I found Complainant's testimony most credible and convincing on this issue. Specifically, I find that, virtually from the start of his employment with Dugway, Complainant has repeatedly raised his concerns both internally and to the Utah agency. Complainant's concerns were that the procedures, methods, and policies of Dugway were causing direct violations of pertinent statutes and regulations. I find and conclude that these actions constitute protected activity under the several Acts before me, with the exception of TSCA.
Similarly, the evidence clearly establishes that Respondent knew of Complainant's engaging in these protected activities, as his complaints were always logged with his first line supervisor and elsewhere in his chain-of-command.
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Even though Respondent disagreed with Complainant's insistence about the proper procedures, Respondent has not shown that Complainant's position was unreasonable. See generally Yellow Freight Sys. v. Reich, 38 F.3d 76 (2d Cir. 1994) (wherein the Court held an employee need not prove the existence of an actual safety defect to have engaged in protected activity under an analogous whistleblower statute, the Surface Transportation Act); Crow v. Noble Roman's, Inc., 1995-CAA-8 (Sec'y Feb. 26, 1996) (the CAA protects employee's work refusal that is based on a good faith, reasonable belief that doing the work would be unsafe or unhealthy); Minard v. Nerco Delamar Co., 1992- SWD-1 (Sec'y Jan. 25, 1994) (concluding that whistleblower protection applies to where a complainant is mistaken, so long as complainant's belief is reasonable); Scerbo v. Consolidated Edison Co. of N.Y., Inc., 1989-CAA-2 (Sec'y Nov. 13, 1992) (protection is not dependent upon actually proving a violation). In fact, it is well established that Complainant arrived at his recommendations that the Respondent was violating the Acts based on his extensive training and experience. Further, the evidence establishes that many of the issues in controversy were anything but clear cut.
The nature of Dr. Hall's protected activities has been detailed above in the findings of fact and these are incorporated herein at this point. Moreover, the law defining what is protected activity, as described below, clearly encompasses Dr. Hall's actions described above in raising his environmental concerns internally and externally. Dr. Hall's actions in raising RCRA, CERCLA, SDWA, CWA, and CAA concerns regarding Simpson Butte and Lewisite, the mustard agent in the Carr Red Dirt, the Lakeside Bomb and M79 mystery bomb, the BZ bomblets, the improperly stored waste chemicals and a number of other matters spelled out supra, are classic protected activities, and I again so find and conclude.
The Secretary of Labor has repeatedly held that the reporting of safety or quality concerns internally to one's employer is protected activity under the Solid Waste Disposal Act. See Dodd v. Polysar Latex, 1988-SWD-4 (Sec'y Sept. 22, 1994); Conaway v. Instant Oil Change, Inc., 1991-SWD-4 (Sec'y Jan. 5, 1993). The Secretary has noted that, "An employee's internal complaints are the first step in achieving the statutory goal of promoting safety." Dodd v. Polysar Latex, 1988-SWD-4 (Sec'y Sept. 22, 1994).
Migliore v. Rhode Island Department of Environmental Management, 1998-SWD-3, 1999-SWD-1, 1999-SWD-2 (ALJ RDO August 13, 1999).
Courts and the Secretary of Labor have broadly construed the range of employee conduct which is protected by the employee protection provisions contained in environmental and nuclear acts. See S. Kohn, The Whistleblower Handbook 35-47 (1990). Examples of the types of employee conduct which the Secretary of Labor has held to be protected include: making internal complaints to management,[3] reporting alleged violations to governmental authorities such as the Nuclear Regulatory Commission ("NRC") and the Environmental Protection Agency, threatening or stating an intention to report alleged violations to such governmental authorities, and contacting the media, trade unions, and citizen intervenor groups about alleged violations. Id.
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As I also wrote in another decision:
This claim deals with internal complaints to Respondent's management because on April 20, 1992, Complainant advised Lionel Banda that there were serious and widespread violations in Respondent's "Access Screening Program" for technicians granted unescorted access to nuclear power plants and other public utilities. The totality of this closed record leads to the conclusion that Complainant reported these violations to the Employer and that he forced the Employer to report these violations to the appropriate governmental authority, such as the NRC, as well as the affected public utilities.
Creekmore v. ABB Power Systems Energy Services, Inc., 93-ERA-24 (ALJ Sept. 1, 1994) (a matter over which this Administrative Law Judge presided).
As I also wrote in another decision:
The employee protection provisions have been construed broadly to afford protection for participation in activities in furtherance of the statutory objectives. Marcus v. U.S. Environmental Protection Agency, 1996-CAA-3 (ALJ Dec. 15, 1998), slip op. at p. 25, citing Tyndall v. U.S. Environmental Protection Agency, 93-CAA-6, 95-CAA-5, ARB June 14, 1996). Protected activities include employee complaints which "are grounded in conditions constituting reasonably perceived violations of environmental acts." Jones v. ED&G Defense Materials., Inc.,95-CAA-3 (ARB Sept. 29, 1998), slip op. at p. 8, citing Crosby v. Hughes Aircraft Co., Case No. 85-TSC-2, Sec. Final Dec. and Ord., Aug. 17, 1993, slip op. at 26, aff'd, Crosby v. United States Dep't of Labor, 1995 U.S. LEXIS 9164(9th Cir.); Johnson v. Old Dominion Security, Case Nos. 86-CAA-3, et seq., Sec. Final Dec. and Ord., May 29, 1991, slip op. at 15. Raising internal concerns to an employer, as well as the filing of formal complaints with external entities, constitute protected activities under §24.1(a). Melendez v. Exxon Chemicals Americas, ARB No. 96-051, ALJ No. 1993-ERA-6 (ARB July 14, 2000), slip op. at p. 10.
Raising complaints about worker health and safety "constitutes activity protected by the environmental acts when such complaints touch on the concerns for the environment and public health and safety that are addressed by those statutes." Melendez v. Exxon Chemicals Americas, supra at p. 10. See also Jones v. ED&G Defense Materials, Inc., supra at p. 8, citing Scerbo v. Consolidated Edison Co., Case No. 86-ERA-2, Sec. Dec. and Ord., Nov. 13, 1992, slip op. at 4-5. Further, the gathering of evidence in support of a whistleblower complaint, including the gathering of evidence by means of tape recording, is a type of activity that has been held to be covered by the employee protection provisions referenced at 29 C.F.R. §24.1(a). Melendez v. Chemicals Americas, supra at p. 10.
Anderson v. Metro Wastewater Reclamation District, ARB No.: 98-087, Case No.: 1997-SDW-7 (ALJ RDO Sept. 18, 2001) (a matter over which I presided).
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As I also wrote more recently:
Complainant's engagement in protected activity has been overwhelmingly established in this case. She raised complaints both internally within her chain-of-command, and externally to the EPA. I found Complainant's testimony most credible and convincing on this issue. Specifically, I find that from the 1996 proposed reorganization to the present, Complainant has repeatedly raised her concerns that RIDEM was taking action that compromised the RCRA enforcement program. Complainant's concerns were that the procedures, methods, and policies of RIDEM were causing direct violations of the RCRA. I find and conclude that these actions constitute protected activity under.
Even though Respondent disagreed with Complainant's insistence about the proper RCRA procedures, Respondent has not shown that Complainant's position was unreasonable. See generally Yellow Freight Sys. v. Reich, 38 F.3d 76 (2d Cir. 1994) (wherein the Court held an employee need not prove the existence of an actual safety defect to have engaged in protected activity under an analogous whistleblower statute, the Surface Transportation Act); Crow v. Noble Roman's, Inc., 1995-CAA-8 (Sec'y Feb. 26, 1996) (the CAA protects employee's work refusal that is based on a good faith, reasonable belief that doing the work would be unsafe or unhealthy); Minard v. Nerco Delamar Co., 1992- SWD-1 (Sec'y Jan. 25, 1994) (concluding that whistleblower protection applies to a case where a complainant is mistaken, so long as complainant's belief is reasonable); Scerbo v. Consolidated Edison Co. of N.Y., Inc., 1989-CAA-2 (Sec'y Nov. 13, 1992) (protection is not dependent upon actually proving a violation). In fact, it is well established that Complainant arrived at her recommendations that the Respondent was violating the RCRA based on her extensive training and experience in the environmental enforcement area. Further, the evidence establishes that many of the enforcement actions in controversy were anything but clear cut.
Migliore v. Rhode Island Department of Environmental Management, 1998-SWD-3, 1999-SWD-1, 1999-SWD-2 (ALJ RDO August 13, 1999).
The Kemp case requirement, see Kemp v. Volunteers of America of Pennsylvania, Inc., ARB No. 00-069, ALJ No. 2000-CAA-6 (ARB Dec. 18, 2000), that Complainant have a reasonable good faith belief that environmental laws were violated is well satisfied here. The asbestos in the basement circumstances in Kemp are facts that do not resemble the facts here which involve, inter alia, chemical warfare agent having been disposed of in the open environment at the Simpson Butte, Carr Red Dirt, and mustard/Lewisite mine test sites, incompatible chemicals stored so as to create a risk of fire and explosion, chemicals dumped via drains into sewers and from there to unlined lagoons, and violations of RCRA that do not require a release to constitute a violation (such as the RCRA requirement to prevent releases, see 40 C.F.R. Sections 264.15, 264.31; Section 270.30) to name a few examples of many identified in the findings of fact above and established in the record. Further, it was clear that because of the volatile nature of the chemical agents and the limited air flow control in the Dugway Chem Lab that the State environmental agency considered a release of even a small amount of agent inside the Chem Lab building to be a release to the environment, and I so find and conclude. (Hall Deposition [RX 116], June 5, 2001 p 25-26)
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C. THE EMPLOYER DUGWAY PROVING GROUND HAD KNOWLEDGE OF DR. HALL'S PROTECTED ACTIVITIES
The record is replete with evidence that Dugway knew of Dr. Hall's protected activities and numerous examples of such evidence have already been detailed above. Dugway knew because Dr. Hall made many of his protected reports directly to his managers and higher level supervisors, as in Berkman.
As I wrote in Berkman:
Similarly, the evidence clearly establishes that Respondent knew of Complainant's engaging in these protected activities, as his complaints were always logged with his first line supervisor and elsewhere in his chain-of-command.
Berkman v. U.S. Coast Guard Academy, Case Nos.: 97-CAA-2 and 97-CAA-9 (ARB Dec. January 2, 1998). As the findings of fact, supra, make clear, there was virtually no example of Dr. Hall's protected activities of which Dugway was unaware.
I strongly disagree with Respondent that Dugway was aware of Complainant's protected activities only "a few times." This record is replete with many instances thereof, almost from the start of his employment at Dugway, simply because the word quickly spread that he was not a "team player" and could not be trusted. Complainant would later even be called "traitor" by a very high ranking military officer.
D. ADVERSE ACTIONS WERE TAKEN BY RESPONDENT EMPLOYER DUGWAY PROVING GROUND AGAINST DR. HALL
It is clear from the applicable law discussed herein defining what constitutes adverse actions by an employer against an employee that are actionable under the environmental statutes if performed with discriminatory intent, that the numerous actions by Dugway against Dr.
