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USDOL/OALJ Reporter
Agosto v. Consolidated Edison of New York, 97-ERA-54 (ALJ July 27, 1998)


U.S. Department of Labor
Office of Administrative Law Judges
800 K Street, N.W.
Washington, D.C. 20001-8002

Dated: July 27, 1998

Case No.: 97-ERA-54

In the Matter of

ALBERT AGOSTO
    Claimant

    v.

CONSOLIDATED EDISON CO. OF NEW YORK
    Respondent

Albert Agosto, pro se

David J. Reilly, Esq.
Larry Carbone, Esq.
New York, NY
    For the Respondent

Before: JEFFREY TURECK
    Administrative Law Judge

RECOMMENDED DECISION AND ORDER

   This is a case arising under the employee protection provisions of the Energy Reorganization Act, 42 U.S.C. §5851 ("ERA"). A formal hearing was held in New York City from July 20-23, 1998. Following the completion of complainant's case-in-chief, I granted respondent's motion to dismiss the case. The discussion below sets out the history of this litigation and explains the basis for granting the motion to dismiss.


[Page 2]

Findings of Fact and Conclusions of Law

a. Background

   Complainant Albert Agosto, a quality control ("QC") inspector in the nuclear power industry since 1980, had worked at Respondent Consolidated Edison's ("Con Ed") Indian Point 2 ("IP 2") plant in Buchanan, New York on three occasions prior to 1997. Following his last period of employment there, from January 1994 through July 1995, complainant filed a complaint against Con Ed with the Department of Labor alleging that he was discriminated against due to activities which are protected under the ERA. Following an extended hearing which produced almost 4000 pages of transcript and at least 200 documentary exhibits, I issued a lengthy Recommended Decision and Order ("RD & O") on October 14, 1997 recommending that the complaint be dismissed in its entirety.1 Among other things, I found that the complainant was not terminated from his position as a quality control inspector at IP2 because of complaints to the Nuclear Regulatory Commission or to officials at Con Ed, and that unfavorable evaluations of complainant's performance prepared by his supervisors following his layoff in 1995 which recommended that he not be rehired (see Con Ed Exhibits 1-4) "were not retaliatory" and were "an accurate reflection of complainant's performance." (RD & O, slip op. at 19). Complainant has appealed that decision to the Administrative Review Board, where it is pending.

   In 1997, Con Ed was preparing for another outage at IP2 and therefore had to take on additional QC inspectors. Complainant applied for one of these positions through Spec, the contractor which was supplying the QC inspectors for that outage. Spec referred complainant's application to Con Ed, but he was rejected. Complainant contends that he was rejected by Con Ed because of his protected activity during his last period of employment at IP2, and on May 30, 1997 he filed a complaint under the ERA with OSHA. Respondent contends that complainant was not rehired due to the poor quality of his work during his last period of employment at IP2 as reflected in performance appraisals prepared in September 1995 which recommended that he not be rehired.

   The complaint was found to be without merit by OSHA. Complainant then filed a request for a hearing before this Office which was docketed under Case No. 97-ERA-54. It initially was assigned to Judge Robert Kaplan for hearing and decision. However, since I had heard the previous case filed by the complainant (although I had not yet issued a decision in that case), and respondent contended that the incidents discussed in that case were the basis for its decision not to rehire the complainant, respondent moved that this new case be reassigned to me. With my concurrence, and without objection from the complainant, the case was reassigned to me.


[Page 3]

   Following the issuance of the decision in 96-ERA-2, Con Ed moved for summary judgment in this case, contending that my finding upholding the validity of the 1995 performance appraisals recommending that complainant not be rehired precluded a decision in complainant's favor. However, complainant argued that he should be permitted to prove that respondent's reliance on these performance appraisals in rejecting his application for rehire in 1997 was pretextual, and I agreed that he was entitled to that opportunity. So I denied the motion for summary decision, in an order dated April 23, 1998. Nevertheless, since I had held in 96-ERA-2 that the performance appraisals were reasonable evaluations of his performance and were not retaliatory, complainant was informed that he "will be precluded from presenting evidence to the effect that these evaluations did not accurately reflect his performance on the job ...." In other words, consistent with the doctrine of collateral estoppel, I was not going to permit 96-ERA-2 to be relitigated in 97-ERA-54. Complainant could attempt to prove that the decision to reject him for rehire in 1997 was based not on his poor performance during his previous tenure at IP2 but was due to his protected activity; however, he could not attempt to prove that his performance during his previous tenure at IP2 did not merit the poor performance evaluations he received, since that issue had been fully litigated in 96-ERA-2 and had been decided against him.    Complainant did not indicate any disagreement with this ruling. Rather, consistent with it, complainant's pre-hearing statement listed his factual contentions as follows:

Complainant contends that Con Edison's reliance on his performance evaluations in deciding to reject him for the Spring, 1997 Outage is pretextual.

