Office of Administrative Law Judges 603 Pilot House Drive, Suite 300 Newport News, Virginia 23606-1904
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Issue Date: 21 October 2003 CASE NO.: 2002-STA-0034
In the Matter of:
JOHN GRIFFITH,
Complainant
v.
ATLANTIC INLAND CARRIER,
Respondent
Appearances:
Paul O. Taylor, Esquire, for Complainant
W. Byrd Warlick, Esquire, for Respondent
Before:
RICHARD E. HUDDLESTON,
Administrative Law Judge
RECOMMENDED DECISION AND ORDER
This matter arises under the employee protection provisions found at § 31105 of the Surface Transportation Assistance Act of 1982, (hereinafter, "STAA" or the "Act"), as amended, 49 U.S.C. § 31101, et seq.; the regulations promulgated thereunder at 29 C.F.R. Part 1978; and the Rules of Practice and Procedure for Administrative Hearings Before the Office of Administrative Law Judges at 29 C.F.R. Part 18. A hearing was scheduled to commence on Tuesday, May 6, 2003, at 9:00 a.m. at the United States District Court, 500 East Ford Street, Grand Jury Courtroom, Augusta, Georgia, 30901, pursuant to a Notice of Hearing issued on December 4, 2002.
STATEMENT OF THE CASE
On or about February 11, 2002, Complainant John Griffith (hereinafter, Complainant) timely filed a complaint with the United States Department of Labor, Occupational Safety and Health Administration (OSHA), alleging that Respondent, Atlantic Inland Carrier (hereinafter, Respondent), violated 49 U.S.C. § 31105, also known as Section 405 of the Act. In the complaint, Complainant alleged that Respondent discriminated against him by discharging him because of his complaints to Respondent and to Schilli Leasing Maintenance ("SLM"), the owner of the trucks operated by Respondent, regarding safety concerns of the truck and trailer he drove for Respondent. More specifically, Complainant's safety concerns focused on asserted violations of the Federal Motor Carrier Safety Regulations by Respondent and Schilli Leasing. (Sec'y Findings & Order, May 2, 2002, at 1).
The parties agreed to the following stipulations of fact, which were offered and admitted into evidence at the hearing pursuant to 29 C.F.R. § 18.51 (2003):
1. Complainant is an individual residing in Aiken, South Carolina. From October 30, 2001, to December 28, 2001, Complainant was an employee of Respondent as defined in 49 U.S.C. § 31101(2).5
The instant matter is somewhat unique jurisdictionally in that Complainant resided, on the date that the violation occurred, in Aiken, South Carolina, which is within the jurisdiction of the United States Court of Appeals for the Fourth Circuit. The parties have stipulated to the location of Complainant's residence. (See JX-1, and Stipulated Facts, above). Additionally, as discussed below, Complainant was physically present in the state of North Carolina, also in the Fourth Circuit's jurisdiction, when he was discharged from employment with Respondent. However, Respondent's place of business is located in Americus, Georgia, (Tr. of May 8, 2003, at 704), which is within the jurisdiction of the Eleventh Circuit Court of Appeals. Further, the formal hearing was held in Augusta, Georgia, which is where courtroom space was available nearest Complainant's residence.
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Under 49 U.S.C. § 31105(c), a petition for review of this case properly lies "in the court of appeals of the United States for the circuit in which the violation occurred or the person resided on the date of the violation." The statute does not express a preference between where the violation occurred and where the employee resided when the violation occurred, if those locations are different. While the issue of jurisdiction was briefly addressed by the parties at the commencement of the hearing on May 6, 2003, neither of the parties discussed the issue of applicable law in their respective post-hearing briefs.
Clearly the authority to determine where any appeal might lay rests not here, but with the Courts of Appeals. However, these facts are set out to facilitate such determination, in the event of an appeal.
Applicable Law
Complainant's position, briefly stated, is that he engaged in protected activity under Section 405 of the Act, and as a result of that activity, he was discharged from employment with Respondent. Section 405 provides that:
(a) Prohibitions—(1) A person may not discharge an employee, or discipline or discriminate against an employee regarding pay, terms, or privileges of employment, because—
(A) the employee, or another person at the employee's request, has filed a complaint or begun a proceedings related to a violation of a commercial motor vehicle safety regulation, standard, or order, or has testified or will testify in such a proceeding; or
(B) the employee refuses to operate a vehicle because—
(i) the operation violates a regulation, standard, or order of the United States related to commercial motor vehicle safety or health; or
(ii) the employee has a reasonable apprehension of serious injury to the employee or the public because of the vehicle's unsafe condition.
