U.S. Department of Labor Office of Administrative Law Judges
John W. McCormack Post Office and Courthouse
Boston, Massachusetts 02109
Room 507
(617) 223-9355
(617) 223-4254 (FAX)
Date: October 26, 1998
Case No.: 98-ERA-33
File no.: 01-0280-98-026
In the Matter of:
Thomas Mastrianna
Complainant
v.
Northeast Utilities Corporation Respondent
For the Complainant:
Robert W. Heagney, Esq.
For the Respondent:
Timothy P. Matthews, Esq.
Charles C. Thebaud, Esq.
Paul J. Zaffuts, Esq.
Before:
DAVID W. DI NARDI Administrative Law Judge
RECOMMENDED DECISION AND ORDER
DISMISSING CLAIM WITH PREJUDICE
This case arises under the Energy Reorganization Act of 1974 as amended,
42 U.S.C. § 5851 ("the Act" or "the ERA"), and the implementing
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regulations found at 29 C.F.R. part 24. Pursuant to the Act, employees of licensees of or
applicants for a license from the Nuclear Regulatory Commission (NRC) and their contractors
and subcontractors may file complaints and receive certain redress upon a showing of being
subject to discriminatory action for engaging in a protected activity. Complainant Thomas
Mastrianna (Complainant) has alleged Respondent Northeast Utilities Corporation (Respondent)
retaliated against him over a course of ten years, including when he was terminated from
employment in January of 1997.
By document filed August 6, 1998, Respondent has submitted a Motion for
Summary Decision. In support thereof, Respondent argues summary decision is warranted
because Complainant has: (1) failed to comply with the time requirements for filing a complaint;
(2) failed to file a timely request for a hearing; and (3) failed to establish facts sufficient to allege
a prima facie case. Complainant has filed a Brief in Opposition arguing that the claim is timely
and valid and should go forward to a full hearing on the merits.1
12. On June 10, 1998, Complainant's counsel filed a notice of appeal with the Office
of Administrative Law Judges. In this letter, Complainant's counsel stated:
"Please note Mr. Mastrianna has not received official notice of the
Department of Labor decision." (emphasis in original).
13. Complainant signed for the certified letter of determination on June 12, 1998.
STANDARD OF REVIEW
The standard for granting summary decision is set forth at 29 C.F.R.
§ 18.40(d). This section, which is derived from Fed. R. Civ. P. 56, permits an
Administrative Law Judge to recommend summary decision for either party where "there
is no genuine issue as to any material fact." 29 C.F.R. § 18.40(d). The
non-moving party must present affirmative evidence in order to defeat a properly supported
motion for summary judgment. Gillilian v. Tennessee Valley Authority, 91-ERA-31
(Sec'y Aug. 28, 1995) (citing Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 247
(1986); Celotex Corp. v. Catrett, 477 U.S. 317, 324 (1986)). The determination of
whether a genuine issue of material fact exists must be made viewing all the evidence and factual
inferences in the light most favorable to the non-movant. Id. (citing OFCCP v.
CSX Transp., Inc., 88-OFC-24 (Asst. Sec'y Oct. 13, 1994)).
This Judge, acknowledging that summary decision is rarely granted, has
applied this standard to the case at hand and concludes that Respondent's Motion must be
GRANTED. I find and conclude that Complainant failed to file a timely complaint in
this case and that none of the circumstances warrant equitable tolling of the filing requirements.
DISCUSSION
Respondent's Motion for Summary Decision alleges three grounds for
summary decision: First, Respondent argues that Complainant failed to timely file a complaint
and that no grounds for equitable tolling apply. Second, Respondent argues that Complainant
failed to file a timely appeal of OSHA's determination, and third, that Complainant failed to
allege facts sufficient to establish a prima facie case of retaliation under the Act.
Complainant, on the other hand, argues that the facts and circumstance of
this case justify the equitable tolling of the time in which Complainant had to file a complaint.
Further, Complainant argues that he has both filed a timely appeal of OSHA's denial with the
Office of Administrative Law Judges (OALJ) and has alleged facts sufficient to establish a prima
facie case of discrimination.
Request for a Hearing Before the OALJ
I will begin my discussion by focusing on the second issue raised by the
parties, namely, whether or not the Complainant filed a timely appeal of the OSHA denial. I
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begin with this issue because it is really the threshold question of whether or not this Court has
jurisdiction over this matter. I find and conclude that, based upon my review of the statutory
authority, relevant case law, and undisputed facts of this case, Complaint has filed a timely
appeal to this Office and that I have jurisdiction over this matter.
Under the ERA and its implementing regulations, a decision of the
administrative agency will become final, unless a timely appeal is taken. The recently amended
29 C.F.R. § 24.4(d) provides that a notice of determination shall become the final order of
the Secretary denying the complaint unless within five business days of its receipt the
complainant files with the Chief Administrative Law Judge by facsimile, telegram, hand
delivery, or next-day delivery service, a request for a hearing on the complaint. 29 C.F.R.
§ 24.4(d)(2)-(3). The Administrative Review Board, in discussing this provision, has
noted that the time limitations are to be strictly construed. Backen v. Entergy Operations,
Inc., 95-ERA-46 (ARB June 7, 1996) (citing Gunderson v. Nuclear Energy Services,
Inc., 92-ERA-48 (Sec'y Jan. 19, 1993)). This is in accordance with the tight time-line
established for so-called whistleblower cases, imposed by both statute and implementing
regulations. For instance, the regulations provide strict timing requirements for the investigation
of the complaint by the administrative agency. See 29 C.F.R. § 24.4(d)(1)
(requiring that the investigation be completed within thirty days of filing of the complaint). Such
a tight schedule, imposed by Congress, provides for a timely and efficient handling of these
complaints.
The facts indicate that while the original certified letter of determination
was sent to the Complainant on May 26, 1998, it was not signed for by the Complainant until
June 12, 1998. Complainant's counsel has expressly acknowledged that he and Complainant
only received notice of OSHA's denial on June 5, 1998 when Attorney MacKay, Senior Counsel
for Northeast Utilities, forwarded a copy to Complainant's counsel. A letter of appeal was faxed
to the OALJ on June 10, 1998. Therefore, Complainant argues that because he filed a complaint
within five business days of actual receipt, the appeal is valid. Respondent, however, argues that
Complainant was negligent in not retrieving his mail in a timely fashion, and therefore requests
that this Judge find that Complainant had constructive receipt of the determination letter five
days after it was sent out, or June 1, 1998, pursuant to 29 C.F.R. § 18.4. Under that
scenario, Respondent argues that Complainant's appeal letter was filed beyond the five day
limitation, and therefore is untimely.
I find and conclude that Complainant has made a timely request for a
hearing, and I reject the Respondent's arguments in light of a recent Administrative Review
Board decision. In Staskelunas v. Northeast Utilities Co., 98-ERA-7 (May 4, 1998),
the ARB declined to adopt the Administrative Law Judge's use of 29 C.F.R. Part 18 to calculate
constructive receipt of the OSHA determination letter by Complainant. Id. at n.5. The
Board reasoned that the Office of Administrative Law Judge's (OALJ) rules of practice should
not be applied to events taking place prior to the OALJ gaining jurisdiction over the matter.
Rather, the Board relied upon the Complainant's actual receipt of the determination letter.3[Page 6]
1 I pause to note that the
Respondent has requested that this Judge reject the Complainant's Brief in Opposition because it
was untimely filed. Respondent notes that Complainant's reply was due on September 11, 1998,
yet was not filed until September 16, 1998. I conclude that Complainant's brief shall be admitted
into the record and considered in ruling on Respondent's motion, based on the overriding interest
in fairness and equity. Further, I note that Respondent was granted an opportunity to file a reply
brief in this matter.
2 While the original,
handwritten complaint was not dated, the typed version provided by Complainant's counsel listed
April 8, 1998 as the date of the letter was composed.
3 I also note that the
constructive receipt rule articulated in Corsier v. Westinghouse Hanford, 92-CAA-3
(Sec'y Jan. 12, 1994), cited by Respondent, was limited to a situation where the actual date of
receipt is unknown
4 Complainant expressly
acknowledges that he failed to comply with the 180 day filing requirement, but argues that there
are valid grounds for tolling. See Complainant's Brief in Opposition to Respondent's
Motion for Summary Decision, at 9.
5 I note that Complainant has
offered no evidence or arguments relating to the first two grounds from tolling the filing period.
6 The ARB quoted this
portion of the ALJ's recommend decision; however, Complainant had petitioned for voluntary
dismissal of the DOL complaint before the ARB so that he could pursue his DOE complaint.
Thus, the ARB granted Complainant's motion for voluntary dismissal and did not rule expressly
on the ALJ's holding on the timeliness issue.
7 I note that Complainant has
noted that this matter just concluded receiving evidence on September 8, 1998.
8 I pause to note that while
the Complainant cites his reliance on the statements of a union representative as a reason for not
filing an complaint with the DOL, he was still able and willing to pursue the CCHORA
complaint.
9 I reject Complainant's
argument that the CCHRO complaint, involving depression, stems from Complainant's alleged
whistleblowing and retaliatory conduct. Regardless of the sources of Complainant's depression,
the CCHRO claim is based on discrimination based on his mental condition and not any
retaliatory conduct.