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Department of Labor: 00 080 | Summary Judgment | Discovery (Law)
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PrinceRidge Group v. Oppidan - Real Estate Broker Decision
SYED M.A. HASAN, ARB CASE NO. 00-080
COMPLAINANT, ALJ CASE NO. 2000-ERA-6
v. DATE: January 30, 2001
BURNS & ROE ENTERPRISES, INC.,
BEFORE: THE ADMINISTRATIVE REVIEW BOARD1/
Syed M.A. Hasan, Pro se, Madison, Alabama
Thomas A. Roberts, Esq.; Kevin L. O’Dea, Esq.; Michael Horner, Esq., McGlinchey Stafford,
This case arises under the employee protection provisions of the Energy Reorganization Act
(“ERA”), 42 U.S.C.A. §5851 (1992). The ERA prohibits an employer from discriminating against
or otherwise taking unfavorable personnel action against an employee with respect to compensation,
terms, conditions, or privileges of employment because the employee engaged in protected
whistleblowing activity.
Complainant Syed Hasan is a civil/structural engineer who worked for Respondent Burns and
Roe Enterprises, Inc. (“B&R”) from 1974 to 1979. According to Hasan, he raised safety concerns
during his employment with B&R and resigned shortly thereafter when his supervisor instructed him
to follow existing procedures.2/
This appeal has been assigned to a panel of two Board members, as authorized by Secretary’s Order
2-96. 61 Fed. Reg. 19,978 §5 (May 3, 1996).
The supervisor is no longer employed by B&R and, to the best of B&R’s knowledge and information,
may be deceased. ALJX-1 at 7. B&R’s attorney was unable to locate any employee who could remember
Twenty years later, Hasan discovered that B&R was advertising for civil/structural engineers
and decided to seek reemployment. Hasan forwarded his resume and cover letter to B&R on May
28, July 9, September 1, and November 2, 1999. In addition, on November 6, 1999,3/ Hasan wrote
to B&R essentially announcing that he has a history of whistleblowing.4/
After B&R decided not to hire him, Hasan filed an ERA whistleblower complaint with the
Occupational Safety and Health Administration (“OSHA”), the agency within the Labor Department
responsible for investigating such whistleblower allegations. Hasan alleged that B&R’s real reason
for not employing him is because he is a whistleblower. When OSHA found no merit to his claim,
Hasan objected to that determination and the matter was referred to an ALJ for disposition, as
provided by 29 C.F.R. §24.4(d)(3) (2000).
The ALJ allowed the parties an opportunity to engage in discovery. Once the discovery
process was complete, B&R filed a motion for summary judgment accompanied by an affidavit from
Morton Rothstein, the B&R official who made the decision not to hire Hasan. B&R also asked the
ALJ to impose sanctions under Rule 11 of the Federal Rules of Civil Procedure (“FRCP”) and
require Hasan to pay attorney fees and costs incurred by B&R in defending a meritless complaint.
Hasan responded by, among other things, filing a motion for default judgment. After considering
all of the information submitted by both parties, the ALJ issued a Recommended Decision and Order
on September 1, 2000 (“RD&O”), denying Hasan’s motion for default judgment, granting B&R’s
motion for summary judgment, denying B&R’s motion for sanctions under FRCP Rule 11, and
dismissing the complaint. Hasan filed this appeal.
We have jurisdiction pursuant to 42 U.S.C.A. §5851 and 29 C.F.R. §24.8.
Hasan. Id. at 6.
B&R received the letter on November 10, 1999.
As the Administrative Law Judge (“ALJ”) noted below, Hasan has filed the following whistleblower
complaints with the Department of Labor: Hasan v. Commonwealth Edison Company and Estes Group, Inc.,
Case No. 2000-ERA-1, ARB Case No. 00-028 (Dec. 29, 2000); Hasan v. System Energy Resources, Inc.,
Case No. 89-ERA-36 (Sec’y Dec. and Order, September 23, 1992); Hasan v. Nuclear Power Services, Inc.,
Case No. 86-ERA-24 (Sec’y Dec. and Order, June 26, 1991); Hasan v. Nuclear Power Services Inc., Case
No. 86-ERA-36 (ALJ Dec. July 27, 1989); Hasan v. Becthel Power Corporation, Case No. 93-ERA-40
(Sec’y Dec. and Order February 13, 1995); Hasan v. Bechtel Power Corporation, Case No. 93-ERA-22 (ALJ
Dec. December 8, 1994); Hasan v. Bechtel Power Corporation, Case No. 94-ERA-21 (Sec’y Final Order
Approving Settlement, March 16, 1995); Hasan v. Bechtel Power Corporation, Case No. 93-ERA-40 (ALJ
Dec. Approving Settlement, December 9, 1994); Hasan v. Intergraph Corp., Case No. 96-ERA-17, ARB
Case No. 97-016 (Aug. 6, 1977); Hasan v. Sargent & Lundy, Case No. 96-ERA-27 (ALJ Dec. November 4,
Under the Administrative Procedure Act, we have plenary power to review an ALJ’s factual
and legal conclusions. See 5 U.S.C. §557(b). As a result, the Board is not bound by the conclusions
of the ALJ, but retains complete freedom to review factual and legal findings de novo. See Masek
v. Cadle Co., ALJ Case No. 95-WPC-1, ARB Case No. 97-069, slip op. at 7 (Apr. 28, 2000).