(2) Under paragraph (1)(B)(ii) of this subsection, an employee's apprehension of serious injury is reasonable only if a reasonable individual in the circumstances then confronting the employee would conclude that the unsafe condition establishes a real danger of accident, injury, or serious impairment to health. To qualify for protection, the employee must have sought from the employer, and been unable to obtain, correction of the unsafe condition.
49 U.S.C. § 31105(a) (2002).
Congress enacted the Surface Transportation Assistance Act to "combat[] the ‘increasing number of deaths, injuries, and property damages due to commercial motor vehicle accidents.'" Brock v. Roadway Express, Inc., 481 U.S. 252, 262 (1987) (quoting 128 Cong. Rec. 32509, 32510 (1982) (statement of Sen. Danforth)). The purpose of Section 405 is to "protect[] employees in the commercial motor transportation industry from being discharged in retaliation for refusing to operate a motor vehicle that does not comply with applicable state and federal safety regulations or for filing complaints alleging such noncompliance." Id. at 255.
"The basic Title VII proof scheme governs actions under the STAA." Yellow Freight Sys., Inc. v. Reich, 8 F.3d 980, 983 (4th Cir. 1993) (citing Texas Dep't of Cmty. Affairs v. Burdine, 450 U.S. 248, 252 (1981)); see alsoMoon v. Transport Drivers, Inc., 836 F.2d 226, 229 (6th Cir. 1987). The Supreme Court established the "basic allocation of burdens and order of presentation of proof in a Title VII case alleging discriminatory treatment" in McDonnell Douglas Corp. v. Green, 411 U.S. 792 (1973). Texas Dep't of Cmty. Affairs v. Burdine, 450 U.S. 248, 252 (1981). The employee carries the initial burden of proof and must establish, by a preponderance of the evidence, a prima facie case that the Act was violated. Id. at 252-53. Establishing a prima facie case creates the inference that the protected activity was likely the reason for the adverse action. Id. at 253.
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To establish a prima facie case of retaliatory discharge under Section 405, the employee must establish the following: "(1) that he engaged in protected activity under the STAA; (2) that he was the subject of adverse employment action; and (3) that there was a causal link between his protected activity and the adverse action of his employer." Moon, 836 F.2d at 229; see alsoBurdine, 450 U.S. at 252-53. To aid in the proof of the third element, the employee needs to show that the employer was aware that the employee had engaged in protected activity when the adverse employment action was taken against the employee. Moon, 836 F.2d at 229 n.1.
If the employee establishes a prima facie case, the employer must then "‘articulate some legitimate nondiscriminatory reason for the employee's rejection'" to rebut the inference of discrimination. Burdine, 450 U.S. at 253 (quoting McDonnell Douglas, 411 U.S. at 802). If a legitimate nondiscriminatory reason is articulated by the employer, the burden of proof shifts back to the employee to show, "by a preponderance of the evidence that the legitimate reasons offered by the [employer] were not its true reasons, but were a pretext for discrimination." Id. (citing McDonnell Douglas, 411 U.S. at 802). While the burden of proof shifts under the scheme announced in McDonnell Douglas (and adapted for use in STAA cases), the ultimate burden of persuasion remains, as always, with the employee to show that the employer intentionally discriminated against the employee. St. Mary's Honor Ctr. v. Hicks, 509 U.S. 502, 507 (1993); Burdine, 450 U.S. at 256.
The legal analysis and the employer's burden of proof change when the facts and circumstances surrounding a discharge that allegedly violates Section 405 indicate that the employer may have had both legitimate and illegal motives for discharging an employee. A "dual motive" analysis results when the employee demonstrates that adverse employment action taken against him or her was motivated at least in part because he or she engaged in protected activity. Price Waterhouse v. Hopkins, 490 U.S. 228, 245 (1989). The dual, or mixed, motive analysis is appropriate where the employer, or better stated, its representative, admits that adverse employment action was taken after certain protected actions by an employee represent "the straw that broke the camel's back." Brock v. Casey Truck Sales, Inc., 839 F.2d 872, 878-79 (2d Cir. 1988); Kovas v. Morin Transp., Inc., Case No. 92-STA-41, Sec'y Final Dec. & Order, Oct. 1, 1993, at 4. An acknowledgement by the employer of a pivotal or critical event or action taken by the employee is key in this regard.
