On December 7, 1989, a Notice of Hearing and Prehearing
Order was issued scheduling a hearing for April 2, 1990, in
Knoxville, Tennessee. The Order directed the parties to file a
witness list, a statement of the issues, a joint stipulation of
facts, an exhibit list and an estimate of the length of time
necessary for hearing. The Order also scheduled a telephone
conference for March 19, 1990. The Prehearing Order contained a
Notice that failure to comply with the prehearing order may
result in dismissal of the complaint or other appropriate sanctions.
On December 18, 1989, the plaintiff filed a motion for
Reconsideration of the Order dated December 7, 1989, scheduling
the case for hearing on April 2, 1990. With his motion he filed
a letter from Johnna L. Eberle, RN, at memorial Hospital stating
that Billings had undergone Coronary Bypass Surgery on November
30, 1989 and would be hospitalized for approximately 10 to 14
days. On January 27, 1990, the Plaintiff filed a motion for
Continuance stating that he had suffered a heart attack on
November 22, 1989 and underwent Bypass Surgery. He submitted a
letter from Dr. Berglund stating that he [Billings] could not
proceed with legal hearings until his clinical situation allowed.
On February 8, 1990, this Administrative Law Judge wrote to Dr.
Berglund asking for a report on Mr. Billings' medical condition,
his prognosis and when Dr. Berglund felt that the Plaintiff's
condition would allow him to go forward with his hearing. On
February 20, 1990, Dr. Berglund replied that "He appears to be
gaining strength, but I feel it would be in his best interest to
be re-evaluated in two months before subjecting him to the
stresses of legal proceedings."
On March 6, 1990, an Order was issued cancelling the hearing
scheduled for April 2, 1990, with a new hearing date to be scheduled
after Plaintiff's re-evaluation which was to take place on
or about April 20, 1990. On March 9, 1990, the Plaintiff filed a
request that the cases be separated and that Judge Hillyard be
disqualified from hearing the cases.
[Page 4]
A telephone conference was held on June 8, 1990 with the
Plaintiff, attorney for the Defendant, and this Administrative
Law Judge, at which time the Plaintiff stated that he was ready
to go forward with his hearings. A hearing date was agreed upon
with the parties and the hearings were scheduled to commence on
August 13, 1990 in Knoxville, Tennessee, with pretrial submissions
to be filed by July 23, 1990. The Plaintiff expressed
concern that a consolidated hearing of all five complaints would
be too lengthy and complicated. The Administrative Law Judge
advised him that the cases would be severed for the purpose of
filing of pleadings, however, after the prehearing submissions
were filed, the cases might be consolidated in order to expedite
the hearing process and lessen the expenses to all parties. The
parties were told that a decision on whether to consolidate one
or more of the cases for hearing would be made after review of
the prehearing submissions and would depend on the similarity of
issues and duplicity of witnesses. Plaintiff was also advised
that his motion for disqualification of Judge Hillyard was denied.
On June 12, 1990 several Orders were issued. A Notice of
Hearing and Prehearing order was issued scheduling the hearing to
commence on August 13, 1990 and requiring the parties to file a
list of witnesses with summary of testimony, a statement of the
issues, a list of exhibits, Preliminary motions and an estimate
as to the length of time required for hearing. The Order provided
a notice, "That failure to timely comply with this prehearing
order, without good cause shown, may result in the dismissal
of the proceeding or the imposition of other appropriate sanctions
against the offending party." An Order was issued severing
the five cases for the purpose of the filing of motions and
pretrial submissions. This Order provided that after review of
the pretrial submissions of the parties, a determination would be
made on whether to consolidate one or more of the cases for
hearing. Such a determination was to be made after review of the
list of issues, witnesses and exhibits. Other Orders were issued
denying the Plaintiff's Motion to Recuse and lifting the Stay of
Proceedings.
On July 18, 1990, the Defendant filed a motion to extend the
time for the filing of its pretrial submission until July 30,
1990. This motion was granted by Order dated July 19, 1990.
On July 20, 1990, the Plaintiff filed a Motion requesting
that the five cases be separated for hearing and requested a time
extension for the filing of his pretrial submission. Plaintiff
[Page 5]
stated that the request for information in all five cases was too
overwhelming. He submitted a letter from Dr. Berglund stating
that "...He [Plaintiff] would benefit from having his trials
staged in single events rather than all five at the same time
since it is unlikely that he would be able to handle the stress
level." Plaintiff wrote on July 25, 1990, requesting that only
one particular case be identified for hearing.
