On May 6, 1998, the Complainant sent two
facsimile transmissions to the Chief Administrative Law Judge, at 4:16 PM and 4:36 PM, advising
pursuant to 29 C.F.R. Section 24.4 (d)(2), that he was requesting a hearing with respect to the
adverse findings by OSHA. It is clear that the Complainant's request for a hearing was timely filed
within five business days as required by the regulation.
On May 14, 1998, Respondent Numanco filed with the Chief Administrative
Law Judge objections to the Complainant's request for a hearing contending that the request should
be disallowed as untimely filed and that the determination issued by OSHA stand as the final order
of the Secretary of Labor ("Secretary"). As support for its request, Numanco appended
a copy of the Complainant's notification of his request for hearing reflecting that the cover letter to
Numanco had been written by Complainant's counsel on May 8, 1998, mailed by regular mail three
days later on May 11,1998, and received by Numanco on May 14, 1998.
On May 21, 1998, these consolidated cases were assigned to the undersigned
for hearing. On review of the file, it appeared that no ruling had been rendered on Respondent
Numanco's timeliness objections. Accordingly, on May 22, 1998, I issued an Order to Show Cause
to the Complainant why the objections should not be sustained.
On May 29, 1998, Respondent ComEd, filed by facsimile, a request that the
Complainant's request for hearing be dismissed as untimely. In support of its request ComEd avers
that as of May 29, 1998, it had not been served by any means with the Complainant's hearing
request. Thus, it also contends that since the Complainant has failed to comply with the regulatory
requirements of service on the parties, the Complainant's request for hearing should be dismissed
as untimely and OSHA's determination stand as the final order of the Secretary.
On June 1, 1998, the Complainant, through counsel, filed by facsimile, a
response to my Order to Show Cause. Therein, the Complainant argues that the request to dismiss
the appeal as untimely should be denied. As grounds for its position, the Complainant contends that
notice to the parties of a request for hearing is not jurisdictional and that any such delay, or complete
failure to serve a party with notice of appeal does not affect the validity of the request otherwise filed
with the Chief Administrative Law Judge in a timely manner. The Complainant relies on Jain
v. Sacramento Municipal Utility , 89-ERA-39 (1989) wherein the administrative law judge held,
and the Secretary affirmed (Sec'y Nov. 21,1991), that the copying requirements that were in effect
under the regulations applicable at that time were merely directive, rather than jurisdictional, and did
not defeat a timely request for a hearing filed with the Chief Administrative Law Judge.
[Page 3]
Thereafter, on June 5, 1998, by facsimile, Respondent ComEd filed a letter
in support of its earlier motion and in apparent response to the Complainant's show cause response
related above. In its letter, ComEd states that the Complainant is relying on a superceded version
of the service regulations, that the current rule requires timely notice to the parties, that the
Complainant has failed to comply with the filing requirements and, therefore, the case should be
dismissed.
Lastly, on June 9, 1998, Respondent Numanco filed a response to the
Complainant's response to my show cause order. Therein, Respondent Numanco set forth additional
argument in support of its original request that the Complainant's request for hearing be disallowed.
I have carefully considered all of the arguments of the parties. Based thereon,
the applicable statute and regulations, and the relevant case law, I hereby make the following:
Findings and Conclusions
The relevant parts of 29 C.F.R. Section 24.4(d), provide as follows:
(2) The notice of determination shall include or be
accompanied by notice to the complainant and the respondent that any party who desires
review of the determination or any part thereof, including judicial review, shall file a request
for a hearing with the Chief Administrative Law Judge within five business days of receipt
of the determination. The complainant or respondent in turn may request a hearing within
five business days of the date of the timely request for a hearing by the other party. If a
request for a hearing is timely filed, the notice of determination shall be inoperative, and
shall become operative only if the case is later dismissed. If a request for a hearing is not
timely filed, the notice of determination shall become the final order of the Secretary.
  (3) A request for a hearing shall be filed with the Chief Administrative
Law Judge by facsimile (fax), telegram, hand delivery, or next-day delivery service. A copy
of the request for hearing shall be sent by the party requesting a hearing to the complainant
or the respondent, as appropriate, on the same day that the hearing is requested, by facsimile
(fax), telegram, hand delivery, or next-day delivery service....