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Hall documented in the record and delineated above are the type of actions that are within the scope of the employee protection provisions of RCRA, SDWA, CWA, CERCLA and the CAA.
An "adverse action" has been defined as simply something unpleasant, detrimental, even unfortunate, but not necessarily (and not usually) discriminatory." Marcus v. U.S. Environmental Protection Agency, 1996-CAA-3 (ALJ Dec. 15, 1998), slip op. at p. 28, citing Stone & Webster Engineering Corp. v. Herman, 115 F.3d 1568, 1573 (11th Cir. 1997). Under 29 C.F.R. §24.2(b), as amended, an employer is deemed to have violated the particular statutes and regulations "if such employer intimidates, threatens, restrains, coerces, blacklists, discharges or in any other manner discriminates against any employee" because of protected activities. Consistent with this regulation, a wide range of unfavorable actions has been held to constitute adverse action within the context of employment discrimination complaints. Melendez v. Exxon Chemicals Americas, supra at 24.
Anderson v. Metro Wastewater Reclamation District, ARB No.: 98-087, Case No.: 1997-SDW-7 (ALJ RDO Sept. 18, 2001).
Discrimination means disparate treatment. It means treating one employee less favorably than another for a forbidden reason. See Teamsters v. United States, 431 U.S. 324, 335 n. 15 (1977). An employer may treat one employee less favorably than another in many different ways. Any such less favorable treatment is adverse action. Termination, suspension and discipline are obvious forms of adverse action, but they are not exclusive. Indeed, the seminal case establishing the model for proving discrimination, McDonnell Douglas v. Green, involved none of those.
Creekmore v. ABB Power Systems Energy Services, Inc., 93-ERA-24 (ALJ Sept. 1, 1994).
An adverse employment action can be in the form of tangible job detriment or a hostile work environment. Smith v. Esicorp, Inc., 93-ERA-16, at p. 3 (Sec'y 3/13/96). ... Complainant also alleges he has been subjected to retaliatory harassment, which is a violation of the applicable whistleblower statutes. Smith, supra, at p. 11; Marien, supra, at p. 4. Hostile work environment cases involve issues of the environment in which the employee works and not tangible job detriment. Smith, supra, at p. 11. For harassment to be actionable, it must be sufficiently severe or persuasive as to alter the conditions of employment and create an abusive working environment. Id. at pp. 4-5 (Citing Meritor Savings Bank v. Vinson, 477 U.S. 57, 67 (1986). See also English v. General Elec. Co., 85-ERA-2 (Sec'y 2/13/92) (in which the Secretary applied the Meritor decision for guidance in the case of an alleged hostile work environment in violation of an analogous whistleblower statute, the ERA). In Harris v. Forklift Sys., Inc., 114 S. Ct. 367 (1993), the Supreme Court discussed some of the factors that may be weighed but emphasized that whether an environment is hostile or abusive can be determined only by looking at all the circumstances.
Berkman v. U.S. Coast Guard Academy, Case Nos.: 97-CAA-2 and 97-CAA-9 (ARB Dec. January 2, 1998).
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A finding of constructive discharge requires proving that the employer, rather than acting directly, deliberately makes an employee's working conditions so difficult, unpleasant, unattractive, or unsafe that an objective reasonable person would have felt compelled to resign, i.e., that the resignation was involuntary. See generally Mosley v. Carolina Power & Light Co., 94-ERA-23 (ARB 8/23/96)(citing Nathaniel, supra; Johnson v. Old Dominion Security, 86-CAA-3 (Secy' 5/29/91). See also Guice-Mills v. Derwinski, 772 F.Supp. 188 (S.D.N.Y. 1991), aff'd, 967 F.2d 794 (2d Cir. 1992); Lopez v. S.B. Thomas, Inc., 831 F.2d 1184 (2d Cir. 1987); Talbert, supra. Thus, the adverse consequences flowing from an adverse employment action generally are insufficient to substantiate a finding of constructive discharge. Rather, the presence of "aggravating factors" is required. Nathaniel, supra (citing Clark v. Marsh, 665 F.2d 1168, 1174 (D.C. Cir. 1981). See also Stetson v. Nynex Serv. Co., 995 F.2d 355 (2d Cir. 1993). Conceivably, a constructive discharge could occur through medical or physical inability. Spence v. Maryland Casualty Co., 803 F.Supp. 659, 667 (W.D.N.Y. 1992)(reasoning that Lopez v. S.B. Thomas, Inc., Supra, does not require that a constructive discharge be demonstrated only by an affirmative resignation).
On the one hand, the Secretary has noted that circumstances sufficient to render a resignation involuntary include a pattern of discriminatory treatment and "locking" an employee into a position from which no relief seemingly can be obtained. Johnson, supra, at n. 11 (citing Clark, 665 F.2d at 1175); Satterwhite v. Smith, 744 F.2d at 1382-1383). On the other hand, it is insufficient that the employee simply feels that the quality of his work has been unfairly criticized. Mosley, supra (citing Stetson, 995 F.2d at 360). Furthermore, when an employee's performance is poor, "an employer's communication of the risks [of discipline for that poor performance] does not spoil the employee's decision to avoid those risks by quitting." Id. at p. 4 (quoting Henn v. National Geographic Society, 819 F.2d 824, 829-30 (7th Cir. 1987), cert. denied, 484 U.S. 964 (1987). ...
The Secretary has adopted the majority position for determining whether or not there has been a constructive discharge. As was succinctly stated in the matter of Hollis v. Double DD Truck Lines, Inc., 84-STA-13, at p. 4 (Sec'y March 18, 1995) it is not necessary to show that the employer intended to force a resignation, only that he intended the employee to work in the intolerable conditions.
Berkman v. U.S. Coast Guard Academy, Case Nos.: 97-CAA-2 and 97-CAA-9 (ARB Dec. January 2, 1998).
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There can be no doubt on this record that Dugway took a number of adverse actions against Dr. Hall. The more obvious ones included lowered performance ratings, negative statements in performance ratings, transfer to the JOD from the chem lab, a twelve month transfer thereafter reduced to 120 days, removal of Dr. Hall's approval in the CPRP program, suspension and recommended revocation of his security clearance, creation of a hostile work environment, three mental examinations, threatened discharge, and constructive discharge/forced retirement, all of which adverse actions have been discussed above.
Dr. Hall also faced direct expressions of anger and hostility because of his protected activities. The hostile work environment included the actions listed above and use of slander, innuendo and breaches of privacy and confidence to impugn Dr. Hall's reputation. Complainant was forced to retire. He was facing some pretty clear handwriting on the wall. He tolerated a number of hostile and adverse actions over a period of years, and was told directly to stop engaging in protected reporting activity to Congress and environmental agencies. His CPRP had been removed without notice and finally his security clearance had been suspended and recommended to be revoked. He had been threatened with termination if his performance appraisals did not improve and circumstances made it clear that what Dugway wanted to change was not Dr. Hall's actual job performance but his protected reporting of environmental violations and dangers. This was something in good conscience Dr. Hall would not allow himself to be intimidated into doing. At that point, with his mental and physical health in jeopardy he decided to cut his losses and mitigate his damages and try to maintain some aspect of his health and his income by retiring. He consulted his doctors, who essentially advised him that this hostile environment was probably going to kill him, and his own judgment was that he should not wait to be terminated for his own professional future. So, in May of 1997, Dr. Hall was forced to give his notice, and in June of 1997 actually did in fact retire. This pattern of facts, which made continued employment intolerable to Dr. Hall and would have to any reasonable person, amounts to what is recognized in the law as constructive discharge, or in this case, a forced retirement, as described in the case law quoted supra, and I so find and conclude.
Respondent submits that its actions of requiring Dr. Hall to go through the chain-of-command with his concerns or complaints were not adverse actions under the statutes involved herein. However, I strongly disagree - - that is the very essence of his case as the chain-of-command requirement was being used to prevent Dr. Hall from voicing his concerns or complaints outside Dugway.
E. RESPONDENT ACTED WITH RETALIATORY MOTIVE, TAKING ACTIONS AGAINST DR. HALL BECAUSE HE ENGAGED IN PROTECTED ACTIVITIES
The trial record reflects evidence of retaliatory motive that is both abundant and blatant, and these have been detailed above. This evidence falls into a number of categories of direct and circumstantial evidence that are recognized in the case law as indicia of retaliatory motive and discriminatory intent. Some of the applicable case law which lays out the law on evidence of retaliatory motive, including the burden shifting procedure which is to be used in an appropriate case is quoted at some length below. However, the findings above make it clear that Dr. Hall's case is a direct evidence case, as in Moder quoted below, and thus burden shifting is not required.
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In any case, the motive evidence documented in the findings above makes clear that even if a burden shifting analysis were applied here, at best for Dugway this is a dual motive case and with the direct evidence identified in the findings above, there is no way Dugway can separate out the illegal from the legal motives for its actions against Dr. Hall and show that it would have taken the same actions absent the illegal motive, and I so find and conclude.
A plaintiff may prove a case of unlawful whistleblower retaliation in the same way as a case under Title VII of the Civil Rights Act of 1964. He may do so in one of two ways: either directly with direct evidence of retaliation or indirectly through circumstantial evidence establishing a prima facie case of retaliation.
Moder v. Village of Jackson, Wisconsin, 2000-WPC-0005 (ALJ Aug. 10, 2001) (a matter over which this Administrative Law Judge presided).
It is now well-settled that the Complainant, applying the traditional "burden-shifting" approach established in McDonnell Douglas v. Green, 411 U.S. 492 (1973), may establish a prima facie case of retaliation indirectly by showing that
(1) the plaintiff was an employee of the party charged with discrimination; (2) the plaintiff was engaged in a protected activity under the Clean Water Act; (3) the employer took an adverse action against the plaintiff; and (4) the evidence creates a reasonable inference that the adverse action was taken because of the plaintiff's participation in the statutorily protected activity.
Passaic Valley, 992 F.2d at 480-81; see also Simon v. Simmons Foods, Inc., 49 F.3d 386, 389 (8th Cir. 1995).
Moreover, once the employee establishes a prima facie case of discrimination through such indirect means, the burden shifts to the employer to "produce evidence that the plaintiff was [denied a promotion] . . . for a legitimate, nondiscriminatory reason." See Texas Dept. of Community Affairs v. Burdine, 450 U.S. 248, 254 (1981). The employee then has "the opportunity to prove by a preponderance of the evidence that the legitimate reasons offered by the defendant were not its true reasons, but were a pretext for discrimination." Id. at 253; see also St. Mary's Honor Center v. Hicks, 509 U.S. 502, 507-08 (1993). This Administrative Law Judge, in determining whether the plaintiff has met this burden, "may still consider the evidence establishing the plaintiff's prima facie case 'and inferences properly drawn therefrom ... on the issue of whether the defendant's explanation is pretextual.'" Reeves v. Sanderson Plumbing Products, Inc., 120 S.Ct. 2097, 2106 (2000) (quoting Burdine, 450 U.S. at 255, n. 10).