On July 30, 1990, the Defendant filed its prehearing submission.
The Defendant estimated that a hearing on all five complaints
could be completed in one to one and one-half days.
On July 31, 1990, a telephone conference was held with
Plaintiff, attorney for the Defendant and this Administrative Law
Judge. The purpose of the conference was to discuss the prehearing
submissions and determine which cases could actually be
consolidated for hearing after reviewing the prehearing submissions
and the similarity of issues and witnesses. Mr. Billings
stated that he had made no attempt to obtain the information
necessary for the prehearing submission until the week of July
23rd, the date that the prehearing submission was due. Plaintiff
stated that he would like to continue the cases for six months
and then handle them on a one case at a time basis. The Defendant
stated that the issues in all five cases, other than 90-ERA-2
were related and should be tried together. Because the Plaintiff
was unprepared to discuss the hearings, the conference was
concluded with no further discussion or decisions.
On August 2, 1990, an Order was issued cancelling the hearing
because Plaintiff failed to file prehearing submissions and
was not prepared to go forward with the hearing. By letter filed
August 9, 1990, the Plaintiff requested the status of his cases
and said that he felt he could participate in one case at a time.
On August 9, 1990, an Order was issued extending the time
for filing of the Plaintiff's prehearing submission until
September 14, 1990. This Order provided a notice, "Failure to
timely comply with this Order without good cause will result in
the DISMISSAL of the proceeding or the imposition of other appropriate
sanctions." The Plaintiff has not filed any response to
this Order. A second Order was issued on August 91 1990, denying
the Plaintiff's motion to separate. This order again advised the
Plaintiff that no determination had been made as to which cases,
if any, to consolidate for hearing but that determination was to
[Page 6]
be made after reviewing the list of issues and witnesses to be
furnished in the prehearing submissions of the parties. This
order stated that the cases had already been severed by order
issued on June 12, 1990. Therefore, the motion to separate was
denied as being moot.
The Plaintiff wrote on September 13, 1990, stating that he
was able to compile the evidence and witness list for one hearing
at a time. Plaintiff wrote again on September 21, 1990,
requesting that the cases be separated and that one be selected
for hearing. The Plaintiff has never filed a response to the
pretrial order.
DISCUSSION AND APPLICABLE LAW
Twenty-nine CFR section 18.6 provides in pertinent part:
(d) (2) If a party ... fails to comply with... any other
order of the administrative law judge, the administrative
law judge, for the purpose of permitting resolution
of the relevant issues and disposition of the
proceeding without unnecessary delay despite such
failure, may take such action in regard thereto as is
just, including but not limited to the following:
* * *
(v) Rule that... a decision of the proceeding be rendered
against the non-complying party.
Twenty-nine CFR section 18.29 provides that the administrative
judge shall have all powers necessary to the conduct of
fair and impartial hearings, including:
(6) take any action authorized by the Administrative
Procedure Act;
* * *
(8) where applicable, take any appropriate action
authorized by the Rules of Civil Procedure for the
United States District Courts issued from time to
time and amended pursuant to 28 U.S.C. 2072; and
(9) do all other things necessary to enable him or
her to discharge the duties of the office.
[Page 7]
A trial judge is allowed considerable discretion to dismiss
an action for want of prosecution. Tinkoff v. Jarecki , 208 F.2d
861 (1953, CA7 Ill); Locascio v. Teletype Corp ., 694 F.2d 497
(7th Cir. 1983). These rules reflect a court's inherent authority
to control its own docket by way of dismissal of actions in order
to manage the orderly and expeditious disposition of all cases.
An Order of Dismissal sua sponte under Rule 41(b), Fed.R.Civ.P.,
may be entered by the adjudication officer. Link v. Wabash R.
Co. , 370 U.S. 626, 82 S.Ct. 1386, 8 L.Ed. 2d 734 (1962).
It is clear that the district court does have the power
under Rule 41(b), Fed.R.Civ.P., to enter a sua sponte order of
dismissal. Carter v. City of Memphis, Tennessee , 636 F.2d 159
(6th Cir. 1980). The sanction of dismissal is appropriate only
if the attorney's dilatory actions amounted to failure to prosecute
and no alternative sanction would protect the integrity of
pretrial procedures. J. F. Edwards Const. Co. v. Anderson Safeway
Guard Rail Corp ., 542 F.2d 1318 (7th Cir. 1976) (per curiam). As
the Seventh Circuit has stated, "the key is a failure to prosecute,
whether styled as a failure to appear at a pre-trial
conference, failure to file a pre-trial statement, failure to
prepare for conference, or failure to comply with the pre-trial
order." Id . at 1323.
