Alice NAKSHIAN v. W. Graham CLAYTOR, in his Official Capacity as Secretary of the Navy, et al., Appellants.
No. 79-1672.
United States Court of Appeals, District of Columbia Circuit.
Argued Sept. 28, 1979. Decided Feb. 19, 1980.
Rehearing Denied May 5, 1980.
Before WRIGHT, Chief Judge, BAZELON, Senior Circuit Judge, and TAMM, Circuit Judge.
Michael Jay Singer, Atty., Dept. of Justice, Washington, D. C., with whom Carl S. Rauh, U. S. Atty., Washington, D. C., at the time the briefs were filed, and Robert E. Kopp, Atty., Dept. of Justice, Washington, D. C., were on brief, for appellants. Terry Coleman, Washington, D. C., for appellee. Patricia J. Barry, Washington, D. C., also entered an appearance for appellee.
Reversed and remanded for a new trial.
S.Ct. 136, 139, 3 L.Ed.2d 125 (1958); Bollenbach v. United States, 326 U.S. 607, 613-14, 66 S.Ct. 402, 405, 90 L.Ed. 350 (1946); Macklin v. United States, 133 U.S.App.D.C. 347, 410 F.2d 1046 (D.C. Cir. 1969).
Opinion for the court filed by Chief Judge J. SKELLY WRIGHT.
Dissenting opinion filed by Circuit Judge TAMM.
J. SKELLY WRIGHT, Chief Judge:
This interlocutory appeal, pursuant to
I
Appellee was a 62-year-old civilian employee of the United States Department of the Navy at the time she brought this action in the District Court under Section 15(c) of the ADEA,
The District Court denied the Government‘s motion, suggesting in its memorandum opinion that this result followed from the Supreme Court‘s decision in Lorillard v. Pons, 434 U.S. 575, 98 S.Ct. 866, 55 L.Ed.2d 40 (1978). In that case the Supreme Court held that there is a right to a jury trial in an ADEA suit brought against private employers pursuant to Section 7(c),
The District Court pointed out that the same “legal * * * relief” language that the Supreme Court found significant in Lorillard is used in Section 15(c) of the Act,
II
The Government rejects the District Court‘s analysis. It argues that since the Seventh Amendment right to jury trial applies only to “suits at common law,” and at common law suits against the Government were barred by the doctrine of sovereign immunity, the right to jury trial therefore does not apply to actions against the Government under Section 15(c) of the Act. It further notes that Congress may, in waiving the Government‘s sovereign immunity, dictate the particular terms and conditions under which a suit against it may be brought. From these premises the Govern-
The Government also rejects the suggestion that the Supreme Court‘s reasoning in Lorillard supports the inference that there is a jury trial right in ADEA actions against the Government. It notes that the FLSA right to a jury trial on which the Court relied in Lorillard was in fact based on the Seventh Amendment. Since the Seventh Amendment does not apply to suits against the Government, this supports the inference that there is no right to jury trial in ADEA actions against the Government. Similarly, it contends that the jury trial connotation of the term “legal * * * relief” derives from the Seventh Amendment and therefore cannot apply to actions against the Government. Finally, the Government maintains that Congress’ response to the Lorillard decision supports its position. In 1978 Congress amended Section 7(c) by enacting language that expressly provides for jury trials in ADEA actions brought against private employers. Since no similar action was taken with respect to Section 15(c), the Government argues that Congress did not intend to allow jury trials in ADEA actions against the federal government.
Appellee does not dispute the Government‘s claim that the Seventh Amendment guarantee of jury trial does not apply to actions against the Government, or the claim that Congress may prescribe the procedure to be followed in a suit when it waives the Government‘s sovereign immunity. She does, however, reject the Government‘s claim that there is a right to sovereign immunity from jury trial which may be inferred from these two premises. In her view the Government confuses the well established principle of sovereign immunity from suits without its consent with an unrecognized principle of sovereign immunity from jury trials. Appellee argues that there is no automatic presumption against jury trial in actions against the Government and no unequivocal grant of a right to jury trial need be found. Rather, the issue is an ordinary one of statutory interpretation—whether or not Congress intended that employees who bring ADEA actions against the Government should have a right to jury trial. To support her claim that Congress intended to grant a right to jury trial in ADEA actions against the Government, appellee looks to the language and legislative history of the ADEA.