In order to avoid liability in a dual motive case, the employer must prove, by a preponderance of the evidence, that it would have taken the adverse action regardless of the fact that the employee engaged in the protected activity. Price Waterhouse, 490 U.S. at 245. In this sense, then, the employer's burden becomes akin to establishing an affirmative defense. Id. at 246 (citing NLRB v. Transp. Mgmt. Corp., 462 U.S. 393, 400 (1983)). Further, when the employer violates the statute, he (the employer) "bear[s] the risk that the influence of legal and illegal motives cannot be separated." NLRB v. Transp. Mgmt. Corp., 462 U.S. 393, 403 (1983). As the Supreme Court stated:
An employer may not, in other words, prevail in a mixed-motives case by offering a legitimate and sufficient reason for its decision if that reason did not motivate it at the time of the decision. Finally, an employer may not meet its burden in such a case by merely showing that at the time of the decision it was motivated only in part by a legitimate reason. The very premise of a mixed-motives case is that a legitimate reason was present. . . . The employer instead must show that its legitimate reason, standing alone, would have induced it to make the same decision.
Price Waterhouse, 490 U.S. at 252.
It should also be noted that the United States Supreme Court recently resolved a split among the circuits as to the type of evidence necessary to meet the burden of proof in a dual motive case. In Desert Palace, Inc. v. Costa, the Court held that direct evidence is not necessary in a dual motive case under Title VII; instead, circumstantial evidence will suffice to raise a discrimination claim. Desert Palace, Inc. v. Costa, 539 U.S. ___, 123 S. Ct. 2148, 2150, 2155 (2003). In its decision, the Court cites the watershed Price Waterhouse decision. Id. at 2153-54. The dual motive test announced in Price Waterhouse has been applied to dual motive cases under an array of statutes, not just Title VII dual motive cases. Therefore, Costa could be interpreted as modifying the evidentiary standard necessary for all dual motive cases, not just those under Title VII. The ultimate interpretation of this issue need not be decided here.
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In a dual motive case, then, the analysis would be as follows. The employee must establish a prima facie case. If it appears from the prima facie evidence that the employer had both legal and illegal motives for the adverse employment action, the employer's burden then becomes one of establishing the affirmative defense as outlined above. If the employer successfully establishes such a defense, the burden of proof then shifts back to the employee to show that the reasons given as part of the employer's affirmative defense are merely a pretext for discrimination.
1. Prima Facie Case—Complainant's Initial Burden
A. Did Complainant Engage in Protected Activity?
Complainant argues that he engaged in several protected activities over the course of his two-month employment with Respondent. First, Complainant asserts that that he lodged internal complaints with Respondent as to the "condition of his assigned truck-tractors and trailers . . . ‘related to' violations of provisions of the Federal Motor Carrier Safety Regulations set forth at 49 C.F.R. Parts 393 and 396." (Compl. Am. Pre-Hr'g Stmt., at 2). Second, Complainant argues that he engaged in protected activity when he spoke with Officer Christopher Justice of the North Carolina Division of Motor Vehicles Commercial scale at Efland, North Carolina, (hereinafter, "scale" or "weigh station") and further when he took the truck to the weigh station at Efland for Officer Justice to evaluate and inspect. (Compl. Am. Pre-Hr'g Stmt., at 2-3). Finally, Complainant contends that he engaged in protected activity by refusing to operate his assigned truck and trailer to avoid violation of the Federal Motor Carrier Safety Regulations, 49 C.F.R. Parts 393 and 396, because Respondent refused to perform certain repairs. (Compl. Am. Pre-Hr'g Stmt., at 3-4).