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Furthermore, the plaintiff need not proffer direct evidence that unlawful discrimination was the real motivation. Instead, "it is permissible for the trier of fact to infer the ultimate fact of discrimination from the falsity of the employer's explanation." Reeves, 120 S.Ct. at 2108. As the Court stated in St. Mary's and reiterated in Reeves:
The factfinder's disbelief of the reasons put forward by the defendant (particularly if disbelief is accompanied by a suspicion of mendacity) may, together with the elements of the prima facie case, suffice to show intentional discrimination. Thus, rejection of the defendant's proffered reasons will permit the trier of fact to infer the ultimate fact of intentional discrimination.
St. Mary's, 509 U.S. at 511, quoted in Reeves, 120 S.Ct. at 2108. Id.
If the employee presents direct evidence of discrimination, there is no need to resort to "burden-shifting" analysis under McDonnell Douglas v. Green, supra; TWA v. Thurston, 469 U.S. 111, 121 (1985). Direct evidence of discrimination is:
evidence which, if believed by the trier of fact, will prove the particular fact in question without reliance on inference or presumption... This evidence must not only speak directly to the issue of discriminatory intent, it must also relate to the specific employment decision in question.
Pitasi v. Gartner Group, Inc., 184 F.3d 709, 714 (7th Cir. 1999) (internal quotations and citations omitted).
Of course, the employee must still prove by a preponderance of the evidence that unlawful discrimination was a substantial factor in the employer's decision. See Price Waterhouse v. Hopkins, 490 U.S. 228, 259 (1989) (White, J., concurring); Id. at 274 (O'Connor, J., concurring); Texas Dept. of Community Affairs v. Burdine, 450 U.S. 248, 253 (1981). So long as the direct evidence of discrimination is substantial, the employee is entitled to have it weighed and decided by the trier of fact. ...
This is a direct-evidence case, with substantial evidence that both "speak[s] directly to the issue of discriminatory intent" and "relate[s] to the specific employment decision in question." No inference or presumption is needed. See Pitasi, 184 F.3d at 714. Beaver's and Murphy's statements and actions leading up to the decision to promote Deitsch rather than Moder leave no room for doubt that Moder's involvement in the DNR investigation more than ten years before was the deciding factor, and I so find and conclude. ...
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As I wrote in Moder:
The Village has asserted what it calls "legitimate, nondiscriminatory reasons" for selecting Deitsch rather than Moder. In this regard, see McDonnell Douglas v. Green, supra, and its progeny. However, to the extent that those purported reasons are asserted in contravention of the direct evidence of discrimination, it is not enough for the employer simply to articulate them. If an employee proves unlawful discriminatory or retaliation, but the employer contends that its adverse action against the employee was motivated instead by a legitimate, non-discriminatory reason, dual-motive analysis applies. The employer must prove, by a preponderance of the evidence, that it would have reached the same decision even if the employee had not engaged in protected conduct. See Mt. Healthy City Bd. of Ed. v. Doyle, 429 U.S. 274, 287 (1977); Passaic Valley, 992 F.2d at 481 (Sec. 507(a) case); see also Price Waterhouse, 490 U.S. at 252-53 (Brennan, J., for 4 justices); Id. at 259-60 (White, J., concurring); Id. at 261 (O'Connor, J., concurring).
In such a "dual-motive" situation, it is not enough that the employer simply articulate a lawful reason for the employee then to disprove. See Martin v. Department of the Army, 93-SDW-1 (Sec'y July 13, 1995). Rather, "the employer's burden is most appropriately deemed an affirmative defense: the plaintiff must persuade the factfinder on one point, and then the employer, if it wishes to prevail, must persuade it on another." Price Waterhouse, 490 U.S. at 245 (Brennan, J.). The employer bears the risk that the influence of legal and illegal motives cannot be separated. Mandreger v. Detroit Edison Co., 88-ERA-17 (Sec'y March 30, 1994).
In short, Moder has proven by direct evidence that unlawful discrimination in violation of Section 507(a) was a substantial motivating factor in the decision not to promote him to supervisor/foreman, and I so find and conclude. The Village bears the burden of proving, by a preponderance of the evidence, that it would have selected Deitsch anyway for legitimate, nondiscriminatory reasons even if it had not also been motivated by Moder's role in the DNR investigation. For the reasons discussed more fully below, all such asserted reasons are mere pretexts. ...
The defendant, of course, is entitled to proffer a "legitimate, nondiscriminatory reason," returning to the plaintiff "the opportunity to prove by a preponderance of the evidence that the legitimate reasons offered by the defendant were not its true reasons, but were a pretext for discrimination." Burdine, 450 U.S. at 253. Pretext is "a lie, specifically a phony reason for some action." Russell v. Acme-Evans Co., 51 F.3d 64, 68 (7th Cir. 1995).
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A plaintiff can establish pretext either directly, with evidence suggesting that retaliation or discrimination was the most likely motive for the termination, or indirectly, by showing that the employer's proffered reason was not worthy of belief. The indirect method requires some showing that (1) the defendant's explanation has no basis in fact, or (2) the explanation was not the "real reason", or (3) ... the reason stated was insufficient to warrant the termination.
Sanchez v. Henderson, 188 F.3d 740, 746 (7th Cir. 1999) (internal citations and quotations omitted).
Furthermore, the Supreme Court has emphasized:
The factfinder's disbelief of the reasons put forward by the defendant (particularly if disbelief is accompanied by a suspicion of mendacity) may, together with the elements of the prima facie case, suffice to show intentional discrimination. Thus, rejection of the defendant's proffered reasons will permit the trier of fact to infer the ultimate fact of intentional discrimination.
Reeves, 120 S.Ct. at 2108; St. Mary's v. Hicks, 509 U.S. at 511.
Id.
In Dr. Hall's case like Moder's, there was retaliatory motive on the part of the Respondent in taking the adverse actions against Dr. Hall, i.e., the actions taken were caused by the protected activity. There are a number of pieces of the puzzle, key circumstantial evidence, that point clearly to the presence of retaliatory motive in this case. In addition, unlike many whistle blower cases but like Moder, there are also more direct expressions of hostility and retaliatory motive in this case which are unambiguous, and I so find and conclude.
Direct Evidence: Respondent's Hostile Attitude Toward Complainant's Protected Activities Specifically:
As this Administrative Law Judge found in Moder, this case involves direct evidence of retaliatory motive and discriminatory intent.
This is a direct evidence case. Beaver told Deitsch at Deitsch's interview about "perceived baggage" and the possibility that one or both would be rejected because of the Schultz affair ten years earlier. Murphy told Goetsch, a week before the Board met to make the selection, that Moder was not seen as a "team player" because he had gone to DNR about Schultz. Beaver and Murphy collaborated in placing the report of the anonymous tip to the DNR before the Board members when they made their decision. This is all direct evidence that the two key players in the selection decision, Beaver and Murphy, did not want Moder to get the job because of his role in the DNR investigation.
(Id.) In the case at bar, General Aiken calling Complainant a traitor for reporting environmental violations is an example of direct evidence of retaliatory motive. There were also several occasions when Colonel Kiskowski expressed overt hostility and anger in meetings with Dr. Hall, including in January 1996 when he imposed the chain-of-command gag order and in February 1997 when he angrily threatened Hall with termination.
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Another example of direct evidence is when Dugway manager Dr. Condie referred to Dr. Hall as one who cannot be trusted to not report his concerns and complaints to the State environmental agency.
A further unambiguous piece of direct evidence of retaliatory motive is reflected in the events and conversations resulting from Dugway managers being so upset with Dr. Hall having reported violations concerning improper storage of waste chemicals that Colonel Ertwine felt compelled to transfer Dr. Hall out of the chem lab and candidly explaining that the transfer had to be made to appear as if it were not in retaliation for Dr. Hall having reported the violations to OSHA.
Another blatant example of direct evidence is when Dugway managers, after ordering Dr. Hall to submit to a fitness for duty exam, and after being informed by Dr. Hall that he was being treated differently than other another chemist, promptly ordered the other chemist, Dr. Harvey, to submit to a fitness for duty exam and explained to Dr. Harvey that they were requiring that he submit to the exam so as to avoid the appearance of disparate treatment of the first chemist [Dr. Hall].
No less blatant was Dugway Commander Colonel Como's decision to recommend revocation of Dr. Hall's security clearance after reviewing a packet of information submitted to him by Mr. Bowcutt, a packet which included Dr. Hall's DOL whistleblower complaint, with the cover note for the packet directing the Commander's attention to the fact that such a whistleblower complaint had been filed just several weeks earlier.
Respondent's Hostile Attitude Toward Protected Activities of Employees Generally:
One of the more striking pieces of evidence showing Dugway management's hostility toward employees who raise compliance issues is the Dugway file on Judy Moran, formerly an environmental compliance officer at Dugway. Dugway officials suspended the security clearance of environmental compliance officer Judy Moran's after she reported potential violations to the State of Utah, and blatantly stated in the official memoranda reflecting their decision that they did so because she reported an environmental violation to the State. See CX 131.
A similarly blatant statement by General Aiken was published in a Dugway newsletter in which the General stated that he had a deep concern with employees who reported concerns to the Inspector General's Office outside their chain-of-command. See CX 59. Further, there was a clearly stated Dugway policy that required reporting of environmental violations and concerns through the "chain-of-command" first, and treated employees who reported environmental concerns outside the chain-of-command to the State, EPA, OSHA, Congress, the IG, or even the Dugway JAG or Environmental Office as disloyal, disobedient and subject to disciplinary action. This policy and practice, and General Aiken's statement referenced immediately above, reflect clear evidence of hostility and retaliatory motive towards employees such as Dr. Hall who raise protected environmental concerns to State and federal environmental agencies and Congress. Direct evidence of discriminatory intent is found where, as here, an employee is subjected to adverse actions because he went outside the chain-of-command to report an environmental concern.
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On the basis of the totality of this closed record, this Judge finds and concludes that Respondent's adverse actions were motivated by its disapproval of Complainant's repeated insistence on environmental compliance and his efforts to obtain that compliance. While this Judge does not fault the chain-of-command for its disagreement with Complainant's assessment on the reportability of the North Site and its declination to adopt his recommendations, I do find fault in the chain-of-command's active efforts to dissuade and/or prohibit Complainant from making a report to external regulatory authorities. Respondent was not entitled to insist that Complainant adhere to their position or keep silent about his disagreement with it. See Generally Dutkiewicz v. Clean Harbors Environmental Services, Inc., 95-STA-34 (ARB August 8, 1997)(a matter over which I presided).