She notes that, as originally enacted, neither the FLSA nor the ADEA applied to the Government. In 1974 Congress simultaneously amended both statutes to extend their coverage to federal employees. It amended the definition of “employee” in Section 3(e) of the FLSA,
Appellee argues that given this, the result in the instant case flows ineluctably from the Lorillard decision. Lorillard held that Congress intended that the ADEA be enforced in accordance with the procedures of the FLSA. Since, as just shown, Congress intended to grant a right to jury trial
Appellee also finds support for her position in the language of the ADEA. Lorillard relied in part on Section 7(b) of the Act,
The provisions of this chapter shall be enforced in accordance with the powers, remedies, and procedures [of the FLSA]. * * *
(Emphasis added.) By referring to the entire chapter, Section 7(b) explicitly applies to actions brought under Section 15 of the Act,
Furthermore, appellee notes that the same term of art “legal * * * relief” that the Supreme Court found significant in Lorillard appears in Section 15(c) of the ADEA,
Finally, appellee contends that the very fact that Congress vested jurisdiction in the District Court rather than the Court of Claims supports the inference of a right to jury trial.3 She notes that the Supreme Court has intimated that when Congress confers jurisdiction over actions against the United States in the District Courts, it may be inferred that it intended to provide for jury trials. United States v. Pfitsch, 256 U.S. 547, 41 S.Ct. 569, 65 L.Ed. 1084 (1921); Law v. United States, 266 U.S. 494, 45 S.Ct. 175, 69 L.Ed. 401 (1925). And Congress has shown that it is aware that a right to jury trial may be inferred when jurisdiction over actions against the United States is vested in the District Courts by expressly providing that there be no jury trial in most of these cases. See
III
The first issue that we must resolve is whether the Government is correct in arguing that there is a sovereign immunity from jury trial that can only be waived by explicit statutory language or legislative history.
In our view the Government‘s argument rests on a serious misconception. The doctrine of sovereign immunity bars suits against the Government without its consent. Congress can waive this immunity by authorizing such suits. In so doing it can
By authorizing ADEA suits against the Government, Congress waived the Government‘s sovereign immunity, although it did not explicitly state what trial procedure is to be used in such cases. This does not, however, create an automatic presumption against jury trial in such cases. Rather, it presents us with an ordinary question of statutory interpretation—whether or not Congress intended that employees who bring ADEA actions against the Government should have a right to demand that the case be tried to a jury. Our task then is to see “if [the] statute, expressly or by fair implication so provides.” 9 C. Wright & A. Miller, Federal Practice and Procedure § 2314 at 69 (1971) (emphasis added; footnote omitted). See also 5 J. Moore, Federal Practice ¶ 38.31[2] at 236 (2d ed. rev. 1979).
Courts can, and do, infer a congressional intention to allow jury trials in actions against the Government in the absence of explicit statutory authorization. For example, in United States v. Pfitsch, supra, the Supreme Court concluded that actions brought against the Government under the Lever Act of 1917, 40 Stat. 276 (1917), may be tried to a jury even though the statute did not provide for jury trials. Similarly, although the War Risk Insurance Act,
We therefore agree with the District Court that appellee may demand a jury trial for her suit if there is enough evidence to support an inference that Congress intended to provide for jury trials in ADEA actions against the Government. Our review of the statute and legislative history persuades us that Congress did so intend.
