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Department of Labor: 99 095 | Complaint | Occupational Safety And Health Administration
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SHARYN A. ERICKSON, ARB CASE NO. 99-095
COMPLAINANT, ALJ CASE NO. 99-CAA-2
v. DATE: July 31, 2001
Karol L. Smith, Esq., U.S. Environmental Protection Agency, Atlanta, Georgia
Complainant Sharyn A. Erickson alleges that she was subjected to retaliation and
continued harassment by Respondent United States Environmental Protection Agency (EPA)
because she engaged in activities protected by the whistleblower provisions of six Environmental
Acts.1/ EPA moved to dismiss Erickson’s complaint. A Labor Department Administrative Law
Judge (ALJ) analyzed EPA’s Motion as a motion for summary decision and issued a
Recommended Decision and Order (RD&O) recommending that the complaint be dismissed,
concluding, inter alia, that Erickson’s complaint was untimely and that there was no continuing
violation. Erickson v. U.S. Environmental Protection Agency, ALJ No. 1999-CAA-2 (June 8,
1999). Erickson appealed.
The Clean Air Act, 42 U.S.C. §7622 (1995), the Comprehensive Environmental Response,
Compensation, and Liability Act, 42 U.S.C. §9610 (1995), the Safe Drinking Water Act, 42 U.S.C. §300j-9
(1994), the Solid Waste Disposal Act, 42 U.S.C. §6971 (1994), the Toxic Substances Control Act, 15 U.S.C.
§2622 (1994), and the Water Pollution Control Act, 33 U.S.C. §1367 (1994).
For the reasons set forth below, we conclude that the EPA did not demonstrate that it was
entitled to summary decision on the question of the timeliness of Erickson’s complaint and
whether a continuing violation may have occurred. Accordingly, we grant Erickson’s petition
for review and remand this case for further proceedings.
Erickson is an Information Resources Coordinator for the EPA. Erickson’s pro se
complaint was filed with the Department of Labor’s Occupational Safety and Health
Administration (OSHA) on April 9, 1998. Erickson claimed that in 1993 and again in 1995 she
engaged in activities protected under the whistleblower protection provisions of the
Environmental Acts, and that she subsequently was targeted for retaliation by EPA. According
to Erickson, the first protected act occurred in June 1993 when she sent an e-mail to a union
official, Al Yeast,
in which I informed then-NFFE (National Federation of Federal
Employees) Local 1907 President Al Yeast of problems with
EPA’s regulations (especially for Superfund), and with analytical
regulations and methods. Those problems created the need for the
contract reformation on the Southeastern Wood Preserving
Superfund site [and] threatened to open the demonstrated problems
with EPA’s regulations and analytical methods to public scrutiny.
Complaint, p. 1.
The second claimed act of environmental whistleblowing occurred in early 1995 when
Erickson informed officials at the Texas Department of Natural Resources Commission and EPA
Region 6 of the “same problems and issues” with respect to a contract the State of Texas was
about to issue containing “the same impossibility of performance - thus opening the state and
Superfund to significant monetary liability (as had been experienced by Region 4 on the
Southeastern Wood Preserving site contract).” Complaint, p. 1. Erickson subsequently advised
a member of Congress of these contacts.
Erickson charged that EPA subjected her to a “pattern of continuing, discriminatory acts
and hostile environment” in retaliation for having engaged in these whistleblowing activities,
which created “an ongoing, continuing violation.” Complaint, p. 1. In support of her charge,
Erickson cited approximately a dozen incidents of alleged retaliation taken against her, “[a]mong
the most egregious” being “the maintenance of an open, indefinite criminal investigation against
me by the [EPA’s] Inspector General’s (IG’s) office.” Id., p. 2. Critical to resolution of the
instant appeal, “[o]ne of the most recent instances of that ongoing, discriminatory retaliation”
was “another denial of promotion, for which I received . . . notice (dated March 5, 1998) on
March 10, 1998.” Id., p. 1. This incident of non-selection occurred within the thirty-day period
immediately preceding Erickson’s filing of her complaint.2/
OSHA investigated Erickson’s complaint pursuant to 29 C.F.R. §24.4, but concluded that
the complaint was without merit. Erickson objected to that determination and requested a
hearing before an ALJ. See 29 C.F.R. §24.4(d)(3).