As I wrote in an earlier decision:
Respondent is, in effect, faulting Complainant for going outside the chain-of-command and making a complaint to a government agency. For example, Captain Florin commented and gesticulated that Complainant had stabbed him in the back when he reported to the CT DEP despite the command's determination that the North Site need not be reported. He also testified and attested to the fact that he took issue with Complainant circumventing the chain-of-command. (TR 1003; CX 109) It is not permissible, however, to find fault with an employee for failing to observe established channels when making safety complaints. Odom v. Anchor Lithkemko, 96-WPC-1 (ARB 10/10/97). See also West v. Systems Applications Int'l, 94-CAA-15 (Sec'y 4/19/95). Such restrictions on communication, the Secretary has held, would seriously undermine the purpose of the environmental whistleblower laws to protect public health and safety.
Berkman v. U.S. Coast Guard Academy, Case Nos.: 97-CAA-2 and 97-CAA-9 (ARB Dec. January 2, 1998).
The Board has held that evidence that an employer routinely encouraged employees to make written reports of safety defects is "highly relevant" evidence that militates against a finding of retaliatory motive. See Andreae v. Dry Ice, Inc. 95-STA-24 (ARB 7/17/97). Vice versa, this Judge views evidence that an employer discourages reporting compliance issues as highly relevant to a finding of retaliatory motive. In this regard, I find the credible and uncontroverted evidence that Attorney Frey was told not to contact the DEP indicative of Respondent's animus towards the environmental compliance officer resorting to external authorities in an effort to obtain compliance. ...
Id.
[Page 57]
Respondent's Use of Irregular Procedure in Regard to Complainant:
It is now well-settled that an employer's use of irregular procedure in dealing with an employee who has engaged in protected activities is indicative of retaliatory motive. A number of instances of Dugway's use of irregular procedure in regard to Dr. Hall have been delineated above, especially Dugway's failure to notify Dr. Hall that his CPRP approval was terminated.
It was also irregular procedure to require Dr. Hall to submit to a new background investigation on the excuse that newly changed regulations required it when the regulation in question exempted Dr. Hall as an employee who had a valid background investigation within five years of having been placed in a chemical duty position and who had no break in federal service. Failure to inform Dr. Hall that his CPRP had been suspended, restricted or terminated for medical reasons was also irregular procedure. Re-raising years later in 1996, old allegations regarding which Dr. Hall had been cleared in 1989-91, particularly in light of Dr. Hall having been given a memo from the Commanding Colonel of Dugway assuring him that his record was clear (CX 14) and that nothing would be held against him in the future, in an attempt to influence adversely the outcome of the third mental exam and Dr. Hall's CPRP and security clearance review was blatantly irregular procedure, not to mention offensive. Likewise failing to erase from Dr. Hall's records the temporary disqualification from CPRP after Dr. Hall was reinstated, contrary to Army regulations and policy that requires such erasure, was irregular procedure reflecting Dugway's discriminatory intent, and I so find and conclude.
Respondent's Disparate Treatment of Complainant:
There was disparate treatment of Dr. Hall regarding his working at home and regarding being subjected to a fitness for duty exam in comparison to Dr. Harvey who was similarly situated. When Dr. Hall pointed this out to Dugway, rather than cease their discriminatory treatment of Dr. Hall evidenced by the disparate treatment, Dugway embarked on a course to coverup the appearance of disparate treatment by forcing Dr. Harvey, a kind and dedicated public servant suffering serious illness, to undergo a fitness for duty exam (although with more flexible procedures) and eventually terminated Dr. Harvey. This intentional victimization of an innocent and loyal professional employee shows the lengths to which Dugway was willing to go to silence Dr. Hall's whistleblowing, and I so find and conclude.
Dr. Hall also suffered disparate treatment regarding the time period in which submission of the paperwork for the new 1995 background investigation for CPRP was required. Dr. Hall was required to submit his paperwork within a short time, a matter of several days, and some of his colleagues were allowed to take 1-2 years to do so. Dr. Hall was also subjected to disparate treatment in regard to being required to submit to mental examinations when employees who were in similar or more compelling circumstances were not required to submit to such exams, and I so find and conclude.
[Page 58]
Respondent's Changing Reasons Offered for its Actions Regarding Complainant:
Dugway's stated reasons for actions against Dr. Hall were conveniently inconsistent. Respondent first attempted to rely on a sexual harassment charge as a basis for requiring Dr. Hall to submit to two mental exams in 1989 and then assured Dr. Hall that such an allegation was not the reason for the exam (stating that the actual reason was certain letters Dr. Hall had submitted to Mr. Bowcutt), then in 1991 assured Dr. Hall that there were no pending sexual harassment charges against him, then five and six years later raised the same old (and still unfounded) sexual harassment charge again during later attempts in 1996 to again require Dr. Hall to submit to yet another mental exam, and then at trial attempted to rely on the same old sexual harassment charge to justify its past actions against Complainant but failed to produce a complaining witness even after being cautioned by the Court that the individual allegedly being harassed did not view it as such. Moreover, Ms. Carlson's statements about the sweater incident do not, in my judgment, constitute sexual harassment as she did not view it as an "unwanted touching." However, the woman in the back seat viewed it as such and led the conspiracy to bring that charge against Dr. Hall.
Further, Respondent rated Dr. Hall as fully successful or higher on all of his performance appraisals but gave contradictory performance information to the mental health professionals examining Dr. Hall, and later at trial attempted to provide an entirely different performance rating for Dr. Hall using a 1-10 comparative or personal potential based system never adopted at Dugway.
Proximity in Time of Respondent's Actions to Complainant's Protected Activities
As I wrote in one of my earlier decisions:
One factor that courts deem important in determining whether the employee has made a prima facie case of unlawful retaliation or discrimination is whether the employer discharged or otherwise disciplined the employee for engaging in protected activity "so closely in time as to justify an inference of retaliatory motive." Couty v. Dole, 886 F.2d 147, 148 (8th Cir. 1989) (termination occurred thirty days after protected activity), citing Womack v. Munson 619 F.2d 1292. 1296 (8th Cir. 1980) (twenty-three days), cert. denied, 450 U.S. 979 (1981); Keys v. Lutheran Family and Children Services of Missouri, 668 F.2d 356, 358 (8th Cir. 1981) (less than two months). These cases provide examples of when the duration of time between protected conduct and adverse employment action is sufficiently short to give rise to at least an inference of retaliation, thereby allowing the employee to satisfy the requirement of a prima facie case. ...
It is well-settled that temporal proximity is sufficient as a matter of law to establish the final required element of a prima facie case - that of causation of retaliatory discharge. Keys v. Lutheran Family and Children's Services of Missouri, 668 F.2d 356, 358 (8th Cir. 1981); Womack v. Musen, 618 F.2d 1292, 1286 & N. 6 (8th Cir. 1980); cert. denied, 450 U.S. 979, 101 S.Ct 1513, 67 L.Ed 2nd 814 (1981); Davis v. State University of New York, 802 F.2d 638, 642 (2d Cir. 1986); Mitchell v. Baldrich, 759 F.2d 80, 86 (D.C. Cir. 1985); Dominic v. Consolidated Edison Co. of New York, 822 F.2d 1249 (2d Cir. 1987) (considering retaliatory action claim for firing that occurred three months after filing complaint); Burrows v. Chemed Corp., 567 F. Supp. 978, 986 (E.D. Mo. 1983) (holding inference of retaliatory motive justified, where transfer followed protected activity); Kellin v. ACF Industries, 671 F.2d 279 (8th Cir. 1982) (holding lower court's finding that prima facie case for retaliatory action was established, where EEOC charge was filed in late 1971 and disciplinary measures occurred throughout 1972). 8. The close proximity of time of the discharge to the protected activity will justify the inference of a retaliatory motive in the employer. Couty v. Dole, supra (8th Cir. 1989). The above cases include temporal spacing between the protected activity and the retaliatory discharge of up to five months. Thermidor, supra.
Creekmore v. ABB Power Systems Energy Services, Inc., 93-ERA-24 (ALJ Sept. 1, 1994).
[Page 59]
The close proximity in time between Dr. Hall's protected activities and Dugway's actions strongly supports an inference of retaliatory motive even in the absence of the direct evidence and abundant other circumstantial evidence. For example, reassignment of Dr. Hall to the joint Contact Point occurred shortly after Dr. Hall's reporting to the State and OSHA of improper storage of waste chemicals resulted in an OSHA inspection and citation of Dugway for OSHA violations.
Attempts to lower Dr. Hall's performance appraisal occurred shortly after Dr. Hall engaged in protected internal and external reporting of environmental concerns, including in 1987 after Hall disclosed potential violations of the Safe Drinking Water Act and Clean Water, and later when Dr. Hall was engaged in raising concerns regarding Simpson Butte, the Carr Red Dirt, the BZ Bomblets, and PINS in the 1995-1997 period.
The Dugway Commander's Recommendation to revoke Dr. Hall's security clearance came shortly after Dr. Hall filed his DOL whistleblower complaint in this matter and after the Commander reviewed that complaint in the packet of information submitted to him and on which he relied in making his determination to recommend revocation of Dr. Hall's security clearance.
About a week after Dr. Hall had submitted his testimony in an Army 15-6 investigation, Dr. Christiansen said Gary Bodily's recently vacated position would not be filled from the list of previous applicants, on which list Hall was highly ranked, but would be filled from outside.
Dugway received the notification of the DOL/OSHA investigation on February 24, 1997. The hostile adverse actions continued and intensified at that point in time. Shortly after Dugway learned of Dr. Hall's complaint, Dr. Brimhall handed Hall his review of the BZ report first draft, and expressed sincere concern for something unpleasant awaiting Hall at the Editor's office.
Dugway's initiation of the third mental exam and expanded DIS investigation came in close proximity to Hall's raising concerns about the Lakeside Bomb, PINS, Simpson Butte, the BZ Bomblets and the Carr Red Dirt.
[Page 60]
Pretextual Reasons Offered by Respondent for Its Actions Against Complainant
As Complainant has proved the elements of his case, Respondents have the burden of producing evidence to rebut the presumption of disparate treatment by presenting evidence that the alleged disparate treatment was motivated by legitimate, nondiscriminatory reasons. See Morris v. The American Inspection Co., 1992-ERA-5 (Sec'y Dec. 15, 1992). Significantly, Respondent bears only a burden of production, as the ultimate burden of persuasion of the existence of intentional discrimination rests with the Complainant. Texas Dep't of Community Affairs v. Burdine, 450 U.S. 248, 254-55 (1981); Dartey v. Zack Co. of Chicago, 1982-ERA-2 (Sec'y Apr. 25, 1983). An employer's discharge decision is not unlawful even if based on mistaken conclusions about the facts, however, a decision will only violate the Acts if it was motivated by retaliation. Dysert v. Westinghouse Electric Corp., 1986- ERA-39 (Sec'y Oct. 30, 1991).
Respondent contends that any alleged, adverse action taken against Complainant was for a legitimate, non-discriminatory reason. I disagree. Rather, I find and conclude that all of Respondent's purported legitimate, non-discriminatory reasons for its actions were actually based upon, and closely interwoven with, Complainant's protected activities, and those actions and reasons therefore have been delineated at length above. While Respondent cites to Dr. Hall's alleged poor performance, the delays and conflicts upon which Respondent relies actually involved the same projects and situations where Dr. Hall was engaging in protected activity. Moreover, the cited delays were actually the result of the conspiracy against Dr. Hall to get rid of him because he was not a "team player" and because of his protected activity.
