Janet H. McHugh v. University of Vermont Christopher Wheeler James P. Alexander and United States of America (u.s. Army), Christopher WheelerJanet H. McHugh v. University of Vermont Christopher Wheeler James P. Alexander and United States of America (u.s. Army), Christopher Wheeler
This appeal involves the power of the United States to substitute itself as a defendant for a federal employee by certifying that acts of sexual and religious harassment allegedly committed by the employee were within the scope of his employment. Judge Parker held that Major Christopher Wheeler, United States Army, was acting outside the scope of his employment in committing the alleged acts and declined to substitute the United States and to dismiss the action against him,
1. The Complaint and Substitution Motion
Janet H. McHugh was a secretary at the University of Vermont. From Februаry to July 1987, she was assigned to Wheeler, an instructor in the Department of Military Studies. She alleges that Wheeler engaged in several acts of sexual and religious harassment during that period. More than
On the only claim relevant here, McHugh’s original complaint alleged that “[p]laintiff was sexually and religiously harassed by a co-worker, Major Christopher Wheeler,” and, that, after complaining to Wheeler’s supervisor, Lt. Col. Alexander, she was discharged in retaliation. On August 22, 1990, Acting United States Attorney Charles Caruso, pursuant to authority delegated by the Attorney General,
5. On or about the week of February 17,1987, Plaintiff began work as a secretary III in the Military Studies Department of [the University ofj Vermont.
6. There, she was subjected to callous and insulting remarks of both religious and sexual nature, creating a hostile working environment. Major Christopher Wheeler was a co-worker and/or immediate supervisor. Major Wheeler repeatedly joked about Plaintiff’s contracting AIDS, stating that he hoped she would be able to avoid infection over the summer while he was away at camp. Major Wheeler repeatedly suggested to Plaintiff that she must be living with someone. On occasion, Major Wheeler provided his definition of a “secretary” as a paid whore. Major Wheeler observed that it was “a good day to watch Catholic babies burn.” Major Wheeler produced and sent to Plaintiff a print-out which stated:
“Dear Mrs. McHugh,
As your printer, I want to thank you for all the TLC!!! But, my ribbon is tirеd and old. Please buy me a new one!! I will make my kids Catholic if you do!!”
* * * * * *
7. Major Wheeler’s conduct created a hostile work environment and caused severe emotional, and resulting physical, harm to Plaintiff.
8. Plaintiff complained about this behavior to her supervisor and Major Wheeler’s supervisor, Lt. Col. James P. Alexander, pursuant to the UVM “Policy Statement on Sexual Harassment of Faculty & Staff,”....
9. Plaintiff was fired by Lt. Col. Alexander in retaliation for her complaints against Major Wheeler.
With regard to the motion to substitute the United States, Judge Parker reviewed the certification as to scope of employment de novo. Applying Vermont law, he held that Alexander was acting within the scope of his employment and substituted the United States as a defendant. McHugh does not appeal from this ruling. However, he also held that the alleged remarks were outside the scope of Wheeler’s employment and that McHugh’s claims against him should proceed to trial.
Wheeler appealed. Because he claims an immunity from trial as well as from liability, we have appellate jurisdiction under the so-called collateral order doctrine.
Yalkut v. Gemignani,
Before the Supreme Court’s decision in
Westfall v. Erwin,
To remedy the situation, Congress passed the Westfall Act, or the Federal Employees Liability Reform and Tort Compensation Act of 1988. Pub.L. No. 100-694, 102 Stat. 4563 (amending the Federal Tort Claims Act,
We briefly summarize the Westfall Act’s provisions.
Finally,
3. Reviewability of the Certification
The heart of the dispute in the instant matter is whether or to what extent a certification as to scope of employment under the Westfall Act may be reviewed and rejected by the district court. This question is the crux because, should the government be substituted for Wheeler, it will undoubtedly move in the district court to dismiss the complaint on the ground that it was filed more than two years аfter the accrual of McHugh’s claims and is therefore time-barred under the FTCA’s statute of limitations.