In the instant case, the Plaintiff is representing himself,
and any failure to comply with pretrial orders are directly
attributable to and due solely to the neglect of the Plaintiff.
A review of the facts in this case show that the Plaintiff consistently
failed to comply with Orders of this court. Initially,
delays were granted at Plaintiff's request due to his health
problems. Proceedings were continued and/or stayed pending
improvement of the Plaintiff's health. For these delays the
Plaintiff was not penalized. However, even during this period
the Plaintiff demonstrated a reluctance, if not outright refusal,
to comply with the court's Orders. The Plaintiff failed to
comply with an Order issued in 89-ERA-16, with which this case
had been consolidated, directing him to file a medical report
giving his prognosis and an estimate as to when he would be able
to proceed with hearing. The Administrative Law Judge then
personally wrote to the doctor to get the necessary information.
The Plaintiff, during the telephone conference of June 8,
1990, advised that he was able to proceed with the hearings on
[Page 8]
his complaints. A date for the hearing was agreed upon with all
parties present. A date was also discussed and agreed upon for
the prehearing submissions. Shortly thereafter, on June 12,
1990, a Notice of Hearing and Prehearing Order was issued. Since
that time, the Plaintiff has failed and refused to comply
any Orders of this court.
A telephone conference was conducted on July 31, 1990. The
purpose of the conference was to discuss and schedule hearings on
the cases scheduled to commence on August 13, 1990. The
determination on which cases, if any, were to be consolidated for
hearing was to be made after the parties had filed their pretrial
submission containing the witness list and list of issues. The
Defendant stated in its pretrial submission and in telephone
conferences that the issues were intertwined and the different
cases would require the same witnesses. TVA estimated that all
five cases could be heard in one to one and one-half days. The
Plaintiff did not file a pretrial submission. In fact, the
Plaintiff admitted during a telephone conference that he had made
no attempt to comply with the pretrial order. He said that he
made no attempt to gather the information necessary for compliance
until the week of July 23rd and even then gave no indication
of what, if any, effort he had made for compliance. The scheduled
hearings were cancelled and Plaintiff was given an extension
until September 14, 1990, for filing his pretrial submission. To
date, the Plaintiff has filed no response to the pretrial order.
Plaintiff states that he is unable to handle five cases at
one time. He feels the stress of working these five cases is too
much for him. He submitted a letter from Dr. Robert K. Berglund,
dated July 11, 1990, in which Dr. Berglund stated:
Mr. Douglas Billings is now eight months post-bypass
grafting, but still has occasional chest discomfort
during periods of emotional upset and heavy exertion
for which he remains on medical treatment. He would
benefit from having his trials staged in single
events rather than all five at the same time, since
it is unlikely that he would be able to handle the
stress level ....
Depending on the list of witnesses and issues which were to
be submitted by the Plaintiff in his pretrial submission, one or
more of the cases might have been consolidated for hearing.
[Page 9]
However, the Plaintiff refused to file any response to the pretrial
order and, in effect, has written that he has no intention
of complying with the pretrial order. He wrote that he intends
to comply with Dr. Berglund's recommendation. Dr. Berglund had
no knowledge that all cases could possibly be heard in one to one
and one-half days as estimated by the Defendant and, in fact,
made no recommendation based on the true facts of this case.
The facts show that the complaint was filed on August 7,
1989. A Notice and Prehearing Order was issued on December 7,
1989. Proceedings were then stayed at the request of the Plaintiff
until June 8, 1990, when the Plaintiff advised that his
health had improved to the point that he could proceed with
formal hearings on his cases. At that time, the cases were
severed but were scheduled for hearing at the same time pending
filing of the prehearing submissions by the parties. The Plaintiff
was advised that a decision on which cases, if any, to
consolidate for hearing would be made after review of the issues
and witnesses as listed by the parties in their pretrial submissions.
He was made aware of this on at least six occasions,
twice orally, during telephone conferences of June 8, 1990 and
July 31, 1990 and four times in writing, by memorandum of telephone
conferences dated June 12, 1990 and August 2, 1990 and by
Orders dated June 12, 1990 and August 9, 1990. Plaintiff waited
until shortly before the scheduled trial date before advising the
court that he was unprepared to go forward. This was not in
response to a written notice but in response to a telephone
conference initiated by the Administrative Law Judge. It is to
be noted that all of the numerous telephone conferences conducted
during these proceedings were initiated by the Administrative Law
Judge and were held with the Plaintiff, attorney for the Defendant,
and this Administrative Law Judge. Plaintiff was advised
by notices issued with orders dated December 7, 1989, June 12,
1990, and August 9, 1990, that failure to comply could result in
dismissal of his complaint. The Plaintiff has still made no
attempt to comply with the Pretrial Order.