I find this situation closely analogous to Passaic Valley Sewerage Commissioners v. United States Dep't of Labor, 992 F.2d 474 (3d Cir.), cert. denied, 50 U.S. 964 (1993), where the Third Circuit held, where there was "no evidence that the Complainant's alleged personality or professional deficiencies [in interpersonal relations] arose in any other context outside his complaint activity," the Respondent's conclusion that the Complainant had a personality problem or deficiency of interpersonal skills was reducible in essence to the problems of the inconvenience the Complainant caused by his pattern of complaints. Id. at 481; see also Dodd v. Polysar Latex, 1988-SWD-4 (Sec'y Sept. 22, 1994) (concluding that what respondent viewed as poor attitude was nothing more than the result and manifestation of the Complainant's protected activity). I agree that this case presents a situation where all of Respondent's alleged "legitimate" reasons are essentially complaints about the inconvenience and difficulties caused by Complainant raising safety concerns. Therefore, I find and conclude that Respondent has failed to produce a legitimate, non-discriminatory reason for subjecting the Complainant to adverse action, and as a result, Complainant has met his claim for intentional discrimination and is entitled to damages. If, however, a reviewing authority concludes that Respondent has provided legitimate, non-discriminatory reasons for its actions, then I find and conclude that Complainant has proven that any such reasons are pretext, as shall now be discussed.
[Page 61]
I find and conclude that Complainant has presented adequate evidence to prove not only that the Respondent's proffered reasons for any adverse action pretext, but also that the Complainant was harassed and subject to disciplinary action in retaliation for engaging in protected activity. Leveille v. New York Air Nat'l Guard, 1994-TSC-3/4 (Sec'y Dec. 11, 1995). Respondent alleges that Complainant was subject to discipline based upon his professional failures, and repeated instances of refusing to follow supervisors' orders. I find and conclude, however, that Complainant has proven that those reasons are specious, and that the real motivation concerned retaliation against him because of his protected activity. I conclude that Dr. Hall has proven that Respondents intentionally discriminated against him for engaging in protected activity.
I find that Respondent's reasons are pretext and that Respondent's adverse actions were discriminatory and in retaliation for Complainant engaging in protected activity.
First, however, I, very briefly, wish to touch upon the issue of dual motive analysis. Under dual motive analysis, a respondent must establish, by a preponderance of the evidence, the existence of a legitimate reason for the taking of adverse employment action against a complainant, and that the respondent would have taken the same action even if the employee had not engaged in protected conduct. See Simon v. Simmons Foods, Inc., 49 F.3d 386, 389 (8th Cir. 1995); Martin v. The Dept. of the Army, 1993-SDW-1 (Sec'y July 13, 1995).
This Judge only reaches the dual motive analysis if I determine there is a legitimacy to the Respondent's stated reason for the adverse employment action, a conclusion which I have specifically rejected for the aforementioned reasons. Even so, I find and conclude the Respondent has failed to present sufficient evidence that they would have taken the same action if Complainant had not engaged in protected activity, because the evidence establishes that Respondent's actions and positions were motivated primarily in response to Complainant raising quality concerns.
In view of the clear and direct evidence of Dugway's retaliatory motive in the record, there is no need to analyze asserted reasons offered by Dugway to show they are pretextual. On the record that exists, I find and conclude that it is impossible for Dugway to assert a legitimate non-discriminatory reason for its actions. However, if reviewing authorities should rule otherwise, I further find and conclude that this record makes clear that the reasons asserted by Dugway are in fact pretextual. Pretext is shown from Dugway's false and post-hoc evaluations of Complainant's performance over the years, evaluations that are inconsistent with the official performance appraisals at the time, and in the reasons given for his lowered performance evaluations. In some cases, Dr. Hall protesting those lowered evaluations actually got other managers to intervene and get those performance evaluations increased above the initial management rating.
Pretext is blatantly shown by Dugway's continued reliance on false and unsupported allegations of sexual harassment when no victim of such harassment exists. Dugway was asked by this Administrative Law Judge to bring in a complaining witness if Dugway was to continue to assert these allegations against Dr. Hall but Dugway failed to do so. As already found above, Ms. Carlson does not view the sweater incident as sexual harassment.
[Page 62]
Pretext is also shown in the suspension and recommended revocation of Complainant's security clearance purportedly based on mental health problems based on mental exams that had no legal basis, and diagnoses that were based on biased information pursuant to a procedure that had no basis in law.
Pretext is also shown in threats of termination, allegedly based on late reports when the lateness of those reports was orchestrated as part of the conspiracy against Dr. Hall by Respondent.
Pretext is also shown in taking adverse action against Complainant under circumstances where other employees were not sanctioned or where other employees were post-hoc, and only after the decision to act against Dr. Hall, treated similarly to Dr. Hall but only as a cover story to avoid the legitimate perception of disparate treatment, and I so find and conclude.
The evidence of retaliatory motive in Dugway's actions against Dr. Hall discussed under the categories above is abundant in the record - both direct and circumstantial evidence. The case law recognizes each category above as evidence of retaliatory motive.
In terms of direct evidence, the gag order issued by Colonel Kiskowski was a clear direct sign of retaliatory motive and intent to discriminate. This situation is analogous to the Migliore case where this Administrative Law Judge found:
Complainant had previously, and repeatedly, provided information to the EPA critical of Mr. Albro and the RIDEM program. Such information was used by the EPA in conducting an audit of the RCRA program, RIDEM's use of federal funds, and served as a basis for PEER's withdrawal petition. Suffice to say, RIDEM failures, highlighted by complaints to the EPA and others, created a great deal of external pressure and embarrassment for Mr. Albro and other RIDEM supervisors. I find that because of Complainant's repeated protected disclosures to the EPA, Mr. Albro and Mr. Szymanski sought to prevent Complainant's contact with the EPA. Despite the contradictory testimony on the extent of contact to be allowed, RIDEM sought to curtail Complainant's access to the EPA, and such motivation was an intent to discriminate.
Migliore v. Rhode Island Department of Environmental Management, 1998-SWD-3, 1999-SWD-1, 1999-SWD-2 (ALJ RDO August 13, 1999).
Respondent Has Not Articulated Legitimate Reasons for its Actions
As in Migliore quoted below, Respondent Dugway here has failed to articulate any legitimate non-discriminatory business reason for its actions against Dr. Hall, as a result of the existence of both substantial direct evidence of retaliatory motive and because Dugway's
[Page 63]
actions against Dr. Hall have been based upon and closely interwoven with Dr. Hall's protected activities. As I ruled in Migliore:
All of Respondent's purported legitimate, non- discriminatory business reasons were actually based upon, and closely interwoven with, Complainant's protected activity. For example, I find that the Respondent's allegation concerning Complainant's insubordination in regard to her memoranda responses to Mr. Albro, and regarding the charges in CX 41 and CX 42, were actually based upon, or in response to Complainant's actions where she implicated her protected activity. Further, Director McLeod's memoranda directing Complainant to respond to his questions and threatening "corrective action" were the direct result of her engaging in protective activity by voicing her concerns about American Shipyard to both the EPA and PEER. I also find that Mr. Albro and Mr. Szymanski's statements regarding Complainant's communications with the EPA are actually in response to several EPA investigations of RIDEM, based on Complainant's protected disclosures. While Respondent cites to Complainant's alleged poor performance, the delays and conflicts RIDEM relies upon, actually involved the same cases and circumstances where Complainant was engaging in protected activity. Moreover, the cited delays were actually the result of micro-managing and obstruction by the Complainant's supervisors. Accordingly, I conclude that the Respondent's propounded "legitimate, non-discriminatory reasons" for subjecting Complainant to a one-day suspension, and instances of discrimination and harassment, are actually tainted, as the basis for these "legitimate" reasons was really in retaliation for her engaging in protected activity. I find this situation closely analogous to Passaic Valley Sewerage Commissioners v. United States Dep't of Labor, 992 F.2d 474 (3d Cir.), cert. denied, 50 U.S. 964 (1993), where the Third Circuit held, where there was "no evidence that the Complainant's alleged personality or professional deficiencies [in interpersonal relations] arose in any other context outside his complaint activity," the Respondent's conclusion that the Complainant had a personality problem or deficiency of interpersonal skills was reducible in essence to the problems of the inconvenience the Complainant caused by his pattern of complaints. Id. at 481; see also Dodd v. Polysar Latex, 1988-SWD-4 (Sec'y Sept. 22, 1994) (concluding that what respondent viewed as poor attitude was nothing more than the result and manifestation of the Complainant's protected activity). I agree that this case presents a situation where all of Respondent's alleged "legitimate" reasons are essentially complaints about the inconvenience and difficulties caused by Complainant raising safety concerns. Therefore, I find and conclude that Respondent has failed to produce a legitimate, non-discriminatory reason for subjecting the Complainant to adverse action, and as a result, Complainant has met her claim for intentional discrimination and is entitled to damages.
Migliore v. Rhode Island Department of Environmental Management, 1998-SWD-3, 1999-SWD-1, 1999-SWD-2 (ALJ RDO August 13, 1999).
[Page 64]
While Respondent in the case at bar points to several employees who were disciplined for various reasons, those were proper management reasons for proper administrative and/or personnel reasons. However, Complainant was treated in a disparate manner and in such an obvious fashion that he was finally forced to leave Dugway to keep his sanity and health.
Respondent also suggests that Dugway did not create or allow a hostile work environment, although due to Complainant's depressed, dysthymic, and/or paranoid type mental disorder, Complainant may have actually believed he was the victim of a hostile work environment. Respondent also points out that Dr. Hall's psychological and medical problems existed before he became employed at Dugway and therefore were not caused by Dugway.
I agree to a certain extent but I also disagree - - first of all, to be affected by the death of a family cat of 16 years is not unusual, and for Respondent's counsel to imply that that is an unusual stressor simply offends all "cat-lovers" in the world.
Furthermore, while Complainant's psychological problems may have been aggravated by his own self-induced stress typically found in a so-called Type A individual, especially one who is a perfectionist, and while non-employment stressors were present in his life, there is absolutely no doubt that Complainant's psychological problems were aggravated, exacerbated and accelerated by the discriminatory, adverse and disparate treatment he received from his supervisors - both military and civilian - and from his co-workers, and I so find and conclude.
While Dr. McCann opined that he "can see no evidence in the record or in (his) evaluation that Dr. Hall has experienced any type of mental illness or consequences of mental illness which could be caused by the actions of Dugway" (TR 5141), that opinion refers ONLY TO DIRECT CAUSATION and does not rule out the logical inference by this Administrative Law Judge - - who has presided over workers' compensation claims for over twenty-four (24) years - - that the actions of Dugway - through any of its employees - did aggravate, accelerate or exacerbate Dr. Hall's acknowledged pre-existing psychological problems, and I so find and conclude.