Complainant contends that the four performance evaluations were not the basis for Con Edison's decision in refusing to rehire him.

Nevertheless, at the hearing, complainant continually challenged the evidentiary limitations set out in the April 23, 1998 order. He complained over and over that he could not prove his case if I refused to let him produce evidence regarding his job performance during the 1994-95 period. Moreover, he refused to adhere to this evidentiary limitation, time and again asking lists of questions he knew were beyond the scope of my ruling.2 Over the course of the hearing, complainant kept getting more frustrated with his complete lack of success in establishing that his protected activity was the reason he was not rehired in 1997. He rejected the assistance of the court in trying to direct his questions to permissible topics, preferring time and again to raise his contention that my ruling applying collateral estoppel to this case was erroneous. He then progressed from being argumentative and uncooperative to being outright belligerent and hostile. At one point during a break on Wednesday, July 22, he physically threatened opposing counsel, respondent's quality assurance supervisor, and the court reporter.

   When court adjourned on Wednesday afternoon Douglas Margrey, one of respondent's QC Supervisors who was called by the complainant as an adverse witness, was still


[Page 4]

under direct examination. Following adjournment, complainant again indicated his frustration with the limitations that I had imposed on his presentation of evidence, and stated that he might not return to court on Thursday morning, July 23. Nevertheless, complainant did show up on Thursday morning, and the hearing resumed. Following my ruling in his favor on a discovery matter (see infra), complainant was told to proceed with his direct examination of Margrey. But he repeatedly stated that he could not continue under the restraints imposed on his presentation of evidence, and refused several times to ask Margrey a question. Finally, I ruled that complainant had completed his direct examination of Margrey and permitted respondent to cross-examine. Shortly thereafter, complaining that I did not let him complete his questioning of Margrey, complainant packed up his briefcase and walked out of the courtroom. Respondent conducted a brief cross-examination of Margrey. I then held that complainant, by walking out of the courtroom with the obvious intention of not returning for the remainder of the hearing, had rested his case. Thereupon, respondent moved for a recommended order of dismissal, contending that complainant had not made a prima facie case. I granted the motion.

   As a final procedural note, toward the close of the hearing on Wednesday, July 22, complainant contended that, based on Margrey's testimony, it appeared that respondent had not fully complied with his pre-hearing discovery in that performance evaluations for some previous inspectors rejected for the 1997 outage had not been produced. In fact, what appears to have happened was that respondent's responses to complainant's discovery were complete when filed, i.e., the performance evaluations of all former inspectors rejected for the 1997 outage up to the date the responses to the discovery were filed were turned over. Subsequently, respondent rejected other former inspectors for the 1997 outage, and their performance evaluations were not turned over. Although it did not appear that respondent had any obligation to supplement its discovery to provide these additional documents (see 29 C.F.R. §18.16), to assure that complainant was not prejudiced I ordered respondent, at the start of the hearing on Thursday, July 23, to turn over the performance evaluations of these subsequently rejected inspectors. However, when the case was dismissed a few minutes later, this order to produce became moot, and the remaining performance evaluations do not have to be provided.

b. Discussion of the Evidence

   Complainant presented absolutely no evidence that respondent considered anything other than his past unsatisfactory performance, as reflected in the recommendations not to rehire him from his supervisors, in rejecting him for the 1997 outage at IP2. The evidence establishes that complainant submitted his resume to Spec, the contractor providing QC inspectors for the 1997 outage, and that Spec's Operations Manager, Ralph DeMiranda, informed Margrey, his contact point at Con Ed, that complainant had applied for rehire. Margrey was one of complainant's supervisors during his previous period of employment at IP2, and was therefore familiar with the complainant's performance. He was one of the QC Supervisors who rated complainant as not recommended for rehire subsequent to the 1995 outage, and he knew the