Prior to the scheduled hearing, EPA submitted a Motion to Dismiss Erickson’s complaint,
citing in support of its Motion various exhibits that had been attached to EPA’s prehearing
statement. EPA argued that dismissal was appropriate because (1) Erickson’s complaint
generally failed to establish the prima facie elements of a whistleblower claim (i.e., no showing
of protected activity and no showing of discriminatory acts); (2) Erickson’s complaint was
untimely because the alleged protected activity occurred in 1993 and 1995, more than 30 days
prior to the filing of the complaint in April 1998; and (3) Erickson had already litigated these
issues in another forum and should be barred from re-litigating them before the Labor
The ALJ treated EPA’s Motion to Dismiss as a motion for summary decision pursuant
to 29 C.F.R. §18.40. See RD&O at 1.3/ The ALJ concluded that Erickson’s complaint should
be dismissed as untimely. With regard to the alleged acts of retaliation that occurred soon after
the 1995 contacts with Texas and EPA officials, the ALJ concluded that these were “discrete
occurrences” and that a complaint should have been filed then in order to be timely. With regard
to the March 1998 non-selection, the ALJ found that this adverse action was too remote in time
Erickson subsequently amended her complaint to include allegations that EPA also had
attempted to intimidate, harass and scare her subsequent to the filing of her initial complaint by: (1)
issuing a letter on August 5, 1998, warning her against falsely representing herself to officials at the
General Services Administration, and (2) denying another promotion request, pursuant to letter dated
Because EPA submitted evidence outside the pleadings in support of its Motion to Dismiss,
EPA’s Motion must be viewed as a motion for summary decision under 29 C.F.R. §18.40. See High v.
Lockheed Martin Energy Sys., Inc., ARB No. 98-075, ALJ No. 96-CAA-8, slip op. at 3-4 (ARB Mar.
13, 2001). See also Stephenson v. NASA, 94-TSC-5, slip op. at 3 (Sec’y Sept. 28, 1995). Office of
Administrative Law Judges (OALJ) Rules 18.40 and 18.41 (29 C.F.R. §§18.40 and 18.41) govern the
disposition of motions for summary decision before ALJs. The rules are modeled on Rule 56 of the
Federal Rules of Civil Procedure, Williams v. Lockheed Martin Corp., ARB Nos. 99-054/064, ALJ Nos.
98-ERA-40/42, (ARB Sept. 29, 2000), and the standard for granting summary decision under the OALJ
rules is essentially the same standard applicable in granting summary judgment under Federal Rule 56.
Hasan v. Burns and Roe Enterprises, ARB No. 00-080, ALJ Case No. 2000-ERA-6, slip op. at 6 (ARB
Jan. 30, 2001). See also Hill v. U.S. Dep’t of Labor, 198 F.3d 257 (Table), 1999 WL 815830 at 2 (10th
Cir. 1999) (summary decision procedure of 29 C.F.R. Part 18 “operates in much the same way as the
summary judgment authorized by Fed. R. Civ. P. 56”).
from Erickson’s alleged protected activity in 1995 to serve as the basis for a timely complaint,
and also observed that Erickson’s non-selection was the result of a competitive selection process.
Although the ALJ purported to limit his ruling to the issue of timeliness (“Because the
complaint is not timely, I need not decide whether the alleged actions are protected activities
under the various whistleblower acts.” RD&O at 5), he nevertheless went on to consider and
decide several other aspects of Erickson’s complaint. The ALJ found that Erickson did not
engage in protected activity in 1993, but that “[i]t is possible that Ms. Erickson’s actions in 1995
might have been a protected activity.” Although not argued by EPA in its Motion, the ALJ
found that the alleged acts of discrimination by EPA did not constitute a continuing violation.