While Complainant left Dugway in June of 1997, these stressors - both non-employment and employment-related - have continued because of his worsening health and financial condition and this protracted litigation, litigation, I might add, marked by a vigorous defense.
Thus, I firmly believe that this matter should have been voluntarily resolved years ago - - However, such did not happen, apparently not to make a peace treaty with "a traitor," to quote that military officer.
According to Respondent, "The only act that took away his security clearance was his voluntary act of retiring." I strongly disagree. Dr. Hall was forced to retire because of the actions of the Respondent and because Dr. Tedrow recommended that he get out of that environment. I strongly agree with that medical recommendation of the doctor.
[Page 65]
Respondent was well aware of Dr. Hall's employment history at IBM, Locktite and Webb High School before hiring him. Thus, Respondent should not be allowed to say now in defense: "the bottom line is that Complainant was let go from at least three (actually two) jobs before he came to work at Dugway."
Yes, Complainant challenged his supervisors and co-workers at Dugway - I see nothing wrong with this. Dugway views that as a personality problem, apparently looking only for so-called "yes men and women" at that military facility.
I note that Respondent alleges that Complainant's "anxiety caused him to fight going to trial and delay the hearing for years on end." I disagree - - the hearing was delayed several time due to Complainant's multiple medical problems and once due to this Court's budgetary problems and once due to the retirement of my distinguished colleague, Daniel L. Stewart.
I agree that Complainant did have certain interpersonal problems with his relationships with Carol Fruik, Carol Milliken and Ms. Edgeman. However, I disagree with the statement of Respondent's counsel that Dr. Hall was "harassing Deanna Carlson for a short time." Ms. Carlson did not view that automobile/sweater incident as such - notwithstanding the efforts of others to characterize it as such - Complainant and Ms. Carlson have remained friends to this very day, apparently to the dismay of Respondent.
As already noted above, Respondent cites Deanna Carlson - but she, to this day, has steadfastly refused to lodge a formal complaint against Dr. Hall, despite the urging of certain of the supervisors and the then head of the JAG office to do so - - As noted, Ms. Carlson and Dr. Hall have remained friendly to this day - not the usual situation wherein one allegedly was the victim of sexual harassment. Complainant's alleged "misconduct" has been greatly exaggerated in an attempt to put Respondent's defense in the best light. The instances of misconduct cited by Respondent in its reply brief at pages 68-72 are simply examples of steps Dr. Hall found it necessary to take to deal with his personal, family and employment problems. There is nothing sinister about those steps, especially given the conspiracy against him at Dugway.
While Complainant concedes that he had "depression" in his interview with Dr. McCann (TR 8138), that is simply a reflection of the treatment to which Dr. Hall was subjected at Dugway, which treatment aggravated, accelerated, and exacerbated his pre-existing psychological problems, and I so find and conclude.
Furthermore, while Respondent submits that there was "no involuntary reassignment" of Dr. Hall to JOD, this record is replete with instances of adverse action taken against Dr. Hall by Dugway because of his protected activities, and while Respondent points out that Complainant's own witnesses were unable to cite any such examples, the answer is simply that Dr. Hall did not get together with these witnesses and rehearse or suggest their testimony in any way.6 Complainant has proven numerous instances of adverse action and these have been enumerated above.
[Page 66]
Moreover, having to undergo a psychiatric evaluation is an adverse action when the doctor, Dr. Hoffman, giving the evaluation, saw no need for such evaluation.
That these adverse actions, or any of them, may not be grievable under the regulations or union procedures is simply irrelevant. The test is whether these adverse actions were taken by Respondent in retaliation for protected activities.
While the CCF notified Complainant that his security clearance would be revoked because of his mental condition, I find and conclude that the real reason, sotto voce, was that he was not a team player, was a whistleblower and had engaged in protected activities virtually from the first day of his employment at Dugway.
Respondent has also tried to justify its actions herein by describing Dr. Hall's performance at Dugway as marginal. However, such poor work performance is not reflected in the bottom line of his performance appraisals, i.e., his actual overall rating. These performance appraisals lead me to believe that certain of Dr. Hall's supervisors - while engaging in the usual negative rhetoric verbally about him at Dugway and at the trial - refused to reflect that rhetoric in the performance appraisals, written documents that may be used for another purpose - as had happened here, i.e., documents in the record that actually support Dr. Hall's case.
Moreover, while Dugway supervisors recorded factual and negative comments in Complainant's performance appraisals, Complainant's alleged performance problems were really due to the requirement by other supervisors that he assist some of his co-workers and by the contradictory demands on his professional time and were, in my judgment, part of the grand conspiracy against Dr. Hall because (1) he was not a "team player," (2) he was a whistleblower and (3) had engaged in protected activities to protect the public interest at that federal facility.
Dugway also submits that it acted properly in maintaining records about Complainant's employment because of this action, which was initiated (four months) before he retired and because Army Regulation 25-400-2 provided for maintaining CPRP records for forty years. While that statement may be proper, I do have problems with the so-called "supervisor's file" because it is this file that was passed from supervisor to supervisor and that contained much negative and obsolete information about Dr. Hall, apparently to keep Dr. Hall's new supervisor up-to-speed about his protected activities and the trouble that he was causing everyone at Dugway.
I note that the Respondent posits that Complainant's allegation that Major General M.G. Aiken called him a traitor was false, and even if it were true, General Aiken had left that Command many years before Complainant allegedly heard of the remark.
I disagree strongly. I accept Complainant's testimony that that remark was made, especially as I do not credit the one witness who denied making that remark to Dr. hall. I find and conclude (1) that that remark was made, (2) that that remark reflected the attitude of many others at Dugway, (3) that it was passed on verbally throughout Dugway and (4) that it epitomized the negative attitude manifested against Dr. Hall.
[Page 67]
I note with considerable interest that Respondent did not take the post-hearing deposition of General Aiken. Cost certainly cannot be a factor, given the plethora of witnesses, documents and evidence produced by the Respondent, especially dealing with such a serious allegation, one that may be slanderous. Moreover, there is no evidence that General Aiken was unavailable for such deposition. Thus, I shall draw an adverse inference by his absence herein.
Respondent also attempts to justify its actions herein on the basis of Complainant's substantial history of using mental health professionals for years, and pointing out that his erratic behavior, CCF's and Dugway's Action of Sending Complainant to, or asking him to undergo Mental Health Evaluations, were totally appropriate. "Complainant had problems at IBM, Locktite and Webb High School and he lasted at Dugway for 11 years, three years longer than at any other employer. This tends to indicate that he was treated better at Dugway and that Dugway was more tolerant of his mischief and marginal work productivity, than any other employer."
I disagree very strongly for the reasons that have already been articulated herein.
Respondent also submits that Dugway had regulatory grounds to temporarily disqualify or administratively terminate Dr. Hall from the CPRP.
I disagree. Respondent should have worked with Dr. Hall in a positive way and help him to deal with his personal and employment problems in a constructive way. However, this was not done and this lack of cooperation by the Respondent aggravated, accelerated and exacerbated his problems.
Moreover, when his CPRP was administratively terminated, he was not given notice thereof. Respondent submits that notice of such termination is not legally required. That may be so but common sense and common courtesy dictate that at least verbal notice be given to the affected employee. In this case, Dr. Hall obtained notice thereof embarrassingly when he was denied access while escorting a visitor to the exclusion area.
Respondent also submits that CCF and Dugway had grounds to suspend and recommend revocation of Dr. Hall's security clearance due to his mental health history and the law requiring that the granting of a security clearance must be consistent with the National Security Interest.
I disagree. Dr. Hall in early 1997 received that notice based on past charges of which he believed he had been cleared, first by the Colonel Cox in the so-called "clean slate" letter in October of 1991 (CX 14), and then by subsequent favorable work appraisals and by favorable results in his mental evaluations in the sense that there was no evidence found to warrant his termination.
While Dr. Hall's retirement ended that proceeding, the fact remains that he was forced to retire (1) by the Respondent's conspiracy and (2) upon his Doctor's advice. Dr. Hall's retirement can hardly be characterized as "voluntary," especially given Dr. Tedrow's medically sound recommendation that Dr. Hall leave behind his employment-related problems.
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According to Respondent, the review of Complainant's Security Clearance and the length of notice given to him complied with Statute, Executive Order, DOD Directive and Army Regulation, and that Dugway used the proper procedures for the actions it took regarding Complainant's security clearance.
That may well be so but the fact remains that the procedure was instituted as part of the conspiracy against Dr. Hall and to get rid of him because he was not a "team player." The fact that Dugway followed proper procedures does not negate the fact that Dr. Hall's employment-related problems were the direct result of the hostile work environment fostered and perpetuated at Dugway by Dr. Hall's supervisors and the compliant co-workers who were part of this conspiracy against Dr. Hall.
Respondent also suggests that Dr. Hall's objection and response to the Intent to Revoke his security clearance did not exhaust his available administrative remedies within the DOD's Office of Hearings and Appeal.
I disagree, because Sergeant Perry Watkins v. U.S. Army, 875 F.2d 699, 1989 U.S. App. LEXIS 6049 (9th Cir. 1989) is clearly distinguishable as it involves a member of the military service and does not involve a request for hearing under the federal whistleblower statutes. Moreover, an individual on active duty, unlike Dr. Hall, a civilian employee, is subject to the rules and regulations of the particular branch of service plus the pertinent Status of Forces Agreement for transgressions occurring on foreign soil, for instance.
Respondent characterizes Dr. Hall's allegations as absurd and, if his claims are granted, would deny the ability of an agency involved in National Security Work to remove "a mentally disordered person from the CPRP."
Initially, I deny that Dr. Hall's allegations are absurd and, second, I hold that the agency's ability must not be exercised in such a way as to frustrate an employee's rights under the whistleblower statutes. There are many ways by which the agency can protect National Security but the agency, in this case Dugway, must not deny Dr. Hall's rights under the whistleblower statutes.
After "9/11," the rights of whistleblowers have been greatly enhanced and, just recently, President George W. Bush, as our Chief Executive and Commander in Chief, directed all federal employees to bring to the attention of appropriate personnel their "suspicious" concerns about safety and, if ignored as were the suspicions of F.B.I. Special Agent Coleen Rowley, to bring those concerns to the Director of Homeland Security and even to the White House, if necessary. Thus, that constitutes a presidential directive to ignore the chain-of-command if necessary. Moreover, the cases cited by Respondent are clearly distinguishable as Dr. Hall has neither been charged with nor convicted of any of the offenses found in the cases involving Gregory Scott (cocaine use), Ernest Brazil 66 F.3d 193 (9th Cir. 1995)(involving a Title VII claim of alleged racial discrimination under the provisions of the EEO Act), Keith Meinhold (34 F.3d 1469 (9th Cir. 1994)(involving the military's so-called "DON'T ASK, DON'T TELL" policy as to the individual's sexual orientation), and Sandra M. Thompson and George Stout, 884 F.2d 113 (4th Cir. 1989) (refusal to undergo random drug testing).
