem involved more than just swing shift personnel. Some of the day shift people were also upset (RT pp. 171-172).

    Narbut further testified that his investigation of UNSI showed that some of the concerns expressed to him by Mackowiak were valid; specifically, that the as-built program was not being done to procedure, and that there were unreasonable delays in management responses to QCRFIs (requests for information) (RT pp. 158-159).

    Respondent's contention that Mackowiak was somehow responsible for the unrest between the day and swing shift QCIs at UNSI is too vague to be credited as a justification for his layoff. The only specific incident in which Mackowiak re-inspected work which was approved by the day shift involves the red-tagging of the duct run, and since I have found that that was protected activity under § 5851, that does not support respondent's position. Further, Mr. Narbut's testimony that some of Mackowiak's concerns were valid, and that Sachs, when confronted with the allegations made to Narbut, wanted to know if Mackowiak was involved, support the inference that UNSI's management looked with disfavor on employees who reported quality control violations.

    Another incident on which respondent relies is that Mackowiak allegedly had a confrontation with a welder, in which Barry Sachs had to intervene (RT pp. 31-32). However, Mr. Sachs could not remember the name of the welder, nor the substance of the confrontation (RT pp. 31 & 60). Mr. Sachs admitted that he had failed to mention this incident in his deposition (RT p. 60). There was also no mention of this incident at the first hearing.


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    I find that, even if this incident occurred, respondent cannot rely on it to justify Mackowiak's layoff, since it was of so little importance to Mr. Sachs that he failed to mention it both at the first hearing and at his deposition, and since he was the one who decided that Mackowiak would be included in the reduction in force ordered by Bechtel on January 29, 1982 (RT p. 42).

    Respondent also alleged that one of its reasons for laying off Mackowiak was that he had refused to assist in training other QCIs on the inspection of "skewed-T fillet welds," which were difficult welds to inspect (RT pp. 41-42 & 118-119). Mackowiak's assistance was requested because of his qualification as a certified welding inspector under the AWS (the American Welding Society) (RT p. 119).

    Mackowiak testified that he was asked by Mr. Holt to assist one person in the inspection of skewed-T fillet welds, that he asked Mr. Holt if this was a request or an order, and upon learning that it was merely a request, he felt that he had the option to refuse (RT p. 203). Mr. Holt also testified that he had "asked" Mackowiak for assistance (RT p. 119). Mackowiak testified further that when this request was made, his probationary period following the confidential counseling statement had just expired, and he had just learned that he was not to be fired as a result of it (202- 203). Mackowiak apparently refused Mr. Holt's request because he felt wronged by the counseling statement (Rt pp. 221-222), and because he felt that being an instructor was not his province (RT pp. 218-219).

    While Mackowiak's response to this request could have been more diplomatic, the record supports his assertion that he did not refuse a management order. Hence, I cannot find that this refusal constitutes a reasonable basis on which to justify laying him off. The last of respondent's reasons for laying off Mackowiak is that he issued too many QCRFIS, or quality control requests for information, and that only about 10 percent of them were valid (RT pp. 45 & 120). However, Mr. Sachs indicated that this document was designed to facilitate communication between the QCIs and QA management, so that "where there was a gray area or if the QC personnel had questions, they could put them on that document" (RT p. 79). He also testified that the QC inspectors were not discouraged from using this document (RT pp. 79-80).

    Furthermore, Mr. Narbut testified that his investigation had revealed that management's untimely and inaccurate responses to


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these QCRFIs was a valid concern which Mackowiak had brought to his attention (RT p. 158).

    Since the QCRFIs were merely requests for information, rather than assertions of fact, I find it illogical to classify them as valid or invalid. It would appear that if Mackowiak, or any QCI, was unsure of his duties, or what procedure to follow, then it would be incumbent on him to make such a request of management, rather than performing his job incorrectly. Hence, I cannot find any validity in this final reason for Mackowiak's early layoff.

    In summary, only two of the incidents cited by respondent, the red-tagging of the tool crib and the refusal to teach another QCI about T-fillet welds, show that he had an abrasive, or uncooperative attitude. However, I do not find these two incidents to be sufficient justification for his early layoff. Furthermore, the other incidents cited, particularly the as-built program and the red-tagging of the duct run, show that Mackowiak was layed off, in large part, for engaging in protected activity under § 5851.

    As the Ninth Circuit has dictated, "the employer bears the risk that 'the influence of legal and illegal motives cannot be separated.'" Mackowiak v. University Nuclear Systems, Inc., supra, at page 1164 (citation omitted). Hence, I find that Mackowiak is entitled to damages for his early layoff by UNSI.

III. Damages:

    Evidence of additional damages which Mackowiak had incurred since the first hearing on this case was submitted at the remand hearing. In addition, respondent presented evidence demonstrating that it had terminated its activities at the nuclear power plant in Richland, Washington.

    Respondent contends that since the Ninth Circuit's order of remand was confined to the determination of whether or not Mackowiak would have been terminated in absence of his protected activity, evidence of additional damages is outside the scope of the remand hearing, and should not be considered (Respondent's post-hearing brief, p. 19).