As noted above, on March 11, 1998, 29 C.F.R. Section 24.4 was amended in
several respects. The time for filing an appeal was effectively enlarged by changing the time for
filing from five calendar days to five business days. The acceptable methods of service were
explicitly set out to include facsimile (fax), telegram, hand delivery or next-day delivery service.
Notably, regular mail was not included as an acceptable means of service for either a request for
hearing or for notice of such request on the parties to a proceeding. Provisions for cross-appeals
were set forth. Finally, language was added to the rule that "[a] copy of the request for hearing
shall be sent by the party requesting a hearing to the complainant or the respondent (employer), as
appropriate, on the same day that the hearing was requested, by facsimile (fax), telegram, hand
delivery, or next-day delivery service." 29 C.F.R. Section 24.4(d)(3) The rule previously in
[Page 4]
effect simply provided that "[c]opies of any for a hearing shall be sent by the complainant to
the respondent (employer)and to the Administrator." 29 C.F.R. Section 24.4(d)(2)(ii)
The undisputed facts in this case reflect that the Complainant made a timely
request for a hearing with the Chief Administrative Law Judge using one of the prescribed methods
of service. The facts further show that the Complainant failed to serve Respondent Numanco on the
same day as the request for hearing, but rather served it with notice on May 14, 1998, using regular
mail which, under the regulation, is not an acceptable method of service. Finally, the facts
demonstrate that the Complainant has yet to serve Respondent ComEd by any means of service.
Neither Respondent alleges any prejudice due to the Complainant's failure of service in accord with
the applicable regulation. The Complainant asserts no equitable considerations. Thus, the issue
before me is whether in view of timely request for hearing to the Chief Administrative Law Judge,
the Complainant's failure to serve the Respondents with a copy of the request, in a timely manner
or by an acceptable method, defeats jurisdiction to hear this matter, in the absence of a showing of
prejudice to the Respondents.
Contrary to the arguments of the Respondents, the complainant contends that
the changes to the regulation insofar as service of copies of the hearing request on the parties are
largely cosmetic and do not change the holding of the Jain case, supra , upon
which he relies. In Jain , as pointed out by the Complainant, the administrative law judge
found that the copying requirement of the regulation was not jurisdictional because it was not linked
to the finality of the Administrator's findings. Therefore, the administrative law judge found that the
jurisdictional requirements of the regulation had been satisfied simply by a timely filing of a request
for hearing with the Chief Administrative Law Judge and that any prejudice to the respondent therein
had been precluded by a continuance of the hearing.
For want of a better term, the regulations in effect at the time of the
Jain decision were more "loosely" drafted. Other than the word
"shall", the regulations did not require service "on the same day as the hearing is
requested" or set forth any specific manner of service on the parties. Thus, it appears to me
that the recent amendments to the regulations were more than cosmetic as contended by the
Complainant. Moreover, the Complainant's argument amounts to a contention that the service
requirements of the current regulations have no impact on whether he is entitled to a hearing from
a jurisdictional standpoint as long as the request for one is timely served on the Chief Administrative
Law Judge. The logical extension of this reasoning renders the service requirement of the regulation
to be superfluous and basically meaningless. The Complainant certainly seems to be testing the
efficacy of the current regulation by the facts that Respondent Numanco was not timely served by
any acceptable means of service and that the Complainant has yet to effect service on Respondent
ComEd.
[Page 5]
Although the Board has not interpreted the application of the service
requirements in the current regulation, it appears plain to me that the amendments were designed to
be deliberately stringent on the matter of service. Undoubtedly, the Secretary was aware of the more
permissive interpretation of the then regulations accorded under the Jain decision a decade
earlier. In promulgating the new regulations the Secretary could have chosen to not make any
changes or to have adopted the earlier reasoning of Jain . Instead, the service requirements
were made more definitive. As stated in the explanatory notes to the promulgated regulations,
"Sec. 24.4(d)(3) is revised to make it clear that service of copies of the appeal must be done
by the party appealing." 63 Fed. Reg. 6613, at 6617 (Feb. 9,1998) The compulsory language
of the regulation in the context of the underlying intent of the language leaves little room for
interpretation. The service requirement language in the regulation clearly says what it means. It is
apparently the Complainant's position that the regulation does not mean what it says.
