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OFFICE OF COMPLIANCE              LA 200, John Adams Building, 110 Second Street, S.E.              Washington, DC 20540-1999
_________________________ZIGGY BAJBOR,      Complainant,             v.                                          Case No. 01-AC-377(RP)                                                          Date: May 30, 2003OFFICE OF THE ARCHITECT  OF THE CAPITOL       Respondent ._________________________
              Before the Board of Directors: Susan S. Robfogel, Chair; Barbara               L. Camens, Alan V. Friedman; Roberta L. Holzwarth; Barbara Childs               Wallace, Members.

DECISION OF THE BOARD OF               DIRECTORS

I. Introduction

This reprisal case, brought under Section 405               of the Congressional Accountability Act ("the CAA") (2               U.S.C. §1405), is before the Board pursuant to the Complainant               Employee's petition for review of the Hearing Officer's dismissal               of the complaint on the pleadings. The issue on appeal is whether               the alleged Respondent Employer action, denying Complainant's request               to inspect two merit promotion vacancy files in reprisal for the               Complainant's prior exercise of his rights under the CAA, stated               an actionable claim of reprisal. The Complainant requested those               files in connection with his pending earlier discrimination complaint               before another Hearing Officer. The Hearing Officer in this matter,               ruling from the bench, concluded that the alleged Respondent action               was not encompassed by the Act's anti-reprisal provision (Section               207 of the CAA, 2 U.S.C.§1317). The Hearing Officer also concluded               that the earlier case Hearing Officer's discovery ruling precluded               a collateral challenge to that action in this subsequent case.

While we affirm the Hearing Officer's dismissal               of the Complaint, we do so solely on the basis that sound policy               and judicial economy dictate that the Complainant pursue his discovery               connected claim in the earlier Office of Compliance proceeding in               which it arose. In the particular facts of this case, we hold that               the Architect's denial of Complainant's document request, requiring               him to obtain it in the discovery process, does not create an independent               retaliation claim. We do not adopt the Hearing Officer's interpretation               regarding the protective scope of Section 207 of the CAA ("Section               207"), nor do we decide whether the subject denial of merit               promotion files could constitute an actionable retaliation claim               if it occurred outside of the CAA dispute resolution process. We               reserve ruling on these questions until an appropriate case arises               in the future.

 II. Statement of the Case

 A. Background1

The Complainant, in connection with his earlier               age discrimination complaint2 before the Office of Compliance,               requested from the Respondent ("the Architect") inspection               of two vacancy merit promotion files ("the Files"). The               Complainant sought those Files to prepare for the prosecution of               his complaint before a CAA hearing officer. Ostensibly, the Files               could have informed the Complainant regarding the regularity of               the promotion process and how his qualifications compared with those               of his more successful competitors.

When the Architect did not respond to the Complainant's               request, he sought the Files through discovery. Hearing Officer               Sylvia Bacon examined the files in camera               and released them to the Complainant in redacted form.3

The Complainant alleges, in this separate and               subsequent reprisal complaint, that the Architect did not voluntarily               provide him with the Files in accord with its regulations; and,               instead, required him to expend time and expense to acquire the               Files through discovery: in reprisal for his filing of complaints               under the CAA.

 B. Hearing Officer's Decision

After reviewing written briefs, and hearing oral               argument, Hearing Officer Warren King dismissed the complaint on               the record (Hearing Tr. Pp.38-40). The Hearing Officer held that               "[T]he case law is such that the conduct that must be shown               to be an adverse action must be more severe than that which is shown               here. . . . . I'm satisfied that under the case law that a denial               of the promotion file does not rise to the level of an adverse action               within the meaning of that term as defined by dozens and dozens               of courts."

The Hearing Officer relied upon the D.C. Circuit's               unpublished Heamstead4               decision "and dozens of other cases that stand for the same               proposition" in deciding that this complaint did not fall within               the scope of the CAA anti-reprisal protections.

The Hearing Officer also opined that this complaint               might be misdirected because any issue regarding the Complainant's               entitlement to inspect the Files had been decided by Hearing Officer               Bacon in Complainant's underlying age discrimination complaint case,               and that her decision to redact the Files could be raised before               the Board in the appellate stage of that case.