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According to Respondent, Dr. Hall's claim is without merit and, if granted, would deny a federal agency its statutory right to assign work and require merit performance of that work.
Initially, I deny that Dr. Hall was unwilling to complete his tasks on time. Moreover, he was unable to complete them timely because of the conspiracy against him, a conspiracy that went from the highest levels of Dugway (e.g., Colonel Como "rubber stamping" the allegations against Dr. Hall) to Dr. Hall's supervisors and to his compliant, docile and "team playing" co-workers.
As I have already found and concluded above, Dr. Hall is an intelligent, honest, dedicated and conscientious chemist who always tried to do his best at Dugway but who was frustrated by his supervisors and certain co-workers, at every opportunity, especially by Christina Wheeler. Furthermore, that Ms. Wheeler may have been abrasive and caustic to others at Dugway is no defense herein involving allegations of retaliation for having engaged in protected activity under the whistleblower statutes, and I so find and conclude.
Moreover, the disagreement with Dugway is more than "marginal" under the whistleblower statutes and retaliation for such protected activity. One further point: I find no similarity between Dr. Hall's problems at Dugway and those of Wen Ho Lee, an individual at Los Alamos who pleaded guilty to transferring willfully data he knew could be damaging to the United States. While General Aiken referred to Dr. Hall as "a traitor," apparently because of his whistleblowing and because he was not a "team player," no such charges have been filed against Dr. Hall, and there has been no hint that any of his actions rose to that level. If such were the case, Dr. Hall would have been a defendant in another forum.
I also find and conclude that Ilgenfritz v. U.S. Coast Guard Academy, ARB Case No. 99-066 (August 28, 2001), and the other cases cited by Respondent's counsel in his admirable attempt to defeat this claim, are clearly distinguishable because this record leads ineluctably to the conclusion that Dr. Hall's employment-related problems directly resulted from that conspiracy against him, issues not involved in those proceedings cited by counsel.
On the basis of the totality of this closed record and resolving all doubts in favor of Dr. Hall to effectuate the spirit and purposes of the whistleblower statutes, I find and conclude that Dr. Hall was constructively terminated by Dugway by means of the hostile work environment created at Dugway as part of the conspiracy against him, a conspiracy engendered because of his protected activities that began at Dugway within a few months of his employment. Dr. Hall was frustrated at every opportunity and he finally was forced to retire upon his doctor's advice.
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While I understand that Respondent's counsel must try to put all events in proper light for his client, I simply cannot agree that this proceeding is simply about an honest "disagreement with management over environmental issues." This case involves the creation of a hostile work environment and a pattern of retaliation over the years because of Dr. Hall's protected activities.
Respondent relies on Complainant's pre-Dugway employment and psychological and psychiatric counseling as one of the reasons to deny the claim filed by Dr. Hall.
Initially, I note that the OSHA investigation is entirely irrelevant and immaterial herein as this is a de novo hearing and my decision herein will be based upon my review and analysis of all of the documents in this closed record as fully perfected by the parties.
Complainant's pre-Dugway employment history simply establishes that he is a conscientious and dedicated employee who has always attempted "to do the right thing." He certainly is not a phony or a sycophant who "goes along to get along" and who says the "right things" in this "politically correct era" simply to ingratiate himself with his superiors.
This case is further compounded by the fact that Complainant, a highly-educated professional chemist, is a civilian employee at a military facility and subject to its dogmatic, autocratic and hierarchical structure, and I say this with all due respect to our dedicated people in the U.S. military and coming from one who has spent a total of six (6) years in Army M.I. and who is proud of such service.
Yes. Complainant did have pre-existing personal, family and psychological problems before going to work for the Respondent in February, 1986. However, Respondent hired him with full knowledge of these problems because he is, in my judgment, a brilliant chemist whose talents Respondent needed. It is obvious that Complainant's problems were aggravated and exacerbated by the harassment, discrimination and disparate treatment by the Respondent, almost from day one in 1987. It is well to keep in mind that an employer takes each employee "as is" and with all of our human frailties and the employer will be responsible for the aggravation and exacerbation of such pre-existing problems, and it is no defense for the employer to say that he/she had those problems prior to employment with us and, thus, we are not responsible therefor. In this regard, see Wheatley v. Adler, 407 F.2d 307 (D.C. Cir. 1968).
Respondent, in my judgment, should have taken steps to provide Dr. Hall with the time, help and resources that he needed; instead, Respondent discriminated against him, most particularly during the regime of Colonel Kiskowski, and these instances have been thoroughly delineated and discussed above. It is apparent, even to the cursory reader of these transcripts, that Complainant was a whistleblower, that the Respondent knew about this status, that the Respondent used a number of means to make it difficult for him to do his job to such an extent that finally, as a result of his doctor's advice, he was forced to take an early retirement in June of 1997 to preserve his health, however, four (4) months after filing the complaints herein.
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Respondent makes much of Complainant's interactions with several female employees at Dugway in an attempt to justify the psychological examinations to which Complainant was subjected. It is apparent to this fact-finder that Complainant, having gone through a tumultuous marriage and an acrimonious divorce, was and still is a lonely person who needs friends and companions and who, in hindsight, perhaps should not have mixed his professional and social life, given the conspiracy against him and the existence of that so-called supervisors' file. However, he did so and the Respondent is using this aspect of his personality to defeat the claim. As already noted above, Respondent points to an episode in an automobile when Complainant removed a piece of hair from the sweater - at about upper chest level - of a female passenger, and a female in the back seat - obviously out to get him - yelled out, "that's sexual harassment." However, the alleged victim did not regard it as such and to this day she has yet to file a formal complaint against him. To this day, Complainant and she remain good friends. It is ludicrous to allege that he was "stalking" women. He simply wanted and needed friends and companionship. So much for Complainant's "problems" with women.
Moreover, I put little credence in the cards and letter he sent to several women as simply an attempt to inject some levity and humor into his otherwise demanding but lonely professional life.
While Respondent refers to Complainant's memoranda and letters as "rambling," I view those documents as simply written by a person in the so-called "stream of consciousness" writing style. I was able to understand what was written and this again is an attempt by Respondent "to grasp at straws" and raise all possible issues against Dr. Hall, hoping that one of the issues will stick.
This case really boils down to the simple fact that there existed at Dugway a conspiracy among virtually all of those who came into contact with the Complainant to get him because he was a whistleblower and one who would not stay within the military chain-of-command because his internal complaints to his superiors were producing no results.
The need for mental examinations is, in my judgment, another specious reason in the trumped-up allegations against Complainant. While Dugway has the absolute right to maintain and ensure the integrity of the CPRP, it must treat all employees in the program fairly and equally. As is delineated and discussed above, Complainant was discriminated against in the manner that Dugway operated the program as the exams were simply another way to get him and force him to retire. In this aspect, Respondent succeeded.
For instance, Complainant was chastised for using government e-mail for personal purposes, but no one else was so similarly reprimanded, at least based on this closed record.
Moreover, I put little credence on the medical evidence presented by Respondent because, in my judgment, it is all part of this conspiracy against the Complainant and, if Respondent really believed that evidence, it should have immediately removed him from the CPRP permanently and taken steps to terminate him as an employee years ago. However, the Respondent did not do so and I infer this is because the evidence was so flimsy and would not justify a termination.
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I place greater weight on the opinions of Dr. Christie and Dr. Tedrow who have seen and evaluated Complainant for many years and are in a better position to render well-documented and well-reasoned opinions, and they have done so herein.
I agree that Complainant does have psychological problems but they did not affect his professional work, as long as Respondent gave him reasonable assignments and reasonable deadlines. However, Respondent did not do so and took a series of actions against him to delay his work and to make it difficult for him to remain at Dugway.
With reference to the change of the chemical surety regulations and the requirement for reinvestigation of security clearances every five (5) years, this was a hotly contested issue and produced conflicting testimony as to what that regulation required and when it was required. This was also handled in a disparate manner vis-a-vis Complainant. Initially, others were given additional time to complete their applications. Several did not even return their applications. Complainant was not given that opportunity. (CX 1) Furthermore, I agree with Complainant and Mr. Bowcutt that Dugway misinterpreted the rule with reference to those employees who had not had a break in service since issuance of their current clearances.
As I have already noted above, I am also concerned that (1) Complainant was administratively terminated from the CPRP on July 9, 1996 by Dr. Dement, (2) was not told of such termination by anyone at Dugway and (3) he did not find out about it until several months later when he was denied entrance into a chemical exclusion area. Such lack of notice, in my judgment, is another act of blatant disparate treatment and I reject Respondent's argument that the regulation does not require such notice, because common courtesy and common sense require such notice so that the person affected can take proper steps to protect his/her rights in close proximity to the administrative termination.
With reference to the June, 1996 DIS investigation of the Complainant, the investigator talked to numerous individuals at Dugway but did not talk to Dr. Hall to get his version of the stories these individuals were telling the investigator. A blatant lack of due process and another example of disparate treatment, and I so find and conclude.
With reference to the CCF request that Complainant undergo a mental evaluation, that was completed and on January 7, 1997 Complainant was notified that CCF intended to revoke his security clearance. However, on February 13, 1997 he filed his DOL complaint herein and on May 21, 1997 he announced that he was seeking an early retirement, effective as of June 12, 1997, based on the advice of his doctors, especially Dr. Tedrow who has opined that Complainant suffers from post-traumatic stress syndrome, a diagnosis that I accept as reasonable and well-documented.
As noted above, a number of continuances were granted herein because of Complainant's medical condition and the trial began on June 7, 2001 and while discovery herein may have been initially delayed by these continuances, once the matter was assigned to this Judge, I advised the parties that discovery was an on-going issue herein and that discovery would be permitted until the close of the record herein on May 28, 2002. Thus, as Complainant learned through recently furnished evidence of new allegations against him, this required that Complainant add additional elements to the theory of his case. There has been no prejudice against Respondent because both sides were given every opportunity to follow-up every lead and to present additional documentation in support of their respective positions as long as the evidence was relevant, material and not unduly cumulative.
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Respondent submits that "there were around twenty (or thirty?) direct conflicts between the testimony of the Complainant and Respondent's witnesses." (RX A at 115-129) I disagree as I find Dr. Hall to be an honest, conscientious and dedicated individual who testified most credibly before me. I have credited his version of these alleged "conflicts" and any confusion is obviously due to the passage of time and Dr. Hall's medical condition. These whistleblower cases, in the absence of the "smoking gun," are determined by circumstantial evidence and the evaluation of the credibility of the witnesses, as I have already discussed above.
I also find and conclude that Respondent's hiring in June of 2001 of Gary Millar, an acknowledged whistleblower, does not defeat this claim for the obvious reason that not hiring an individual for a position where there is a vacancy and for which the person is obviously qualified may constitute so-called "black-balling" where the refusal to hire was motivated primarily by his/her protected activity. If such had occurred, Dugway could very well have been a Respondent in another proceeding before one of my colleagues.