Protected activity under the STAA encompasses the filing of a complaint or beginning of a proceeding "related to a violation of a commercial motor vehicle safety regulation, standard, or order" or an employee's testimony in such a proceeding. 49 U.S.C. § 31105(a)(1)(A) (2002). A complaint includes one made internally to the employer. SeeClean Harbors Envtl. Servs., Inc. v. Herman, 146 F.3d 12, 20 (1st Cir. 1998) (citing Yellow Freight Sys., Inc. v. Reich, 8 F.3d 980, 986 (4th Cir. 1993) (oral complaints to supervisor "are protected activity under the STAA"); Moon v. Transport Drivers, Inc, 836 F.2d 226, 227-29 (6th Cir. 1987) (finding that driver had engaged in protected activity under the STAA where driver had made only oral complaints to supervisors)).
Complaints made externally, i.e., to government officials, are also covered under the statute. See Clean Harbors, 146 F.3d at 20-21 ("A court or agency filing itself "‘beg[ins] a proceeding.'") (citing Bailey v. United States, 516 U.S. 137, 146 (1995)). The Secretary has previously held that the filing of a complaint with a state government agency, such as a department of transportation, is covered by the statute. Asst. Sec'y v. Sketne, Case No. 1994-STA-17, Sec'y Final Dec. & Order, Mar. 16, 1995, at 2-4. Government officials include officers assigned to "weigh stations" to inspect vehicles to ensure compliance with Department of Transportation and other motor carrier safety regulations. Williams v. Carretta Trucking, Inc., Case No. 1994-STA-7, Sec'y Final Dec. & Order, Feb. 15, 1995, at 3. The Secretary has held that "[s]eeking such an inspection [at a weigh station] is a means to enforce motor carrier safety regulations . . . [and] should be treated as protected activity under the STAA's complaint section." Id.
All complaints, whether internal or external, must "relate[] to a violation of a commercial motor vehicle safety regulation, standard, or order." 49 U.S.C. § 31105(a)(1)(A) (2002). Courts have construed "relate to" broadly to encompass violations of both federal and state laws as well as employer's own safety rules. Yellow Freight Sys., Inc. v. Martin, 954 F.2d 353, 356-57 (6th Cir. 1992). However, protection under this subsection is not dependent upon the employee actually proving a violation. Id. at 357. "The primary consideration is not the outcome of the underlying grievance hearing, but whether the proceeding is based upon possible safety violations." Id.
An employee is also protected under Section 405 of the Act if he or she "refuses to operate a vehicle because the operation violates a regulation, standard, or order of the United States related to commercial vehicle safety or health." 49 U.S.C. § 31105(a)(1)(B)(i) (2002). A key distinction between subsection (B)(i) and subsection (A), discussed above, is that (B)(i) requires proof that an actual violation would have occurred had the employee not refused to operate the vehicle. Yellow Freight Sys., Inc. v. Martin, 983 F.2d 1195, 1199 (2d Cir. 1993) (finding that the employee must in fact prove an actual safety violation to be afforded protection under this subsection of the Act and that "a mere good-faith belief in a violation does not suffice" under Section 31105(a)(1)(B)(i)).
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Finally, Section 405 protects an employee who refuses to operate his or her assigned vehicle because he or she has "a reasonable apprehension of serious injury to the employee or the public because of the vehicle's unsafe conditions." 49 U.S.C. § 31105(a)(1)(B)(ii) (2002). This subsection affords protection only to an employee if a "reasonable individual in the circumstances then confronting the employee would conclude that the unsafe condition establishes a real danger of accident, injury, or serious impairment to health." Id. § 31105(a)(2). Further, an employer must have refused to correct the problem after being made aware of the problem by the employee. Id.
As background, Complainant testified that he is a high school graduate who holds a commercial driver's license. Complainant also attended professional driving school. (Tr. of May 6, 2003, at 178-79). He has been a professional truck driver since 1997, and prior to that worked in the auto parts industry. (Tr. of May 8, 2003, at 580). Complainant applied for employment with Respondent and attended driver orientation in Americus, Georgia. Complainant was hired as a long haul driver for Respondent on October 30, 2001. (Tr. of May 6, 2003, at 91, 180-81; JX-1).
1 The following abbreviations will be used to refer to the parties' exhibits: "JX" shall denote Joint Exhibit; "CX" shall denote Complainant's exhibits; "RX" shall denote Respondent's exhibits; and "Tr." shall denote the transcript. Because the trial spanned three days, the transcript will be identified by date for reference purposes.