III. Positions of the Parties

 A. Appellant/ Complainant

Counsel acknowledged to the Hearing Officer that               the Complainant would not have plead an actionable reprisal claim               under Title VII or the Age Discrimination in Employment Act ("ADEA")               because those statutes' interpretative case law requires that a               reprisal action be more adverse than that herein so as to be actionable.               However, the Complainant submits that the CAA's anti-reprisal provision               is much broader than are its Title VII and ADEA counterparts and               he points out that Section 201 of the CAA (2 U.S.C. §1311)               mandates that "All personnel actions affecting covered employees               shall be made free from any discrimination . . .". The Complainant               urges the Board not to follow Heamstead               and related judicial precedent because they were wrongly decided               in failing to consider the CAA's uniquely expansive anti-reprisal               provision. Complainant contends that the CAA proscribes management               action attributed to retaliatory motivation and asks the Board to               be guided by National Labor Relations Board precedent in assessing               what alleged reprisals may be entertained under a reprisal claim.

Complainant asserts that the Architect's refusal               to respond and voluntarily provide him with the requested merit               promotion files did constitute an adverse action against him because               it impeded his ability to ascertain whether he had a cause of action               and whether the merits of that cause warranted further pursuit.5               Therefore, Hearing Officer Bacon's discovery ruling in his underlying               age discrimination complaint case, Complainant argues, is not dispositive               of this              case.

 B. Appellee/Architect

The Complainant failed to allege that he suffered               any change in the terms and conditions of his employment because               the Architect denied him access to the Files. Further, Hearing Officer               Bacon's discovery ruling on the Files is preclusive in this proceeding.

 The Heamstead               case, supra, is controlling because               the Court of Appeals for the District of Columbia affirmed a district               court's dismissal of a complaint against the Architect involving               an identical CAA reprisal allegation. The appellate court concluded               that the Files denial to the employee fell below the legal standard               required to be an "adverse personnel action" because:               it is neither severe or pervasive               enough to qualify as a basis for supporting a Title VII retaliation               claim; and no evidence was presented to the court showing that the               employee suffered from any negative employment consequences based               on his exercise of protected activity.

 IV. Analysis and Conclusions

Just as in an earlier case6 the Board               chooses to decide this matter on a dispositive ground not requiring               it to define the scope of Section 207 protections. We affirm the               dismissal of this complaint on policy and judicial economy grounds               drawn from the spirit of the issue preclusion doctrines of collateral               estoppel and res judicata. While a final decision has not yet been               rendered in the Complainant's underlying discrimination case we               believe that litigation of his document access claims should be               restricted to that proceeding in which they arose.

A. Collateral Estoppel

The Complainant sought the Files in relation               to his earlier age discrimination non-promotion complaint pending               before CAA Hearing Officer Sylvia Bacon. Respondent required the               Complainant to seek the Files through pre-hearing discovery by declining               to release them voluntarily. Hearing Officer Bacon, after an in               camera examination, ordered the Files released in redacted               form. The Respondent complied. Complainant filed this complaint,               alleging that the Respondent engaged in retaliation by not voluntarily               releasing the Files.

Section 406(e)&(f)               of the CAA (2 U.S.C. §1405(e)&(f))               provides for discovery in these proceedings, subject to a hearing               officer's determinations on objections to the production of subpoenaed               testimonial and documentary evidence. The Office's Procedural Rules,               at Subpart F., prescribe the discovery process. The Procedural Rules               broadly authorize a hearing officer to impose sanctions (§7.02)               on any party, including, but not limited to, the payment of attorney's               fees and reasonable expenses, for failure to comply with a discovery               order.

We, therefore, believe that the Complainant's               exclusive avenue for redress regarding his document request was               in that very underlying proceeding. The Complainant was at liberty               to request that the hearing officer impose sanctions on the Respondent               if he felt that the Respondent's discovery position or actions so               warranted. Further, the hearing officer's rulings on such a request               would have been appealable to the Board.