[Page 5]

other supervisors felt the same way. In fact, Margrey testified that complainant had gotten so difficult to work with during the last outage that they tried to get him fired, but were prevented from doing so by Con Ed's upper management.3 Margrey testified that after he was informed complainant had applied for a position for the 1997 outage he consulted Con Ed's counsel, Mr. Carbone, and then, without talking to the other QC Supervisors, called DeMiranda and informed him that complainant was not acceptable. Margrey added that he was not influenced in his decision to reject complainant by the fact that he made complaints to the NRC and the Department of Labor. Margrey's testimony was extremely credible, and I believe him.4

   There is no evidence in the record which contradicts Margrey's testimony that complainant was rejected solely because of his unacceptable performance in 1994 and 1995. Although complainant failed to testify, there is no reason to believe he had any concrete evidence to support his contention that he was rejected for rehire due to his protected activity. Certainly nothing in his proposed exhibits support his position;5 and his questioning of the witnesses who did testify leads me to conclude that he was not in the possession of any information which supported his case. Instead, it seems he was hoping to stumble upon something while questioning the witnesses who he believed played a role in the decision not to rehire him, but nothing turned up.

   The only evidence even remotely supporting his position was testimony from two employees, one a contract inspector, the other a Con Ed management employee, that in the nuclear power industry in general it might not be a good career move to complain to the NRC. This speculative evidence, even if credible, has no probative value in determining whether respondent considered complainant's NRC complaint in determining whether to rehire him. One of these witnesses, Richard Violand, the contract inspector, added that he did not think complainant would be rehired by Con Ed because of his complaint to DOL. This too is mere speculation, and Violand offered no objective basis for this opinion. This evidence does not even remotely establish that complainant was rejected for rehire in 1997 due to his protected activity.

   Since complainant clearly failed to establish a prima facie case that he was rejected for rehire in 1997 due to his protected activity, I granted respondent's motion to recommend dismissal of this case.


[Page 6]

ORDER

   IT IS RECOMMENDED that this case be dismissed due to complainant's failure to establish a prima facie case that he was not rehired in 1997 due to his protected activity.

       JEFFREY TURECK
       Administrative Law Judge

NOTICE: This Recommended Decision and Order will automatically become the final order of the Secretary unless, pursuant to 29 C.F.R. §24.8, a petition for review is timely filed with the Administrative Review Board, United States Department of Labor, Room S-4309, Frances Perkins Building, 200 Constitution Avenue, NW, Washington, DC 20210. Such a petition for review must be received by the Administrative Review Board within ten business days of the date of this Recommended Decision and Order, and shall be served on all parties and on the Chief Administrative Law Judge. See 29 C.F.R. §§ 24.8 and 24.9, as amended by 63 Fed. Reg. 6614 (1998).

[ENDNOTES]

1That decision, under Case No. 96-ERA-2, is incorporated into this decision as Attachment A. It contains a complete discussion of a complainant's burden of proof in a whistleblower proceeding under the ERA (see RD & O, slip op. at 13-15).

2On several occasions, I had to admonish complainant that if he failed to adhere to my evidentiary ruling I would preclude him from asking any more questions. Despite provocation from the complainant, who in effect dared me to do so several times, I did not have to resort to this extreme measure.

3Margrey did not know why upper management prohibited the QC Supervisors from firing complainant.

4There is no direct testimony that Margrey was in any way senior to the other QC supervisors or was authorized to decide by himself which contract inspectors were to be hired or rejected. However, he was Spec's point of contact at Con Ed, and it is clear that he rejected complainant without consulting Fitzgerald, Ferretti or Trombetta.

5Due to complainant's sudden departure from the hearing, only a few of his proposed exhibits were admitted into evidence. But most of his exhibits were parts of exhibits which are in the record in 96-ERA-2, or were excerpts from testimony in that case. Therefore, I was familiar with them. Moreover, in preparation for a motion to dismiss which I expected would be filed after complainant completed his case-in-chief (although at the time I expected that complainant actually would complete his case-in-chief rather than walk out on it), I read all of complainant's proposed exhibits during the course of the hearing.



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