2 CX-34, which consisted of QualCom records in addition to those admitted in CX-31, was initially admitted into evidence as well. (Tr. of May 7, 2003, at 247). However, CX-34 was later incorporated into CX-31 so that the messages could be read in chronological order. (Tr. of May 7, 2003, at 246-47).
3 Counsel for Complainant sent a brief postmarked July 3, 2003; however, as of the morning of July 8, 2003, this office had not receive the brief. Counsel re-sent the brief via expedited courier service, and that brief was received on July 9, 2003, along with the brief initially sent on July 3, 2003. Because counsel's first submission was postmarked within the allotted time for the post-hearing briefs, I find that Complainant timely filed his post-hearing brief.
4 The parties' Factual Stipulations were submitted as Joint Exhibit 1 (JX-1).
5 The parties' Factual Stipulations contain an apparent typographical error as to dates of Complainant's employment. While the stipulations purport that Complainant was employed from October 30, 2001, to December 28, 2002, the evidence at trial as well as other pleadings in this case state that the actual period of time Complainant was employed was two months, from October 30, 2001, to December 28, 2001. This recommended decision and order will refer to the correct date to maintain the integrity of the record in this case.
6 Mr. Blackstock served as the designated representative of Respondent throughout the hearing. (See Tr. of May 6, 2003, at 4-5).
7 Respondent leases the trucks that it operates from Schilli Leasing. Schilli Leasing "provide[s] equipment to private carriers and a maintenance contract to maintain such equipment." (CX-27, Dep. of Steven W. Wilken, Mar. 28, 2003, at 3). Authorization for repairs must be obtained from Schilli Leasing Maintenance. (Tr. of May 6, 2003, at 80, 118; CX-27, at 5).
8 Several times throughout the course of the hearing, Complainant asserted that a number of QualCom messages were missing from the records that Respondent submitted to him. (See Tr. of May 6, 2003, at 194, 216; Tr. of May 7, 2003, at 330)
9 "Deadheading" refers to traveling without a load, typically with an empty trailer. (Tr. of May 6, 2003, at 118).
10 The QualCom messages contained in CX-31 utilize abbreviations—that is, the parties frequently used abbreviations of common words, which shortened the overall message length. Many of these QualCom messages were read aloud during the hearing. When quoting QualCom messages, I will write out the messages without use of the abbreviations for clarity purposes and in accordance with the testimony given.
11 Officer Justice testified that a "Level One" inspection requires that the entire vehicle be inspected, including the frame, brakes, and air lines. (CX-24, at 27). According to Officer Justice, thirty percent of the total monthly inspections performed are Level One inspections. (CX-24, at 37).
12 49 CFR § 393.207(a) provides that "No axle positioning part shall be cracked, broken, loose or missing. All axles must be in proper alignment." 49 C.F.R. § 393.207(a) (2002).
13 Officer Justice also discovered that the truck and trailer were in violation of Sections 393.75 and 396.301 due to two tires with shallow tread depth and an air leak at the service glad hand. (CX-13, at 1; CX-24 at 31-35).
14 Mr. Blackstock testified that "deadlining" referred to a truck and/or trailer being taken out of service for failure to comply with Department of Transportation guidelines. (Tr. of May 6, 2003, at 38-39).
15 In making this finding, it is noted that even the actions Employer asserted as constituting legitimate non-discriminatory reasons for discharge, may be considered protected activities as they all related to truck repairs and safety. However, it is not necessary to address such, as Employer has not established that Complainant would have been discharged on December 28, 2001, even if he had not taken the truck to Officer Justice.
16 A "DAC report" contains a driver's work history (i.e., employers, periods of employment, reasons for discharge, etc.). (Tr. of May 6, 2003, at 94).
17 Complainant's back pay is computed as 2,500 miles per week at thirty-one cents per mile. Complainant's rate per mile would have increased to thirty-two cents per mile effective October 30, 2003, had he remained employed with Respondent. Therefore, for any wages that accrue after that date, the weekly wage rate for Complainant will be $800.00, or 2,500 miles per week at thirty-two cents per mile.