First, we agree with appellee that the very fact that Congress gave jurisdiction over ADEA suits against the federal government to the District Courts rather than the Court of Claims supports the inference that there is a right to jury trial in such cases. As a leading authority has stated:
Congress may confer jurisdiction of actions against the United States upon a district court sitting as a court of law (or equity), as a court of claims, and as a court of admiralty. And the particular grant of jurisdiction will determine the method of trial, court or jury, in the absence of some express provision dealing with the method of trial. Thus, absent a provision as to the method of trial, a grant of jurisdiction to a district court as a court of law carries with it a right of jury trial. * * *
Our belief that Congress intended to provide for jury trials is strengthened by Congress’ choice of language in drafting the statutory provision. Congress used the term of art “legal and equitable relief” (emphasis added) in authorizing actions against the Government under Section 15(c),
We are not persuaded by the claim by the Government (and the dissent) that the 1978 amendments to the ADEA show that Congress did not intend to allow jury trials in actions against the Government. Congress amended Section 7(c),
The jury trial issue was raised on the floor of the Senate after the House had already passed the bill. Senator Kennedy offered the amendment on October 19, 1977—before Lorillard was decided. He noted that three of the four circuits that had considered the issue had ruled in favor of jury trials, that the amendment would clarify the issue, and that jury trials were particularly appropriate in age discrimination cases.6 The amendment was immediately adopted without debate. The bill was reported by the Conference Committee shortly after Lorillard was decided. The Conference Committee adopted the Senate amendment, and indeed expanded the amendment to provide for jury trials in actions for liquidated damages, an issue that the Supreme Court had left open in Lorillard.7
Our reading of the legislative history of the 1978 amendment is consonant with a statement placed in the Congressional Record on September 5, 1979 by Congressman Pepper, Chairman of the House Committee on Aging and a member of the Conference Committee on the 1978 amendments to the ADEA. Congressman Pepper stated:
Those who participated in the House and Senate debates [on the amendment] would be surprised to learn that legislative efforts to confirm the right to a jury trial have been construed as a denial of that right. It would be indefensible to deny Federal employees the right to a jury trial. Under any legislative enactment in the field of civil rights, the Federal Government should be the leader not a grudging participant. * * * As chairman of the Committee on Aging, I will continue to watch developments in this area, and will ask for further delineation of the right of Federal employees to a jury trial if conflicting judicial interpretations are not resolved in favor of a jury trial.
123 Cong.Rec. E4258 (daily ed. Sept. 9, 1979).
IV
The issue presented by this case is whether an employee who brings an ADEA action against the federal government may demand a jury trial for her suit. We agree with the District Court that a congressional intention to confer a right to jury trial in such cases may be inferred from the language and legislative history of the ADEA.
Accordingly, the judgment of the District Court is
Affirmed.
TAMM, Circuit Judge, dissenting:
The majority infers from several legislative actions a congressional intent to give federal plaintiffs a jury trial in ADEA actions. I believe this intent is anything but clear. I therefore respectfully dissent.
I.
The seventh amendment states that “[i]n Suits at common law, * * * the right of trial by jury shall be preserved * * *” This provision of the Bill of Rights guarantees a jury trial for private parties in most federal civil actions. See, e. g., Ross v. Bernhard, 396 U.S. 531, 90 S.Ct. 733, 24 L.Ed.2d 729 (1970). By its very terms, however, the amendment does not apply to all cases but only to those arising under common law; thus actions in equity or admiralty are tried to a judge. At common law, a suit could not be maintained against the government due to its sovereign immunity; therefore, any action in which the government waives its immunity is not a suit at common law within the meaning of the amendment. Galloway v. United States, 319 U.S. 372, 388-89, 63 S.Ct. 1077, 1086, 87 L.Ed. 1458 (1943).
As the Supreme Court has stated, “It long has been established * * * that the United States, as sovereign, ‘is immune from suit save as it consents to be sued * * * and the terms of its consent to be sued in any court define that court‘s jurisdiction to entertain the suit.‘” United States v. Testan, 424 U.S. 392, 399, 96 S.Ct. 948, 953, 47 L.Ed.2d 114 (1976) (quoting United States v. Sherwood, 312 U.S. 584, 586, 61 S.Ct. 767, 769, 85 L.Ed. 1058 (1941)). Thus, when the government does consent to
II.