The compelling interests of judicial economy               and case or issue finality are effected through the preclusive legal               doctrines of res judicata and collateral               estoppel. In a generic sense res judicata bars a second suit               if: (1) there is an identity of parties (or their privies); (2)               there has been an earlier final judgment on the merits of a claim;               and (3) the second claim is based on the same set of transactional               facts as the first. Under the doctrine of collateral               estoppel, when the second action is predicated upon a different               cause of action, the judgment in the prior suit precludes relitigation               of issues actually litigated and necessary to the outcome of the               first action. See, International Air Response               v United States, 2003 U.S. App.. LEXIS 6552 (Fed. Cir. 4/07/2003);               Oakerlee Fernandez v. Office of Personnel               Management, 2003 U.S. App. LEXIS 434 (Fed. Cir.01/08/2003).               Preclusion law is designed to protect litigants,7 and               the courts,8 from the burdens of duplicative litigation.

In the underlying proceeding, and this complaint               case, the parties are identical. The Complainant litigated, through               discovery, his demand for the Files in the underlying case. That               hearing officer ruled by releasing redacted files to the Complainant.               This complaint, in essence, is the Complainant's challenge to the               Respondent's litigating tactics in the underlying case.

We hold, under policies favoring judicial economy               and discouraging duplicative litigation, that the Complainant's               exclusive avenue for redress of this claim was before Hearing Officer               Bacon and the Board in the underlying case. He may not resurface               it as an independent claim of retaliation through this, a new complaint.

 ORDER

Pursuant to Section 406(e) of the Congressional               Accountability Act and Section 8.01(d) of the Office's Procedural               Rules, the Board affirms the Hearing Officer's dismissal of the               complaint, but for the reasons stated in this opinion.

It is so ordered.

 

_________________________              Susan S. Robfogel, Chair

_________________________              Barbara L. Camens, Member

_________________________              Alan V. Friedman, Member

_________________________              Roberta L. Holzwarth, Member

____________________              Barbara Childs Wallace, Member

              Issued, Washington, D.C.: May 30, 2003

CERTIFICATE OF SERVICE

I hereby certify that on this 30th day of May               2003, I delivered a copy of this Decision of the Board of Directors               to the following parties by the below identified means:

First-Class Mail Postage-Prepaid

Jeffrey H. Leib, Esq.              Attorney at Law              5104 34th Street, N.W.              Washington, D.C. 20008

First-Class Mail Postage-Prepaid              & Facsimile Mail (w/o Hearing Officer Decision)

Edgard Martinez, Esq.              Office of Architect of the Capitol              Office of Employment Counsel              Ford House Building, Room H2-202              Washington, D.C. 20515

              ___________________              Kisha L. Harley              Office of Compliance

1 Inasmuch               as this appeal arose from a complaint dismissal the Board shall               accept as true all well-pleaded factual complaint allegations and               draw all reasonable inferences in the Complainant's favor. *H.J.               Inc. Northwest Bell Telephone Co.*, 492 U.S. 229, 249-50 (1989);               *Conley v. Gibson*, 355 U.S. (1957); and *In re Burlington               Coat Factory Sec. Litig.*, 114 F.3d 1410, 1424-25 (3d Cir. 1997).

2 The pleadings disclose that the Complainant               had initiated even earlier proceedings against the Architect.

3 Ultimately, that Hearing Officer               ruled for the Architect on the merits. Complainant has petitioned               for review of that decision and that appeal before the Board is               in the briefing period.

4*David Heamstead v. Office of the               Architect of the Capitol*, 2002 U.S. App. LEXIS 11366 (D.C. Cir.,               04/22/2002).

5 Complainant plead that he was entitled               to the Files as a matter of right pursuant to the Architect's merit               promotion regulation (Chapter 335).

6 In*Lawrence Hatcher v. Office               of the Architect of the Capitol*, Case No. 96-AC-15 (CV, RP),               02/18/1998, a prior Board elected not to rest its decision upon               a hearing officer's finding that an alleged retaliatory transfer               from one position to another did not constitute an actionable adverse               action. Instead, the Board affirmed the hearing officer's merits               finding that no motive of reprisal caused the transfer.

7 See generally, *Parklane Hosiery               Co. v. Shore*, 439 U.S. 322, 326 (1979) (preclusion protects               litigants from the burden of relitigating issues already decided).

8*Id.* at 326 (preclusion promotes               judicial economy).

  

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