The Plaintiff has made no attempt to comply with the court's
orders or the time schedules directed by the court but instead
has attempted to stall and dictate the scheduling of the proceedings
according to his wishes and desires. I find that the actions
on the part of the Plaintiff evidence an unqualified indifference
to several court commitments which were continually changed at
the request of the Plaintiff. Plaintiff's contumacious conduct
[Page 10]
warrants dismissal of the complaint for want of prosecution
pursuant to Rule 41(b) of the Federal Rules of Civil Procedure.
See Brazil v. Sambo's Restaurant, Inc. , 27 FR Serv2d 228, Unpublished
No. 77-2231 (7th Cir. 1978), Reh den Nov 13, 1978.
Accordingly, I recommend that the complaint be dismissed for
failure of the Plaintiff to presecute and failure of the Plaintiff
to comply with orders of this court.
Motion For Summary Judgment
The Defendant has moved for Summary Judgment and states that
based upon the entire record there is no genuine dispute of any
material fact and TVA is entitled to dismissal of the complaint
as a matter of law. TVA argues that Plaintiff's allegation of
"blacklisting" is without merit. TVA states that the subject
memorandum recommended procedures intended to focus more attention
by management on the proper handling of ERA complaints and
that attached to the memorandum was a status report of recent
and pending cases involving ERA and other complaints of retaliation,
which included a brief and accurate summary of the status
of complainant's various ERA complaints and of other proceedings.
TVA argues that the report was needed to enable the top nuclear
power managers to be aware of these cases, so as to be able to
respond to inquiries from the NRC, Congress, and others, and to
self-police the treatment of persons who file complaints. TVA
denies that there is any evidence to support a conclusion that
the May 25, 1989, status report was intended to be a directive to
discriminate against any pending or previous ERA complainant.
The Plaintiff has submitted a response to the Defendant's
motion for summary judgment in which he states that he is opposed
to summary judgment and does not give consent to terminate his
complaint. Billings argues that he is entitled to be given the
benefit of all reasonable doubts and inferences and it must be
concluded that genuine issues of material fact remain to be
resolved. With his opposition, Plaintiff has submitted an affidavit
from Frederick E. McCuistion, Jr., who states that his name
was included in the memo of May 25, 1989; that he has many years
of nuclear experience in different fields but has been unable to
get a job in the nuclear industry; and that the information given
in the subject memo should have been circulated in a more confidential
manner.
[Page 11]
The Defendant has filed a response to Plaintiff's opposition
stating that it raises no basis for denial of TVA's motion and
that Plaintiff has not raised a "genuine issue as to any material
fact."
Plaintiff's argument that he does not consent to the termination
of his complaint is without merit. A hearing is not necessary
when there are no material facts in dispute.
Twenty-nine C.F.R. Section 18.40 provides that any party may
move for a summary decision on all or any part of the proceedings.
It further provides:
(d) The administrative law judge may enter summary
judgment for either party if the pleadings, affidavits,
material obtained by discovery or otherwise, or matters
officially noticed show that there is no genuine issue
as to any material fact and that a party is entitled to
summary decision ...
The Supreme Court of the United States strengthened the
"genuine" material fact issue requirements of Rule 56 of the
Federal Rules of Civil Procedure in its trilogy of cases.
Matsushita Electrical Industrial Co., Ltd. v. Zenith Radio Corp .,
475 U.S. 574 (1986); Anderson v. Liberty Lobby, Inc ., 106 S.Ct.
2505 (1986); and Celotex Corp. v. Catrett , 475 U.S. 317 (1986).
The non-moving party must go beyond showing some "metaphysical
doubt" concerning material facts. Matsushita, supra .
The Plaintiff herein alleges that he was "blacklisted" by
virtue of the May 25, 1989 memorandum from Edward S. Christenbury,
General Counsel of TVA, to Oliver D. Kingsley, Jr., Senior Vice
President at TVA. The memo discussed the handling of complaints
filed under the ERA and attached a summary of 27 pending administrative
ERA cases and some of the more recent ERA cases that have
been resolved. Also included were summaries of six pending
non-ERA cases involving Nuclear Power in which a substantial
allegation of retaliation was raised.
