U.S. Department of Labor
Office of Administrative Law Judges
1111 20th Street, N.W.
Washington, D.C. 20036
Dated: April 1, 1987
Case No.: 86-STA-16
IN THE MATTER
KEITH STONE,
Complainant
v.
NU-CAR CARRFIER
Respondent
SUPPLEMENTAL RECOMMENDED DECISION AND
ORDER AFTER REMAND
The issue herein is whether the Respondent violated Section
405(b) of the Surface Transportation Assistance Act (STAA) by
discharging the Complainant when the latter refused to drive a
load claiming that he was physically too impaired to do so.
The initial hearing was held on July 1 and 2, 1986. in the
course of the hearing I rejected Respondent's Exhibit Number 6,
which consisted of notes in the form of an undated unsworn and
unsigned statement used by Complainant in the course of a
procedure, initiated by him, to grieve the discharge herein under
the contract between Respondent and Local 557 of the Teamsters.
After considering all the evidence I had admitted into the record
I found that Respondent had violated the STAA as charged and I
recommended on October 8, 1986 that the Secretary order the
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reinstatement of Complainant with back pay and no loss of seniority.
The Respondent urged the Secretary not accept my recommendation on the grounds that the
Secretary had no jurisdiction and/or that he should have deferred to the an
arbitration award made in February 1986 by the National
Automobile Transporters Joint Arbitration Committee. Failing
such reversal Respondent urged the Secretary to remand the case
to me with instructions that I admit the voluminous material
which it had offered into evidence and I had rejected in the
course of the hearing.
The Secretary found he had jurisdiction and refused to defer
to arbitration. He upheld my evidentary rulings with exception
of the aforementioned Exhibit 6. With regard to that statement
the Secretary found that it did not constitute hearsay and that
Federal Rule of Evidence 613(a) permits the examination of a
witness on the basis of a prior statement and that its
consideration would aid me in judging Complainant's credibility.
The Secretary therefore remanded the case to me
*** with instructions to hold an additional
hearing limited to the examination and
cross-examination of Complainant with the use
of Respondent's Exhibit 6 and such other
matters as naturally arise out of the course
and during the scope of that examination.
The ALJ shall then issue a modified or
supplemental recommended decision as may be
appropriate.1
The Respondent requested reconsideration of the Remand Order
again urging admission of the other excluded evidence which
request was denied.
The hearing pursuant to the Secretary's Remand order was
held on March 17, 1987. All parties were present and represented
by counsel. Employer's Exhibit 6 was duly admitted into
evidence.
Supplemental Findings of Fact and Conclusions of Law
As the facts surrounding Complainant's discharge are fully
set forth in my original Recommended Decision they will not be
repeated here except to the extent modifications may need to be
made in accordance with the new matters developed at the hearing
on remand.
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After the admission into evidence of the Employer's Exhibit
6 the Respondent started to cross-examine Complainant on his
state of mind on October 1, 1985 the date of his discharge.
Complainant admitted that he was upset by the events of that
morning, fully set forth in my original Recommended Decision, but
maintained that despite his upset he was ready and willing to
proceed with taking out the spare truck assigned to him that
morning which he had loaded with the many mishaps set forth in my
October 8 Decision. He stated (Tr. 375) that his mental state
had "not that much" to do with his desire to go home that
morning.
The Employer then started examining Complainant concerning
his testimony at the arbitration hearing on November 4, 1995 and
sought an admission from Complainant that at that hearing he had
testified that his desire to "book off" was caused the
combination of his problems with his knee and his mental upset
because of the incidents with the spare truck. Complainant
denied precise recall of what was said at the arbitration
hearing. (Tr. 377-378). The Respondent then sought to
cross-examine on the basis of and eventually to introduce into
evidence an item which it described tapes and a transcript
thereof of the arbitration testimony and identified as
Respondent's Exhibit Number 6(a). Counsel for the Secretary
objected to this introduction on the ground that it was untimely,
was a surprise and that its admission was not within the scope of
the Secretary's Remand order. I took this matter under
advisement.
It is elementary that neither the transcript nor the tapes
are admissible because they are not properly authenticated. The
Respondent presented no witness to identify the tape and to
testify to the circumstances of the taping and the fact that
there had been no possibility of tampering with the tape while in
the custody of its custodian. The affidavit of the alleged
custodian, Susan Gindes, an employee of the Eastern Conference
Automobile Transporters Joint Committee, located in Bethesda,
Maryland, less than 20 miles from the hearing is not sufficient
for that purpose. She should have been made available to the
parties for cross-examination on the subject of authenticity. No
explanation was offered for her unavailability.
The transcript of the tapes was not prepared until
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February 9, 1987. Counsel for the Respondent admitted that he
only became aware of the existence of the tapes after the July
1986 hearings. Thus cross-examining Complainant on the basis of
the tapes after admission of Respondent's Exhibit 6 could not
possibly have naturally arisen during the scope of an examination
on July 1, 1986. The Respondent offered no explanation for not
producing the tapes earlier.
1I should like the record to show that
at the July 1, 1986
hearing the Respondent did offer to cross examine on the
basis of its proffered Exhibit 6 (Tr. 155-160). Had it done so
and been able to show inconsistencies between Complainant's
testimony I should have accepted the allegedly contradictory
parts of the statement into evidence. Instead Respondent offered
the entire unsworn unsigned, and unrated statement, which
according to Complainant was incomplete, because "there are
admissions in there we, believe it's admissible to test the
credibility of the witness", (Tr. 160). While my choice of words
for rejecting the exhibit was poor I did reject it because I
considered it an undue burden on the court to have to read
through four single spaced pages of rambling narrative to
determine whether any of this contradicted any of Complainant's
testimony. I also felt that contradictions, if any, so
discovered, in the absence of cross-examination under oath at the
hearing, would have very little value in view of the fact that
the statement wag not addressed to any one, was an incomplete
narrative and was not under oath.
2For obvious reasons I have not
admitted statements and
arguments made by third parties and matters not relating to the
discharge.
Respondent handed the court two 90 minute cassettes assuring
me that they were the only recording of the hearing available and
that no tape was available for counsel for the Director.
Respondent did not bring a tape player to the hearing, so
therefore Complainant's voice could not be identified then.
I have played the cassettes, they duplicate each other. As
far as I can tell the transcript is accurate and the Complainant
is the speaker in the pertinent sections.