Congress passed the ADEA in 1967 “to promote the employment of older workers based on their ability * * * through an education and information program to assist employers and employees in meeting employment problems * * * and through the utilization of informal and formal remedial procedures.” H.R.Rep.No. 805, 90th Cong., 1st Sess. 1, reprinted in [1967] U.S.Code Cong. & Admin.News, pp. 2213, 2214. For the most part, Congress applied the enforcement provisions of the Fair Labor Standards Act (FLSA),
As originally passed, the ADEA specifically excluded federal employees from coverage.1 See ADEA,
The legislative history of the 1974 FLSA Amendments does not mention the issue of jury trials under section 633a. Most of the debate on the 1974 FLSA Amendments dealt with its minimum wage provisions. Comments on the ADEA involved the need to extend its protection to federal and state workers.5 Indeed, the committee report on the 1974 FLSA Amendments made clear that the original exclusion of the federal government from coverage under the ADEA was inadvertent:
The Committee recognizes that the omission of government workers from the Age Discrimination in Employment Act did not represent a conscious decision by the Congress to limit the ADEA to employment in the private sector. It re-flects the fact, that in 1967, when ADEA was enacted, most government employees were outside the scope of the FLSA[,] and the Wage Hour and Public Contracts Divisions of the Department of Labor, which enforces the Fair Labor Standards Act, were assigned responsibility for enforcing the Age Discrimination in Employment Act.
S.Rep.No. 690, 93d Cong., 2d Sess. 55 (1974). Accord, S.Rep. No. 300, 93d Cong., 1st Sess. 56 (1973); S.Rep.No. 842, 92d Cong., 2d Sess. 45 (1972).
The history of the 1974 FLSA Amendments indicates that Congress wanted federal employees to have the same protections from age discrimination as their counterparts in the private sector. Giving the same protection, however, does not necessarily mean Congress intended to establish the same procedures for federal employees to enforce those protections. With jury trials, congressional waiver of immunity can occur only by express statement or by clear implication; as noted above, however, Congress did not discuss jury trials for federal employees when considering the 1974
authorized to enforce the provisions of sub-section (a) of this section through appropriate remedies, including reinstatement or hiring of employees with or without backpay, as will effectuate the policies of this section. The Civil Service Commission shall issue such rules, regulations, orders, and instructions as it deems necessary and appropriate to carry out its responsibilities under this section. The Civil Service Commission shall— (1) be responsible for the review and evaluation of the operation of all agency programs designed to carry out the policy of this section, periodically obtaining and publishing (on at least a semiannual basis) progress reports from each department, agency, or unit referred to in subsection (a) of this section; (2) consult with and solicit the recommendations of interested individuals, groups, and organizations relating to nondiscrimination in employment on account of age; and (3) provide for the acceptance and processing of complaints of discrimination in Federal employment on account of age. The head of each such department, agency, or unit shall comply with such rules, regulations, orders, and instructions of the Civil Service Commission which shall include a provision that an employee or applicant for employment shall be notified of any final action taken on any complaint of discrimination filed by him thereunder. Reasonable exemptions to the provisions of this section may be established by the Commission but only when the Commission has established a maximum age requirement on the basis of a determination that age is a bona fide occupational qualification necessary to the performance of the duties of the position. With respect to employment in the Library of Congress, authorities granted in this subsection to the Civil Service Commission shall be exercised by the Librarian of Congress. (c) Any person aggrieved may bring a civil action in any Federal district court of competent jurisdiction for such legal or equitable relief as will effectuate the purposes of this chapter.
The establishment of a separate legislative scheme for federal workers under the ADEA,
By 1978, a conflict had developed in the federal courts of appeals over the right to a jury trial in ADEA actions by employees in the private sector.7 To resolve this controversy, Senator Edward Kennedy introduced an amendment to the Age Discrimination in Employment Amendments of 1978 (1978 ADEA Amendments),
Despite its reexamination of the jury trial provisions, Congress did not amend section 633a, the corresponding section giving federal workers the right to bring civil actions for age discrimination against the United States. As the Fifth Circuit has noted in a related context, “Where Congress has carefully employed a term in one place but excluded it in another, it should not be implied where excluded.” J. Ray McDermott & Co. v. Vessel Morning Star, 457 F.2d 815 (5th Cir.) (en banc), cert. denied, 409 U.S. 948, 93 S.Ct. 271, 34 L.Ed.2d 218 (1972). See also Diamond Roofing Co. v. OSHRC, 528 F.2d 645 (5th Cir. 1976).
III.