In summary, I find and conclude that Complainant raised a great deal of concerns over the procedures and policies at Dugway. His actions were the source of a great deal of pressure for Dugway management from the Utah state agency. Further, Dugway has been severely criticized and embarrassed by Complainant's protected activity. As a result, I find and conclude that Respondent has clearly, continuously and illegally discriminated against Complainant through harassment, disciplinary procedures and outright threats. Accordingly, I find and conclude that all of Respondent's purported, legitimate reasons for taking adverse actions against Complainant are, in fact, pretext. Complainant has met his burden of proving that Respondent has intentionally discriminated against him for engaging in protected activity concerning the proper enforcement of the Acts involved herein. As such, Complainant is entitled to an award of damages.
This Judge, having found the Respondent in violation of the aforementioned whistleblower statutes, will issue a recommendation on damages to be awarded to Complainant. Complainant requests front pay, back pay, compensatory damages, equitable relief, and attorney fees and costs.
IV. DAMAGES AND RELIEF SOUGHT
A. GENERAL DISCUSSION
As I have already held in other decisions, the environmental statutes provide liberally for an award of damages sufficient to place the employee in the position they would have
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been absent the retaliation. Thus, it is well to keep in mind certain well-settled principles.
Section 507(b) of the Clean Water Act (CWA), 33 U.S.C. Sec. 1367(b), provides in pertinent part: "If [the Secretary] finds that ... a violation did occur, he shall issue a decision, incorporating an order therein and his findings, requiring the party committing such violation to take such affirmative action to abate the violation as the Secretary of Labor deems appropriate[.]" "Affirmative action to abate [a] violation" of an environmental whistleblower statute, such as Sec. 507(a), includes retroactive promotion into a position the discriminatee would occupy but for the discrimination. See Thomas v. Arizona Public Svs. Co., No. 89-ERA-19, slip op. at 13 (Sec'y Sept. 17, 1993). "Making a victim whole ... include[s] his reinstatement to the position he would have held but for the discrimination." Lander, 888 F.2d at 156; see also Malarkey v. Texaco, Inc., 983 F.2d 1204, 1214 (2d Cir. 1993).
Cases under Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. Sec. 2000e-5, have guided the Secretary and the Administrative Review Board (ARB) in fashioning remedies appropriate to abate violations. Hobby v. Georgia Power Co., No. 90-ERA-30, slip op. at 15 (ARB Feb. 9, 2001). Like the remedies under Title VII, those available under the environmental whistleblower laws serve a twofold purpose. First, they are intended to make the complainant whole by placing him, "as near as may be, in the situation he would have occupied if the wrong had not been committed." Albemarle Paper Co. v. Moody, 422 U.S. 405, 418-19 (1975). Second, they must "so far as possible eliminate the discriminatory effects of the past as well as bar like discrimination in the future." Id. at 418, quoted in Hobby at 7 (ARB's emphasis). This goes beyond the interest of employees in protection from discrimination. It also serves the public interest in assuring exposure of threats to public health and safety, such as the discharge of sewage into streams, rivers and lakes. See Beliveau v. DOL, 170 F.3d 83, 88 (1st Cir. 1999).
Moder v. Village of Jackson, Wisconsin, 2000-WPC-0005 (ALJ Aug. 10, 2001).
Back pay is clearly provided for:
The "goal of back pay is to make the victim of discrimination whole and restore him [or her] to the position that he [or she] would have occupied in the absence of the unlawful discrimination." Blackburn v. Martin, 982 F.2d 125, 128 (4th Cir. 1992). Also See Creekmore v. ABB Power Sys. Energy Servs., Inc., 1993-ERA-24 (Dep. Sec'y Feb. 14, 1996) .
Complainant is correct to note that any uncertainties with regard to the amount of back pay are to be resolved against the discriminating party. McCafferty v. Centerior Energy, 1996-ERA-6 (ARB Sept. 24, 1997).
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The award of back pay effectuates the remedial statutory purpose of making whole the victims of discrimination, and "unrealistic exactitude is not required" in calculating back pay and "uncertainties in determining what an employee would have earned but for the discrimination, should be resolved against the discriminating [party]." EEOC v. Enterprise Ass'n Steamfitters Local No. 6348, 542 F.2d 579, 587 (2d Cir. 1976), Steamfitters Local No. 6348, 542 F.2d 579, 587 (2d Cir. 1976), cert. denied, 430 U.S. 911 (1977), quoting Hairston v. McLean Trucking Co., 520 F.2d 226, 233 (4th Cir. 1975). Initially, the Complainant bears the burden of establishing the amount of back pay that a respondent owes. Adams v. Coastal Production Operation, Inc., 89- ERA-3 (Sec'y Aug. 5, 1992). Once the Complainant establishes the gross amount of back pay due, the burden shifts to the Respondent to prove facts which would mitigate that liability. Lederhaus v. Donald Paschen & Midwest Inspection Service Ltd., 92-ERA-13 (Sec'y Oct. 26, 1992), slip. op. at 9-10; Moody v. T.V.A., Dept of Labor Decisions, Vol. 7, No. 3, p. 68 (1993).
Creekmore v. ABB Power Systems Energy Services, Inc., 93-ERA-24 (ALJ Sept. 1, 1994).
It is appropriate to review other types of wrongful termination cases, as well as awards in other whistleblower decisions involving emotional distress, to assist in the analysis of the appropriate measure of compensatory damages in a whistleblower case. Accordingly, this is precisely what this Judge has done. See Crow v. Noble Roman's, Inc., 1995-CAA-8 (Sec'y Feb. 26, 1996)(approving an award of $10,000.00 in compensatory damages);7 Creekmore v. ABB Power Sys. Energy Servs., Inc., 1993-ERA-24 (Dep. Sec'y Feb. 14, 1996) (wherein the Deputy Secretary upheld this ALJ's recommendation of $40,000.00 in compensatory damages);8 Gaballa v. Atlantic Group, Inc., 1994- ERA-9 (Sec'y Jan. 18, 1996)(wherein the Secretary reduced the ALJ's recommended compensatory damage award from $75,000.00 to $25,000.00);9 Smith v. Littenberg, 992-ERA-52 (Sec'y Sept. 6, 1995) (wherein the Secretary affirmed the ALJ's award of $10,000.00);10 Blackburn v. Metric Constructors, Inc., 86-ERA-4 (Sec'y Aug. 16, 1993) (wherein the Secretary reduced the ALJ's recommended award of compensatory damages to $5,000.00);11 Lederhaus v. Paschen, 1991-ERA-13 (Sec'y Oct. 26, 1992) (wherein the Secretary reduced the compensatory award from a recommended amount of $20,000.00 to $10,000.00);12 McCuistion v. Tennessee Valley Auth., 1989-ERA-6 (Sec'y Nov. 13, 1991) (wherein the Secretary increased compensatory damages from the ALJ's recommended award of $0.00 to $10,000.00);13 Martin v. The Department of Army, 1993-SDW-1 (ARB July 30, 1999) (wherein the ARB awarded $75,000.00 in compensatory damages for emotional distress);14 Jones v. EG&G Defense Materials, Inc., 1995-CAA-3 (ARB Sept. 29, 1998) (wherein Board adopted ALJ's award of $50,000.00);15 Smith v. Esicorp, Inc., 1993-ERA-16 (ARB Aug. 27, 1998) (wherein
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the Board reduced the ALJ's recommendation of $100,000.00 in compensatory damages to $20,000.00);16 Michaud v. BSP Transport, Inc., 1995-STA-29 (ARB Oct. 9, 1997) (wherein the Board approved an award of $75,000.00 in compensatory damages);17 Doyle v. Hydro Nuclear Services, 1989-ERA-22 (ARB Sept. 6, 1996) (wherein the Board affirmed the ALJ's recommendation of $40,000 compensatory damages);18 Bigham v. Guaranteed Overnight Delivery, 1995-STA-37 (ALJ May, 8, 1996) (adopted by ARB Sept. 5, 1996) (wherein the Board increased the ALJ's award of compensatory damages from $2,500 to $20,000 after reviewing the observations and accounts of complainant's emotional distress);19 Sayre v. Alyeska Pipeline, 1997-TSC-6 (ALJ May 8, 1999)(wherein ALJ awarded $10,000.00 in compensatory damages);20 Leveille v. New York Air Nat'l Guard, 1994-TSC-3/4 (ALJ Feb. 9, 1998)(wherein ALJ awarded over $80,000.00 in compensatory damages based upon past and future emotional stress, past and future medical expenses, and damage to professional reputation);21 Berkman v. United States Coast Guard Academy, 1997-CAA-2/9 (ALJ Jan. 2, 1998)(wherein the ALJ awarded $70,000.00 in compensatory damages).22
In Van Der Meer v. Western Kentucky Univ., 1995-ERA-38 (ARB Apr. 20, 1998), the complainant suffered little out-of-pocket loss: he lost no salary as a result of the leave of absence and there was no evidence of uncompensated medical costs. Other losses were non-quantifiable. The complainant, however, was awarded $40,000 in compensatory damages because the respondent took extraordinary and very public action against the complainant which surely had a negative impact on complainant's reputation among the students, faculty and staff at the school, and more generally in the local community; complainant was subjected to additional stress by the respondent's failure to follow the conciliatory procedures contained in its handbook and complainant testified that he felt humiliated.
In Smith v. Esicorp, Inc., 1993-ERA-16 (ARB Aug. 27, 1998), the ARB noted that, "The severity of the retaliation suffered by [a complainant] is also relevant to our determination of appropriate compensatory damages. The courts have held that the more inherently humiliating and degrading the defendant's action, the more reasonable it is to infer that a person would suffer emotional distress, and the more conclusory the evidence of emotional distress may be." Id. (citing United States v. Balistrieri, 981 F.2d 916, 932 (7th Cir. 1993)).
With these principles in mind, I will now consider the awards sought by Dr. Hall.
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B. BACK PAY
With reference to the general issue of damages that may be awarded herein, Respondent submits, perhaps tongue-in-cheek, that "it is important to note that (Dr. Hall) was not fired. He was not demoted. He was not even disciplined. He merely retired. He has suffered none of the usual indicia of retaliation. The stress he complains of is most closely related to the fact that he was unable to complete timely his work assignment."
However, this closed record lends me to conclude otherwise, and I have already made these findings and conclusions above, based upon my interpretation of the evidence and based upon my conclusion that Dr. Hall is a credible witness and that any confusion as to the sequence of events is simply due to the passage of time and cumulative effects of the conspiracy against him at Dugway.
With reference to back pay, Dr. Hall seeks the following amounts calculated in this manner:
Dr. Hall's salary lost from 1996 to the end of 2001, estimated conservatively by presuming no appraisals above "fully successful" would have been received , and based on 1996 and 1997 earnings and leave statements, CX 127, RX 125, with cost of living adjustments approximately as shown on those statements, and including one GS-12 step increase that would have occurred during this period, would be as follows: