Acosta v. Idaho Falls Sch. Dist. No. 91
Acosta v. Idaho Falls Sch. Dist. No. 91
Opinion of the Court
INTRODUCTION
Pending before the court is a Motion for Summary Judgment (Dkt. 44) filed by Defendant Idaho Falls School District (the "District"). Plaintiff R. Alexander Acosta, Secretary of Labor (the "Secretary"), opposes the Motion. The Court heard oral argument on August 10, 2017 and ordered supplemental briefing, which was completed on August 16, 2017. For the reasons set forth below, the Court will deny the motion.
*1165BACKGROUND
On May 31, 2011, Penny Weymiller filed a whistleblower complaint with the U.S. Secretary of Labor, alleging that the District retaliated against her for raising concerns with asbestos removal plans, in violation of the whistleblower provisions of the Asbestos Hazard Emergency Response Act of 1986 ("AHERA"). The Occupational Safety and Health Administration ("OSHA") investigated Ms. Weymiller's claims and announced its determination on January 15, 2015. OSHA found that Ms. Weymiller had been subject to whistleblower retaliation in violation of both the Clean Air Act ("CAA") and AHERA.
Under AHERA's whistleblower retaliation provisions, there is no private right of action beyond the filing of a complaint with the Secretary. However, if the Secretary determines that a violation has occurred, the statute requires that he file a complaint in the appropriate United Stated District court.
At the same time, the Secretary ordered individual relief for Ms. Weymiller pursuant to OSHA's determination that the District violated CAA's whistleblower retaliation provision.
Subsequently, the District sought a writ of mandamus in this Court ordering the ALJ to dismiss its review of the Secretary's determination that Ms. Weymiller had been subject to retaliation under the CAA. This Court declined to intervene, citing lack of jurisdiction. See Mem. Decision and Order at 8, Dkt. 28 (finding that the Department of Labor and the courts of appeals have exclusive jurisdiction over CAA claims). After the ALJ ruled in favor of the District on Ms. Weymiller's CAA retaliation claim, neither Ms. Weymiller or the Secretary sought an appeal, though both had that right. The District then filed this motion on the grounds that the Secretary is precluded from pursuing the AHERA claim based on the doctrine of collateral estoppel.
LEGAL STANDARD
Summary judgment is appropriate where a party can show that, as to any claim or defense, "there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(a). Here, the parties do not raise any genuine disputes of material fact. Rather, the District argues that it is entitled to judgment as a matter of law, because the Secretary's claim is barred by the doctrine of collateral estoppel.
The doctrine of collateral estoppel provides that "[w]hen an issue of fact or law is actually litigated and determined by a valid and final judgment, and the determination is essential to the judgment, the determination is conclusive in a subsequent action between the parties, whether *1166on the same or a different claim." Restatement (Second) of Judgments § 27 (1982). Collateral estoppel applies to preclude an issue adjudicated in an earlier proceeding if: (1) the issue was necessarily decided at the previous proceeding and is identical to the one which is sought to be relitigated; (2) the first proceeding ended with a final judgment on the merits; and (3) the party against whom collateral estoppel is asserted was a party or in privity with a party at the first proceeding. Reyn's Pasta Bella, LLC v. Visa USA, Inc. ,
It is well settled that principles of collateral estoppel may be applied to administrative adjudications. See Astoria Fed. Sav. & Loan Ass'n v. Solimino ,
ANALYSIS
The District argues that the issues of fact and law underlying the Secretary's AHERA claim were actually litigated and determined by final judgment on the merits in the ALJ proceeding on Ms. Weymiller's CAA claim, and that the Secretary was in privity with Ms. Weymiller in the CAA proceeding, such that he should be estopped from pursuing the AHERA claim. Neither party contests that relevant the issues of fact and law were actually litigated and determined by final judgment during the ALJ proceeding.
1. Application of Claim Preclusion to AHERA
At issue is whether Congress has limited the preclusive effect of previous administrative determinations on claims for relief under AHERA. In Chandler , the Supreme Court held that Congress may establish such limits by providing for de novo review of a particular claim in federal court.
Here, Congress has invested the federal district courts with jurisdiction to decide and provide relief for claims under AHERA. See 15 U.S.C § 2651(b) (providing that the Secretary shall review whistleblower retaliation complaints under AHERA pursuant to
2. Privity
Even if collateral estoppel did apply to AHERA claims in the manner proposed by the District, the Secretary would not be precluded from pursing his claim under AHERA unless he was in privity with Ms. Weymiller during the administrative adjudication of her CAA claim. A court may find privity for purposes of collateral estoppel if any of the following six conditions is met: (1) the nonparty agreed to be bound by the litigation of others; (2) a "substantive legal relationship" existed between the person to be bound and a party to first suit; (3) the nonparty was adequately represented by someone with the same interests who was a party to the first suit; (4) the nonparty assumed control over the prior litigation; (5) a party attempted to relitigate issues through a proxy; or (6) a statutory scheme foreclosed successive litigation by nonparties. Griswold v. County of Hillsborough ,
The Secretary's privity is best established here under (3), a theory of adequate representation and aligned interests.
Rather, a finding that private plaintiffs' interests are identical to those of the United States runs counter to "the general principle of law that the United States will not be barred from independent litigation by the failure of a private plaintiff." United States v. E. Baton Rouge Parish Sch. Bd.
In determining whether the government's interests are essentially private, courts place significant emphasis on the type of relief sought. A claim for monetary relief, e.g., back pay, is highly individual in nature and suggests the agency acts as a mere representative for the individual claimant. However, a claim for injunctive relief, e.g., requiring employer training, suggests the agency is acting as a separate entity seeking to vindicate public rights. See, e.g., EEOC v. Harris Chernin, Inc. ,
*1169EEOC v. Kidder, Peabody and Company, Inc. ,
Here, the Secretary includes both a claim for individual damages (lost wages and reinstatement for Ms. Weymiller) and for injunctive relief, including:
an Order permanently enjoining Defendant, their officers, agents, servants, employees and all persons acting or claiming to act in their behalf and interest from violating the provisions of Section 211(a) of AHERA,15 U.S.C. § 2651 (a) [;] ...
an Order directing Defendant District and its officers, supervisors, and lead employees to be trained in the whistleblower provisions of the AHERA and the OSH Act; and
an Order requiring posting, in a prominent place at Defendant District for 90 (ninety) days, a Notice stating Defendant will not in any manner discriminate against employees because of engagement, whether real, perceived, or suspected, in activities protected by the whistleblower provisions of the AHERA and the OSH Act[.]
Compl. at 4:21-5:21, Dkt. 1. The broad injunctive relief sought indicates that the Secretary's efforts involve a matter of greater public interest than Ms. Weymiller's individual suit. Accord EEOC v. Waffle House, Inc. ,
This conclusion is complicated by the Secretary's statements suggesting that its interests are adequately protected by individual claimants in most whistleblower cases:
Under the ERA and the Environmental Whistleblower statutes, OSHA does not ordinarily appear in the proceeding. The Secretary has found that in most whistleblower cases, parties have been ably represented and the public interest has not required the Department's participation. Nevertheless, the Assistant Secretary, at his or her discretion, may participate as a party or as amicus curiae at any time in the administrative proceedings ... [and may] petition for review of a decision of an ALJ.
Procedures for the Handling of Retaliation Complaints Under the Employee Protection Provisions of Six Environmental Statutes and Section 211 of the Energy Reorganization Act of 1974, as Amended ,
3. Failure to Appeal
The District argues that by failing to timely appeal the determination by the ALJ that no retaliation occurred, the Secretary adopted its findings as his own and thus is precluded from challenging them. See
CONCLUSION
The Court finds that the requirements for applying the collateral estoppel doctrine have not been satisfied by the particular circumstances of this case. Congress has limited the preclusive effect of prior agency determinations on claims under AHERA. Further, the Secretary does not represent the same legal interests as Ms. Weymiller, so as to establish privity between the two parties. Accordingly, the Court will deny the District's Motion for Summary Judgment.
ORDER
IT IS ORDERED:
1. Pursuant to Fed. R. Civ. P. 25(d), Plaintiff R. Alexander Acosta shall be substituted for his predecessor, Thomas E. Perez, as Secretary of Labor.
2. Defendant's Motion to Supplement (Dkt. 53) is GRANTED .
3. Defendant's Motion for Summary Judgment (Dkt. 44) is DENIED .
4. Counsel for the Plaintiff shall contact courtroom deputy Jamie Bracke within one week following the entry of this Order to make arrangements for a telephonic trial setting conference with the Court to set pre-trial and trial deadlines.
In its order, the Secretary also required that the District take action similar to the injunctive relief it sought in the AHERA action. Given that the Secretary's order on the CAA claim is moot after the ALJ found for the District in that proceeding, whether such injunctive relief is appropriate under the CAA has no bearing on this matter.
The parties do contest whether the Secretary had the "full and fair opportunity" to litigate the matter in front of the ALJ. See Pena v. Gardner ,
Like in Elliott and Chandler , the issue here is whether an unreviewed agency determination has preclusive effect on a claim where the Plaintiff has a statutory right to de novo review in a federal district court. Chandler ,
As for (1), the Secretary's decision not to appeal the ALJ's Order is not equivalent to an agreement to be bound by that decision in collateral matters. The Secretary and Ms. Weymiller do not have the type of substantive legal relationship contemplated in Taylor , so as to satisfy (2).
Reference
- Full Case Name
- R. Alexander ACOSTA, Secretary of Labor, U.S. Department of Labor v. IDAHO FALLS SCHOOL DISTRICT NO. 91
- Cited By
- 3 cases
- Status
- Published