Additionally, the ALJ found that where there is a three year gap between the alleged protected
activity and the adverse action, there can be no continuing violation.
The ALJ entered summary decision for EPA and recommended that Erickson’s complaint
be dismissed as untimely filed. RD&O at 2-4.4/
We have jurisdiction pursuant to the employee protection provisions of the various
environmental acts and 29 C.F.R. §24.8.
The Board reviews an ALJ’s grant of summary decision de novo; thus our review is
governed by the same standard used by the ALJ. Williams v. Lockheed Martin Corp., ARB Nos.
99-054/064, ALJ Nos. 98-ERA-40/42, slip op. at 3 (ARB Sept. 29, 2000). See 29 C.F.R.
§18.40(d). Accordingly, the Board will affirm the ALJ’s recommendation that summary
decision be awarded if, upon review of the evidence in the light most favorable to the non-
moving party, we determine that there exists no genuine issue as to any material fact and that the
ALJ correctly applied the relevant law. Stauffer v. Wal-Mart Stores, Inc., ARB No. 99-107, ALJ
No. 1999-STA-21, slip op. at 2, 6 (ARB Nov. 30, 1999). See generally 10A Wright, Miller &
Kane, Federal Practice and Procedure §2716 et seq. (appellate review of grant of summary
The ALJ apparently believed that the 30-time limit for filing a complaint begins to run from date
on which the employee engages in protected activity. However, 29 C.F.R. §24.3 (b) states in relevant
part: “Except [with regard to complaints under the Energy Reorganization Act], any complaint shall be
file within 30 days after the occurrence of the alleged violation.” Thus the time for filing a complaint
begins to run from the date of the adverse action, not the date the employee engaged in the protected
At the outset of this Discussion, we note that EPA’s Motion to Dismiss offers a series of
poorly focused challenges to Erickson’s complaint that are difficult to follow, and which plainly
created a dilemma for the ALJ. However, having reviewed EPA’s Motion to Dismiss and its
attachments closely, we conclude that the ALJ’s grant of summary decision was inappropriate
on the pleadings that were before him.
A. The timeliness of Erickson’s complaint regarding her March 1998 non-selection.
Erickson apparently first learned of her non-selection for a promotion on March 10, 1998,
and filed her original complaint on April 8, 1998. On its face, this would appear to be a timely-
filed complaint under the Environmental Acts, all of which require that a complaint be filed
within 30 days of an act of alleged retaliation.
EPA appears to argue that the non-selection complaint is untimely because “both alleged
‘whistleblowing’ incidents [in 1993 and 1995] occurred far more than thirty days prior to
Complainant’s April 8, 1998 complaint.” Motion at 4. This approach apparently was accepted
by the ALJ, who similarly suggested that the passage of three years between the protected
activity and the complaint automatically precludes relief. RD&O at 4. However, while the
passage of time between protected activity and adverse action plainly mitigates against the
likelihood of retaliation, temporal proximity (or the lack thereof) does not by itself determine
whether an adverse action was retaliatory. See, e.g., Bonnano v. Stone & Webster Eng’g Corp.,
95-ERA-54 and 96-ERA-7 (ARB Dec. 12, 1996)(“In this case, the passage of three years, with
evidence of a lack of animus on the part of the Respondents after the protected activity, convince
us that there is no causal connection between the protected activity and the alleged adverse
actions.” (emphasis added)).
EPA also declares (without any legal argument) that “Complainant applied for a
promotion through the Merit Promotion process, which is a competitive process, and was not
selected from among several other candidates,” seeming to suggest that this is grounds for
dismissing a complaint.5/ Although it is unclear precisely what the ALJ made of this argument,
Attached to EPA’s Motion is a document labeled “Exhibit S.” The document is titled “Vacancy
Selection, Senior Contracting Officer, GS-1102-13” and was signed by Keith R. Mills on July 27, 1998.
It references an employment decision made by Mills as the Selecting Official on June 30, 1998. Exhibit
S indicates that on or about July 27, 1998, Mills selected Charles Hayes to be “Senior Contracting
Officer” as the result of a competitive process involving nine applicants “presented to the Selecting
Official . . . on June 30, 1998.” However, Exhibit S does not mention Erickson or make any statements
with regard to her claim of discrimination; moreover, EPA’s Motion does not refer to the exhibit at all.
EPA’s position is unclear, but unavailing in any event. If EPA submitted Exhibit S to challenge
Erickson’s allegation that the person who did not select her was motivated by retaliatory intent, then the
parties disagree as to a material issue of fact and summary decision is simply inappropriate. On the other
he concluded that EPA’s claim that it followed merit selection procedures rebutted Erickson’s
argument that she had been subjected to discrimination. At the summary decision stage, and on
the pleadings before the ALJ, all that this exchange suggests is that there are material facts in
dispute and that dismissal is not warranted based on the Motion as drafted.
B. Erickson’s claim of a continuing violation.
EPA also seems to assert, as a matter of law, that to the extent Erickson’s complaint
depends on alleged discriminatory conduct occurring well outside the period of limitations, she
cannot claim a continuing violation. Motion at 5. But EPA in its Motion does not advance any
serious argument grappling with the facts of Erickson’s allegations of early misconduct by EPA
or the evidence developed during discovery. It is only later, in EPA’s rebuttal brief,6/ that the
agency argues for the first time that Erickson has not asserted the existence of any invalid
underlying policy that connects the earlier alleged adverse actions.
Although EPA’s Motion does not squarely argue that Erickson’s specific continuing
violation claim must be dismissed for lack of evidence that would support a prima facie case, the
ALJ nonetheless proceeded to find that the early alleged discriminatory acts were all discrete
occurrences, and not part of a continuing violation. We find that the ALJ erred in reaching this
At least one court has held that arguments raised for the first time in reply briefs are
waived. Echo, Inc. v. Whitson Co., 1994 WL 395004 (N.D. Ill. 1994). However, we need not
reach this issue here. At a minimum, we think that when a new argument is raised in a reply
brief, the other party must be given an adequate opportunity to respond in some manner (e.g.,
by ordering an additional round of briefing). See Booking v. General Star Management Co.,
2001 WL 692174 (2d Cir. 2001). There is no indication in the record that the ALJ ordered
hand, if EPA submitted Exhibit S to show that it is entitled to prevail as a matter of law because EPA
believes that a competitive process per se is evidence that its actions were non-discriminatory, EPA’s
argument is deficient because the agency has failed to explain why Erickson is precluded from asserting
a discrimination claim simply because other candidates applied for the position and the defendant
selected someone other than her.
Respondent’s Answer to Complainant’s Motion to Quash its Motion to Dismiss (June 9, 1999).
additional briefing and, consequently, we find that summary decision on this issue is premature.7/
Accordingly, we grant Erickson’s appeal and remand this matter to the ALJ for further
proceedings consistent with this decision.8/
We note that EPA’s Motion asserts that Erickson is precluded from litigating her claim because
she previously litigated the same issues in other forums. The ALJ did not address this aspect of the
motion. The question whether any of these issues were litigated in another forum is a factual issue best
resolved in the first instance by the ALJ. Therefore, we leave this question for the ALJ to consider in
light of the standards set forth in Sedlack v. Braswell Servs. Group, Inc., 134 F.3d 219, 224 (4th
We emphasize the narrowness of this decision, which focuses specifically on the arguments
raised by EPA in its Motion and the ALJ’s associated rulings on (1) the timeliness of the complaint in
connection with the March 1998 non-selection, and (2) the continuing violation question. On remand,
the ALJ and the parties have available to them the full range of tools normally used to promote efficient
adjudication. Indeed, the ALJ would not be foreclosed from considering a properly constructed and
supported motion for summary decision. Neither the ALJ nor this Board has an obligation “to research
and construct the legal arguments open to parties, especially when they are represented by counsel.”
Sanchez v. Miller, 792 F.2d 694, 703 (7th Cir. 1986), cert. denied, 479 U.S. 1056 (1987).
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