Subsections (2) and (3) of the current regulation, when read separately, appear
to be unequivocal. Understanding the interplay between the two sections is another matter, however.
It may well have been an appropriate reading of the earlier sections to view them as addressing
different issues, as in Jain , i.e. , one paragraph dealt with the jurisdictional
requirement to perfect an appeal, while the next section was merely directive on the matter of service
of notice of the appeal to the other parties. I do not believe that the current regulation lends itself
to the same flexibility. While Subsection (2) of the current regulation still mentions finality, the
section also includes the rather significant amendment providing for cross-appeals by the parties to
be filed within five business days of a timely request for a hearing by another party. Subsection (2)
of the current regulation also addresses the issue of the operativeness of OSHA's determination upon
the filing of a timely request for a hearing. Both of these amendments to the regulations are time
sensitive being dependent not only on an initial timely request for hearing to be filed, by one of the
prescribed methods, but also on timely notice to the other parties to the proceeding so that they may
comport with the time constraints for a timely cross-appeal or not take any action pursuant to the
OSHA determination that might not have otherwise been required.
Thus, I find that Subsections (2) and (3) of the current regulation must be
viewed in pari materia , i.e. , the sections must be read, construed and applied
together in order to understand the intent of the Secretary in promulgating them. Application of this
rule of statutory construction obviates any misunderstanding or ambiguities that might otherwise
exist. Simply stated, a party who requests a hearing before an administrative law judge must follow
the regulations precisely in order to perfect an appeal. Although, unlike the earlier regulations, this
approach elevates the matters of service and the acceptable means of service to a jurisdictional level,
rather than separating them into jurisdictional versus directive considerations, it is my belief that this
is the result intended by the Secretary in the current regulations. I also find that a party's failure to
properly serve an opposing party in accord with the regulations gives rise to inherent prejudice to
the opposing party because the failure of service affects the opposing party's ability to respond to an
appeal by a timely cross-appeal or may cause the party to rely on an OSHA finding which is
inoperative.
That the new regulations are to be strictly construed is buttressed by two recent
opinions of the Board. In Degostin v. Bartlett Nuclear, Inc. , 98-ERA-7 (ARB May
4,1998), the Board reiterated that the time limit for filing a request for a hearing must be strictly
[Page 6]
construed, citing, Backen v. Entergy Operations, Inc. , 95-ERA-46 (ARB June
7, 1996), slip op., at p.4; and, Crosier v. Westinghouse Hanford Co. , 92-CAA-3,
(Sec'y Jan 12, 1994), slip op., at p. 10. Id ., slip op., at p. 3. In Staskelunas v. Northeast
Utilities Co. , 98-ERA-8 (ARB May 4, 1998) the Board held that the whistleblower protection
provisions require expedited filing and that a complainant who relies on alternate means for delivery,
e.g ., by mail, assumes the risk that the request may be received beyond the due date.
Further, the Board also stated in Staskelunas , in interpreting the term "receipt"
in 29 C.F.R. Section 24.4(d)(2), that it should be interpreted "literally". Id .,
slip op., at p. 4, footnote 5. It would be disingenuous to find that part of the current regulation
should be interpreted literally in one part and only accorded lip-service in another.
Based on the foregoing, I find and conclude that the Complainant has failed
to perfect a timely appeal in this case by failing to properly serve the Respondents either in a timely
manner or by an acceptable method of service. My conclusions herein are based on the apparent
intent of the Secretary to make the matters of filing and of service jurisdictional in nature and to
apply the regulations strictly as written. If there is to be any other interpretation of the current
regulations it will have to come from the promulgator.
Recommended Order
It is hereby recommended that the Complaint of Jack Webb be dismissed for
failure to file a timely request for hearing and that the determination rendered by OSHA become the
final order of the Secretary.
DANIEL J.
ROKETENETZ
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 Ave., N.W., Washington, D.C. 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]
1 1 / The information provided
to the Complainant as to the number of days within which to file his appeal with the Chief
Administrative Law Judge was incorrect in view of the amendments to 29 C.F.R. Section 24.4 (d)(2),
effective March 11, 1998, which changed the filing date from five calendar days to five business
days.