    Complainant argues that respondent should not be able to benefit from its improper motive in terminating Mackowiak by having its liability limited to only those damages which were incurred as of


[Page 17]

the first hearing (Complainant's memorandum of legal authorities, pp. 1-5). In the alternative, Complainant argues that if evidence of additional damages is not admitted, then respondent's evidence concerning the termination of its activities at the nuclear power plant also should not be considered (Memo of legal authorities, p. 5).

    The Ninth Circuit did not consider the question of what damages were appropriate in its order of remand.

    In support of his position, complainant cites In the Matter of Ferrell-Hicks Chevrolet, Inc., and Andrew Burinskas, B 1692, No. 134, a National Labor Relations Board (NLRB) case, in which an employer had unlawfully terminated an employee for unionism. The case was originally decided in favor of the employer, but upon remand from the Court of Appeals for the District of Columbia, the NLRB reversed itself and found for the employee.

    In that case, the NLRB found that the employee was entitled to full back pay and reinstatement, and that absent any mitigating factors, the tolling of back pay from the date of the first hearing only served "to benefit the wrongdoer at the expense of the wronged." Supra, at 1694.

    I find that complainant's position has merit. Section 5851 of the ERA dictates that, when a violation has occurred:

the Secretary [of Labor] shall order the person who committed the violation to (i) take affirmative action to abate the violation, and (ii) reinstate the complainant to his former position together with compensation (including back pay), terms, conditions, and privileges of his employment, and the Secretary may order such person to provide compensatory damages to the complainant ... 95851(b)(2)(B). (emphasis added).

It would defeat the purpose of the ERA if back pay and other damages were limited to those which had been incurred by the end of the first hearing. In addition, the legislative history of section 5851 indicates that it is "substantially identical to provisions of the Clean Air Act and the Federal Water Pollution Control Act," both of which acts were patterned after the National Labor Management Act. 1978 U.S. Code Cong. and Adm.News, p. 7303. Hence, it makes sense to employ the rationale expressed in an NLRB case such as Ferrell-Hicks, supra, in deciding this issue.


[Page 18]

    Respondent's witness Conrad Holt testified that the installation work on the nuclear power plant terminated as of May 1, 1982 and that all Level II QCI's were layed off as of May 13, 1982 (RT p. 333). He also stated that Mackowiak was a Level II QCI in rod surveillance at the time of his layoff, and no rod surveillance was done after May 1, 1982 (RT p. 333). Although some QCI's were retained after May 13, 1982, they were senior QCI'S, unlike Mackowiak (RT p. 334). Hence, respondent argues that if a finding of discrimination is made, Mackowiak is not entitled to back pay beyond May 13, 1982 (Respondent's Post-Hearing Brief, pp. 21-24).

    Complainant argues that in absence of discrimination, Mackowiak would not have been layed off until January 28, 1983, based strictly on seniority (Memo of Legal Authorities, pp. 9-11). Complainant also argues that respondent bears the burden of proving when a layoff would have occurred for business reasons, citing Buncher v. NLRB, 405 F.2d 787 (3d Cir. 1968). (Memo of Legal Authorities, p. 9).

    Although Mackowiak testified that he was transferred to rod control surveillance after he received his counseling statement, and that any Level I QCI could have done that work (Transcript, July 26, 1982, pp. 14-15), there is no proof that this transfer was a demotion. Nor is there any proof that he would have been promoted to a Senior QCI had he remained with UNSI after January, 1982. It is too speculative to assume that he would have been both promoted and retained until January, 1983. Hence, I find that Mackowiak is entitled to back pay until May 13, 1982, when both rod surveillance terminated and all other Level II QCI's were layed off.4 5

    Mackowiak is also entitled to compensatory damages under section 5851. This includes expenses which he incurred in attempting to find new employment between January 29 and May 13, 1982. The evidence shows that the following expenses were incurred in connection with Mackowiak's search for new employment during this time period:


[Page 19]

Telephone calls: $429.386

(RT pp. 302-305; Exhibits
C-GG & C-HH).

Gasoline (Trips to New Mexico): $375.00

(RT pp. 310-311, 318 & 320-321).
Exhibits C-NN, C-00, C-QQ).
7

Total: $804.38

    Mackowiak also submitted some evidence that he suffered sleeplessness and worried over his job loss (Transcript, July 26, 1982, pp. 34-35; RT p. 213). However, I do not find this evidence sufficient to sustain a claim for compensatory damages due to emotional distress.

IV. Costs:

    Section 5851 also entities Mackowiak to "all costs and expenses (including attorneys' ... fees) [which have been] reasonably incurred ... in connection with [his] complaint." 42 U.S.C. § 5851(b)(2)(B).