Appellees also argue, and the majority agrees, that Lorillard v. Pons supports a right to jury trial for federal plaintiffs under the ADEA. This reliance is misplaced. Lorillard arose in the private sector and involved section 626, which adopts FLSA remedies. See p. of 202 U.S.App.D.C., p. 60 of 628 F.2d supra. The Court concluded that Congress intended plaintiffs under section 626—by definition, employees in the private sector only9—to have the same rights as plaintiffs under the FLSA, who may insist on jury trials.10 At no time did the Court discuss federal employees, section 633a, or congressional waiver of sovereign immunity. This right to demand a jury trial does not extend to federal employees suing under section 633a, for the waiver of sovereign immunity to allow jury trials for federal plaintiffs presents different concerns. Juries may be too sympathetic toward plaintiffs in cases where the federal government is the defendant. Congress has noted this problem when considering bills authorizing jury trials against the government: “The primary objection to granting jury trials in suits against the United States is that juries, in considering possible sums to be awarded the plaintiff, might tend to be overly generous because of the virtually unlimited ability of the Government to pay the verdict.” H.R.Rep.No. 659, 83d Cong., 2d Sess. 3 reprinted in [1954] U.S.Code Cong. & Amin.News, pp. 2716, 2718 (amending
The majority further observes that the Court in Lorillard based its decision in part on the presence of the term “legal * * * relief” in section 626(b), which the Court believed suggested a congressional desire for jury trials. See 434 U.S. at 585, 98 S.Ct. at 871. The majority contends that the appearance of “legal * * * relief” in section 633a(c)(1) similarly supports a jury trial for federal employees. The Lorillard Court, however, based its findings of congressional intent on the meaning of the term under the seventh amendment.11 As noted above, the seventh amendment does not apply in this case, for common-law or “legal” remedies cannot lie against the federal government. See pp. of 202 U.S.App.D.C., pp. 65-66 of 628 F.2d supra. Thus, reliance on Congress‘s use of “legal * * * relief” in section 633a would be inappropriate because of the term‘s relationship to the seventh amendment.
Reliance on United States v. Pfitsch, 256 U.S. 547, 41 S.Ct. 569, 65 L.Ed. 1084 (1921), is equally unavailing. Pfitsch involved “the nature of the jurisdiction conferred upon the District Court by § 10 of the Lever Act [c. 53, 40 Stat. 276 (1917)],” id. at 549, 41 S.Ct. at 569, a wartime measure authorizing seizure of supplies for the American effort in World War I. The Court, after exam-
In its decision, the Court in dictum indicated that exclusive jurisdiction in the district court under the Lever Act would include “incidentally” a right to jury trial against the federal government. Id. at 550, 41 S.Ct. at 570. The Court mentioned jury trials only in reaching its conclusion about the type of jurisdiction Congress had conferred. It neither discussed nor decided a plaintiff‘s right to jury trial per se. These few comments on the right to a jury trial under the Lever Act do not mean that Congress waives the government‘s immunity to jury trial anytime it confers sole jurisdiction on the district courts. The “fair implication” of the right to jury trial as found in Pfitsch, 9 C. Wright & A. Miller, Federal Practice and Procedure: Civil § 2314, at 69 & n.43 (1971), quoted at p. 66 supra, cannot be drawn in this case, for Congress established a separate enforcement scheme for federal employees under the ADEA and then failed to alter, that scheme to allow jury trials for federal plaintiffs when it provided that right to private-sector employees in 1978.12
IV.
Sovereign immunity, though criticized, remains a viable doctrine. See, e. g., Fitzgerald v. United States Civil Service Commission, 180 U.S.App.D.C. 327, 554 F.2d 1186 (D.C.Cir. 1977) (Bazelon, C. J.). Jury trials, though favored, are not always permitted.13 This favor does not extend to suits against the government. “[W]hile statesmen and jurists are often wont to extol the virtues of jury trial, they are not accustomed to extend the virtues to actions against the United States, either in the Court of Claims or in the district courts.” 5 Moore‘s Federal Practice, ¶ 38.31[2], at 234-35 (footnotes omitted). Congress has had ample opportunity to afford federal employees the right to jury trial under the ADEA but has failed to do so. We should not apply what it has so far denied.
I respectfully dissent.