However, the Board has held that ALJs have wide discretion to limit the scope of discovery and will
be reversed only when such evidentiary rulings are arbitrary or an abuse of discretion. See Robinson
v. Martin Marietta Services, Inc., ALJ Case No. 94-TSC-0007; ARB Case No. 96-075, slip op. at
4 (Sept. 23, 1996).
Hasan, appearing pro se, raises two major issues in this appeal: (A) that the ALJ improperly
limited the scope of discovery, and (B) that the ALJ erred when granting B&R’s motion for summary
judgment. For the reasons discussed below, we reject both of Hasan’s arguments.
A. Whether the ALJ erred in limiting the scope of discovery.
Hasan asserts that the ALJ improperly limited the scope of discovery by not requiring B&R
to produce a list containing the name, qualifications and experience of every civil/structural engineer
it employs, regardless of location. We disagree.
Under the Secretary’s Rules of Practice and Procedure, a party may obtain discovery only for
“relevant” information and an ALJ may, upon motion of a party, “make any order which justice
requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden
or expense, including [a ruling that] . . . . [c]ertain matters not relevant may not be inquired into or
that the scope of discovery be limited to certain matters.” 29 C.F.R. §§18.14(a) and 18.15(a) (2000).
The Secretary’s Rules also state “[t]he Rules of Civil Procedure for the District Courts of the United
States shall be applied in any situation not provided for or controlled by these rules, or by any statute,
executive order or regulation.” 29 C.F.R. §18.1(a).
The Secretary’s Rules governing the scope of discovery are substantially the same as those
of Fed. R. Civ. P. 26. In Herbert v. Lando, 441 U.S. 153 (1979), the Supreme Court noted that Fed.
R. Civ. P. 26 gives district judges ample authority to prevent abuse of the discovery process and
encouraged judges to use that authority when necessary. Specifically, the Court stated:
The Court has more than once declared that the deposition-discovery
rules are to be accorded a broad and liberal treatment to effect their
purpose of adequately informing litigants in civil trials . . . . But the
discovery provisions, like all of the Federal Rules of Civil Procedure,
are subject to the injunction of Rule 1 that they “be construed to
secure the just, speedy, and inexpensive determination of every
action.” (Emphasis added.) To this end, the requirement of Rule
26(b)(1) that the material sought in discovery be “relevant” should be
firmly applied, and the district courts should not neglect their power
to restrict discovery where “justice requires [protection for] a party or
person from annoyance, embarrassment, oppression, or undue burden
or expense . . . .” Rule 26(c). With this authority at hand, judges
should not hesitate to exercise appropriate control over the discovery
Here, the ALJ was confronted with a broad discovery request from Hasan that B&R claimed
was overly broad, unduly burdensome, and not reasonably calculated to produce relevant material.
See ALJX-2, pp. 7-8. The ALJ rejected Hasan’s request stating:
No, Mr. Hasan, it’s not critical to have all the names of all structural
engineers employed by Burns & Roe. I’ve limited that request to
their corporate headquarters where the decisions were being made.
Unless you can show me that someone else was participating in that
decision not to hire you, then it would not – in my opinion, be
relevant.[5/]
ALJX-4, pp. 22-23.
Under the circumstances, we find that the ALJ acted within the scope of his authority by
limiting discovery to relevant material, and that the ALJ’s ruling was neither arbitrary nor an abuse
of discretion. Consequently, we leave it undisturbed.6/ See Robinson, supra.
B. Whether the ALJ erred in granting summary judgment to B&R.
Hasan also asserts that the ALJ erred in granting summary judgment to B&R, advancing
several theories. Again, we disagree.
Part of Hasan’s challenge to the grant of summary judgment relates to the discovery issue just
discussed. Citing Duke v. University of Texas at El Paso, 729 F.2d 994 (5th Cir. 1984), Hasan
argues that summary judgment is inappropriate whenever the party opposing summary judgment has
been denied information through discovery. In Duke, the plaintiff alleged that the respondent had
discriminated against her based on gender and argued that the respondent’s explanations to the
The ALJ explained to Hasan that knowledge on the part of a supervisor may be imputed to the
company, but knowledge on the part of a non-supervisory employee is legally irrelevant. ALJX-1 at 67.
In the proceedings before the ALJ, Hasan sought the names of every civil/structural engineer it
employs so that he can identify those individuals who he believes were aware of his previous whistleblowing
activity. ALJX-1 at 61. Hasan now asserts that he needs this information (as well as the employment history
for each individual) so that he can establish that he has been a victim of disparate treatment. Hasan’s Initial
Brief at p. 10. However, Hasan has not directed our attention to any instance in which he proffered a
coherent argument to the ALJ regarding the issue of disparate treatment or explained how such an argument
could be rationally advanced by obtaining a list of all civil/structural engineers employed by B&R.
Inasmuch as Hasan has not demonstrated that he made this particular proffer to the ALJ, we cannot conclude
that the ALJ erred in failing to consider it.
contrary were pretextual. The District Court denied plaintiff discovery into the practices of other
university departments. The Fifth Circuit found that the plaintiff’s ability to show that the
respondent’s explanations were pretextual was central to her discrimination claim and that, under
those circumstances, failure to allow discovery university-wide constituted an abuse of discretion.
However, the court in Duke did not decide that summary judgment is unavailable simply because
the party opposing summary judgment has been denied discovery; Hasan’s reliance on Duke is
In addition, Hasan argues that the ALJ misapplied the standard for summary judgment.
Based upon our review of the record, we conclude that the ALJ’s grant of summary judgment was
It is well-settled that, in order to prevail in an ERA whistleblower case, a complainant must
prove that he engaged in protected conduct, and that the employer took some adverse personnel
action against him because of that protected conduct. Carroll v. Bechtel Power Corp., Case No. 91-
ERA-46, Sec’y Final Dec. and Ord., February 15, 1995, slip op. at 11, n.9, aff'd sub nom. Carroll
v. Dep’t of Labor, 78 F.3d 352 (8th Cir. 1996). To establish a prima facie case, a complainant must
demonstrate, at a minimum, that: (1) the complainant engaged in protected conduct; (2) the
employer was aware of that conduct; (3) the employer took some adverse action against him; and
(4) there is evidence sufficient to raise an inference that the protected activity was the likely reason
for the adverse action. Carroll, supra, slip op. at 9, citing Dartey v. Zack Co. of Chicago, Case No.
82-ERA-2, Sec. Dec. April 25, 1983, slip op. at 7-8. See also McCuistion v. TVA, Case No. 89-
ERA-6, Sec. Dec., November 13, 1991, slip op. at 5-6; Mackowiak v. University Nuclear Systems,
Inc., 735 F.2d 1159, 1162 (6th Cir. 1983).
B&R moved for summary judgment on the grounds that Hasan had not satisfied any of the
elements of a prima facie case. As part of its motion, B&R attached the affidavit of Morton
Rothstein, chief engineer of B&R’s civil/structural engineering department. According to his
affidavit, Rothstein was the B&R management official who had received Hasan’s resume from the
company’s human resources department and determined that the company was not interested in
Significantly, Rothstein averred that his decision not to hire Hassan was made after reviewing
Hasan’s November 2 cover letter and resume, which – unlike Hasan’s November 6 letter – did not
include any indication that Hasan ever had engaged in whistleblowing activity. In his affidavit,
Rothstein stated that he never saw Hasan’s November 6, 1999 letter regarding his whistleblowing
activities and, in fact, did not know any more about Hasan than Hasan disclosed in his earlier resume
and cover letter. According to Rothstein, Hasan’s resume did not interest him because: 1) Hasan did
not have the professional engineer license required for a position as a senior civil/structural engineer;
and 2) because B&R has not needed engineers with nuclear experience since 1986.7/ Thus the
Hasan argues that B&R’s advertisements do not state that a professional license is mandatory and
that anyone with experience in the nuclear industry is capable of working in any other area of the power
industry. Hasan’s Initial Brief at 11. Although Hasan argues that the advertisements do not require a
professional license, he does concede that the license is preferred. ALJX-1 at 19. However, B&R’s actual
Rothstein affidavit was evidence that two threshold elements of the prima facie case had not been
met, i.e., that the B&R official who declined to hire Hasan did not have knowledge of Hasan’s prior
whistleblowing activity, and that the company’s action was not made for a retaliatory purpose.
Motions for summary decision are governed by 29 C.F.R. §18.40. The standard for granting
summary decision under §18.40 is essentially the same one used in Fed R. Civ. P. 56 – the rule
governing summary judgment in the federal courts. Summary decision is appropriate under
§18.40(d) if there is no genuine issue of material fact. A party opposing a motion for summary
decision “may not rest upon the mere allegations or denials of [a] pleading. [The response] must set
forth specific facts showing that there is a genuine issue of fact for the hearing.” 29 C.F.R.
§18.40(c). See Webb v. Carolina Power & Light Co., Case No. 93-ERA-42, Sec'y Dec. July 17,
1995, slip op. at 4-6.
Pursuant to §18.40(d), the ALJ may issue summary judgment for either party “if the
pleadings, affidavits, material obtained by discovery or otherwise, or matters officially noticed show
that there is no genuine issue as to any material fact and that a party is entitled to summary decision.”
In Celotex Corp. v. Catrett, 477 U.S. 317 (1986), the Supreme Court construed similar language
under Fed. R. Civ. P. 56. In that case, the Court stated:
In our view, the plain language of Rule 56(c) mandates the entry of
summary judgment, after adequate time for discovery and upon
motion, against a party who fails to make a showing sufficient to
establish the existence of an element essential to that party’s case, and
on which that party will bear the burden of proof at trial. In such a
situation there can be “no genuine issue as to any material fact,” since
a complete failure of proof concerning an essential element of the
nonmoving party’s case necessarily renders all other facts immaterial.
The moving party is “entitled to a judgment as a matter of law
because the nonmoving party has failed to make a sufficient showing
on an essential element of her case with respect to which she has the
Hasan points out that he submitted his own affidavit in opposition to the motion for summary
judgment. According to Hasan, for the purposes of a motion for summary judgment, the ALJ was
required to accept the statements in his affidavit as true. Hasan’s argument is based on a
mischaracterization of case law.
In ruling on a motion for summary judgment, the judge is required to draw all factual
inferences in favor of, and take all factual assertions in light most favorable to, party opposing the
motion. Troy Chemical Corp. v. Teamsters Union Local No. 408, 37 F.3d 123 (3d Cir. 1994).
reasons for not hiring Hasan are germane only if Hasan can first establish the elements of a prima facie case.
See Trimmer v. U.S. Dep’t of Labor, 174 F.3d 1098 (10th Cir. 1998). In view of our ruling that Hasan has
not established a prima facie case, we need not reach the question of whether B&R demonstrated that it
would have taken the same unfavorable action in the absence of Hasan’s protected behavior.
However, to defeat a motion for summary judgment, the non-moving party must still establish that
there is a genuine issue of material fact and must do so through some means other than mere
speculation or conjecture. See Cablevision Sys. Corp. v. Town of East Hampton, 862 F.Supp. 875
(E.D.N.Y. 1994), aff’d, 57 F.3d 1062 (2d Cir. 1995); Boyer v. Board of County Comm’rs, 922
F.Supp. 476 (D. Kan. 1996), aff’d 108 F.3d 1388 (10th Cir. 1997). In this case, Hasan’s affidavit
contained nothing more than his naked speculation regarding B&R’s reasons for not hiring him,
which carries no probative weight in summary judgment proceedings. As a result, the ALJ found
that Hasan did not present any evidence, either direct or circumstantial, establishing B&R’s
knowledge of his whistleblowing activities or any nexus between his protected activities and B&R’s
decision not to hire him. RD&O at 7.8/
There is no question that, if this case had gone to hearing, Hasan would have had the burden
of proving the elements of a prima facie case. See Dysert v. Sec’y of Labor, 105 F.3d 607 (11th Cir.
1997). As noted above, the essential elements of a prima facie case include a showing that B&R was
aware of whistleblowing activities and that his whistleblowing activities were a contributing factor
in B&R’s decision not to hire him. Hasan has not alleged the existence of facts sufficient to establish
either element. As the Supreme Court has noted, where the record taken as a whole could not lead
a rational trier of fact to find for the nonmoving party, there is no genuine issue for trial.
Matshushita Elec. Industrial Co. v. Zenith Radio, 475 U.S. 574, 587 (1986). The record in this case
shows that B&R was entitled to judgment as a matter of law, and this case therefore must be
DISMISSED.9/
RICHARD A. BEVERLY
Hasan takes issue with this finding arguing that B&R had to know about his whistleblowing activities
because he disclosed them in his November 6, 1999 letter to the company. Hasan Initial Brief at 5.
However, in his affidavit, Rothstein states that he did not see that letter prior to making his decision on
whether to hire Hasan. Hasan offered nothing in rebuttal other than conjecture. Inasmuch as Rothstein was
the official who decided not to hire Hasan, and considering that he made that decision without seeing Hasan’s
November 6th letter, we agree with the ALJ’s finding on this issue.
Hasan has raised a number of other arguments in this case. We have considered these arguments and
conclude that they are without merit and do not warrant discussion.
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