    Mackowiak has claimed $402.00 for the cost of his airline ticket to the Spokane, Washington hearing in 1982. Respondent objects to this expense, on the ground that it does not constitute a damage resulting from his termination. While I agree with respondent that this is not a damage expense, it nonetheless is recoverable as a cost of litigation under section 5851 as long as it was reasonably incurred. See DeFord v. Secretary of Labor, 700 F.2d 281 (6th Cir. 1983), at 288. Since Mackowiak was residing in Alaska, where he had gone to seek work, at the time of the remand hearing (RT p. 175), I find this expense to be reasonable.

    Complainant's counsel has submitted a petition requesting a total of $20,803.55 in attorney's fees and costs in connection with this complaint.

    Respondent objects to that portion of the fees which relate to complainant's appeal of this matter to the Ninth Circuit, citing DeFord v. Secretary of Labor, 715 F.2d 231 (6th Cir. 1983). In that case, an employee been found by the Secretary of Labor to have been discriminated against by his employer under § 5851,


[Page 20]

petitioned the Sixth Circuit for review of the Secretary's assessment of his allowable costs and attorney's fees. The Sixth Circuit held that he was not entitled to his attorney fees before it, because:

... the award of ... attorneys' fees allowable under section 5851 is specifically limited to encompass those incurred "for, or in connection with, the bringing of the complaint upon which the (Secretary's) order was issued." Before this court DeFord did not incur any attorneys' fees or other costs for litigation of claims arising from the complaint upon which the Secretary's order was issued. That complaint was lodged against [the employer]. Rather, DeFord incurred attorneys' fees ... before this court in pursuit of a distinguishable cause--complaints against the Secretary arising out of dissatisfaction with his order. DeFord, at 233.

In dicta, the court in DeFord also said that an award by the Secretary of attorneys' fees incurred before the court would "appear" to be outside the scope of his authority, as a jurisdictional matter. DeFord, at 232.

    Section 5851 states that:

at the request of the complainant, the Secretary shall assess against the person against who in the order in issued ... all costs and expenses (including attorneys' ... fees) reasonably incurred ... by the complainant for, or in connection with, the bringing of the complaint .... 42 U.S.C. § 5851(b)(2)(B) [emphasis added].

Unlike DeFord, Mackowiak's appeal before the Ninth Circuit arose in connection with his complaint under 95851, not under a separate, but related action. Since the plain language of § 5851 states that the Secretary shall award all attorneys fees in connection with the complaint, logic dictates that this should include Mackowiak's fees before the Ninth Circuit. Hence, I decline to follow the dicta in DeFord, supra, indicating that an award by the Secretary of fees before a court appears to be outside the scope of his authority.


[Page 21]

    I find that the fees and costs requested by claimant's counsel in this case are reasonable. Hence, the total amount requested, $20,803.55, is allowed.

ORDER

    1. Respondent is ordered to pay complainant back pay in the amount of $774.25 per week ($154.85 per day times 5 days per week) from January 29, 1982 through May 17, 1982, less ,587.21 for the 82 hours complainant worked in March, 1982, or damages in the total sum of $9,871.60.

    2. Respondent is also ordered to pay complainant compensatory damages in the amount of $804.38.

    3. Respondent is also ordered to pay complainant $402.00 to reimburse him for the expense of his airline ticket to Spokane, Washington to attend the July 26, 1982 hearing.

    4. Respondent is ordered to pay complainant's attorney $20,803.55 as an attorney fee and costs.

       EDWARD C. BURCH
       Administrative Law Judge

Dated: 25 JUL 1986
San Francisco, California

ECB:csw

[ENDNOTES]

1 For example, allegations of improper training of UNSI personnel (RT p. 241) were corroborated by Barry Sachs on pages 87-88 (craft personnel were not properly trained on IPI documentation procedures), and 91 ["QC inspection personnel appear(ed) to be unsure of their responsibilities ..." -- see also exhibit C-H, pp. 2-3], and by Conrad Holt on pages 136-137 ("Part of the fault (re: incorrect documentation of IPI'S) was in the training program"].

2 A duct run is an enclosure through which air flows through the nuclear power plant.

3 "Ginny" is Virginia Robbins.

4 Mackowiak's rate of pay, including benefits, is calculated to be $154.85 per (eight hour) day (see Exhibit C-Y). Apparently he worked 5 days per week (Complainant's Memorandum of Legal Authorities, p. 47).

5 Mackowiak submitted evidence that he worked a total of 82 hours in March of 1982 for Owens-Corning in New Mexico, without specifying the amount he earned during that time period (Exhibit C-GG, p. 1). Because of this inadequate proof of his loss of earnings, his back pay award for the period from January 29, 1982 - May 13, 1982 shall be reduced by 82 hours at the same rate of pay as that which he had earned at UNSI.

6 Although Lorna Mackowiak testified that the total job search-related telephone calls amounted to more than $700.00 (Transcript, June 8, 1982 p. 35; RT p. 303), Exhibit C-HH, which purports to mark the business related calls, only demonstrates a total of $429.38.

7 Exhibits C-NN and C-00 appear to be duplicates of C-QQ, since all of these exhibits purport to show gasoline expenses incurred by Mackowiak in pursuit of work in New Mexico in March, 1982.



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