Defendant submitted an affidavit from Douglas R. Nichols,
Assistant General Counsel at TVA, who stated that he had input
and responsibility for drafting the subject memorandum and attachment
and that its purpose was to advise Mr. Kingsley about the
handling of ERA cases, about the status of cases pertinent to
this program, and to enable top nuclear power managers to be
[Page 12]
aware of these cases, so as to be able to respond to inquiries
from the NRC, Congress, and others, and to self-police the treatment
of persons who file such complaints. He stated that the
status report provided information about Plaintiff's various
complaints at that time which is a factual account of the complaints,
dates, allegations, disposition by Wage and Hour and
appeal status. An investigation by the TVA inspector general
found no evidence of intent to use the list for blacklisting
individuals.
The Defendant cites the case of Street v. J.C. Bradford &
Co ., 886 F.2d 1472 (6th Cir. 1989), in which the U.S. Court of
Appeals for the Sixth Circuit stated:
[The Supreme Court] ruled that not every issue of fact
or conflicting inference presents a genuine issue of
material fact which requires the denial of a summary
judgment motion. Further, the court held that the
materiality of any fact should be determined by the
substantive law of the case. The Court went even
further and held that the test for deciding a motion
for summary judgment is the same as that for a directed
verdict motion. There is no issue for trial, the Court
stated, unless there is sufficient evidence favoring
the nonmoving party for a [trier of fact] to return a
verdict for that party. Thus, the Court concluded,
"The mere existence of a scintilla of evidence in
support of the plaintiff's position will be insufficient;
there must be evidence on which the [trier of
fact] could reasonable find for the plaintiff." [886
F.2d at 1477; citations omitted].
The Sixth Circuit continued:
8. The respondent cannot rely on the hope that the
trier of fact will disbelieve the movant's denial of a
disputed fact, but must "present affirmative evidence
in order to defeat a properly supported motion for
summary judgment."
* * * * *
10. The trial court has more discretion than in the
"old era" in evaluating the respondent's evidence. The
respondent must "do more than simply show that there is
some metaphysical doubt as to the material facts."
[Page 13]
Further, "[w]here the record taken as a whole could not
lead a rational trier of fact to find" for the respondent,
the motion should be granted [id. at 1478-80;
footnotes omitted].
The memorandum to which Plaintiff refers contains no evidence
of blacklisting. At the most, Plaintiff's charges are mere
speculation and conjecture. "On issues where the non-movants
bear the burden of proof..they must reliably demonstrate specific
facts sufficient to create an authentic dispute..." Garside v.
Osco Drug, Inc. , 895 F.2d 46 (1st Cir. 1990).
In Gagne v. Northwestern Nat'l Ins. Co. , 881 F.2d 309 (6th
Cir. 1989), the defendant in an age-discrimination case moved for
summary judgment. On the issue of whether the discharge was
motivated by age, the plaintiff's sole evidence was her affidavit
and deposition testimony that her supervisor once told her he
"needed younger blood." The Sixth Circuit held this evidence
was legally insufficient to avoid summary judgment. The isolated
supervisor's statement was too "ambiguous" and "abstract" to
create a genuine fact issue.
This case contains no facts to indicate that TVA or NRC used
or intended to use the subject memo for "blacklisting" the Plaintiff
or other employees. The Plaintiff has not demonstrated
facts sufficient to create an authentic dispute. I find that the
record taken as a whole could not lead a rational trier of fact
to find for the Plaintiff. Based on the record as a whole, I
have determined that the Defendant's motion should be granted.
Accordingly, I recommend that summary judgment be entered in
favor of the Defendant against the Plaintiff and that the complaint
be dismissed.
RECOMMENDED ORDER
It is, therefore,
ORDERED that the complaint of Douglas E. Billings is hereby
DISMISSED WITH PREJUDICE .
ROBERT L. HILLYARD
Administrative Law Judge
[ENDNOTES]
1 This case was consolidated with four
other cases filed by the
Plaintiff. On November 21, 1989, an Order was issued consolidating
the instant case with 89-ERA-16 and 89-ERA-25, two other
complaints filed by the Plaintiff against TVA. On December 7,
1989, an Order was issued consolidating the instant case with
90-ERA-8, a case filed by Plaintiff against TVA, on October 14,
1989. On February 14, 1990, an Order was issued consolidating
the instant case with 90-ERA-18, a complaint filed by Plaintiff
on June 1, 1989.