See
Courts that have addressed the reviewa-bility of disputed scope-of-employment certifications have uniformly held them to be subject to review.
See Snodgrass v. Jones,
We believe that a scope-of-employment certification should be reviewed
de novo
for purposes of substituting the United States as a defendant and precluding an action against the federal employee.
Under the Westfall Act, the Attorney General’s certification serves two purposes. First, it is the basis for removal of state court actions to federal court. Second, it is the basis for the substitution of the United States as a defendant and for the resultant immunization of the federal employee. With regard to removal,
The background of law against which the Westfall Act was enacted provides support for the view that the Attоrney General’s certification is subject to judicial review. The Westfall Act was an amendment to the Federal Drivers Act, Pub.L. No. 87-258, 75 Stat. 539 (1961) (codified at
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Thus, under the Federal Drivers Act, “the trial judge determined the scope of еmployment issue as a matter of law.”
Petrousky v. United States,
The Westfall Act modified the Federal Drivers Act in several respects. First,
Viewing the Westfall Act in its entirety, we find no evidence that Congress intended to eliminate judicial determination of the scope of employment issue, except with regard to removal, as was the practice under the Federal Drivers Act. Indeed, such an elimination would be extremely anomalous in light of the Westfall Act’s empowering of federal employees to challenge a refusal by an Attorney General to certify scope of employment.
The legislative report accompanying the Westfall Act sheds no light on the question, H.R.Rep. No. 100, although the hear
Finally, judicial review of a certification of scope of employment must be inferred to avoid serious constitutional problems.
See id.
at 1541-42. State tort claims are property subject to constitutional protection.
Barrett v. United States,
Before such property rights can be eliminated, however, a plaintiff is entitled to a due process hearing on whether the federal employee was acting within the scope of employment.
See, e.g., Bell v. Burson,
Certainly, there is no reason to regard the certification process itself as according due process to plaintiffs. Indeed, plaintiffs who sue a federal employee neither receive notice of nor participate in the Attorney General’s decision to certify, or not to certify, scope of employment. Moreover, in many cases the Attorney General will have little incentive to resist сertification because the underlying tort action cannot be brought against the United States under the FTCA. In the instant matter, where the two-year statute of limitations had run, the certification was signed before the substance and context of Wheeler’s alleged actions were known and was based solely on the conclusory allegations of the original complaint. Indeed, after certification, the government, which was representing Wheeler, moved for a more definite statement of the allegations against him as an alternativе to the motion to substitute.
We therefore conclude that a district court may review
de novo
an Attorney General’s certification of scope of employment under the Westfall Act. Such review is triggered by the government’s motion for substitution and opposition papers from the plaintiff that allege with particularity facts relevant to the scope-of-employment issue. The allegations of tortious conduct, such as the statements attributed to McHugh, should be read in the light most favorable to the plaintiff. That is to say, the government may not deny that acts were within the scope of employment by denying that the acts occurred. The context of the alleged acts that is relevant to the scope of employment issue is a matter of fact to be determined by the district court, however, after an appropriate factual hearing. Whenever scope of employ
In the instant matter, the parties may dispute whether Wheeler conducted himself as alleged, but we assume that plaintiff’s allegations are true for purposes of this proceeding. The context in which the remarks were made — while both McHugh and Wheeler were at work — is not disputed. The district court, applying Vermont scope-of-employment law, 9 found that Wheeler was acting outside the scope of his employment when he allegedly made the remarks to McHugh. We agree with the district court.
Under Vermont law, an employer is not liable for an employee’s act unless “the act was done in furtherance of the master’s business.”
Anderson v. Toombs,
Wheeler argues that his alleged conduct was within the scope of employment because it was within that scope for him to talk with McHugh, either to give instruсtions or to avoid the awkwardness of silence prevailing except for work-related conversation. Whether that is a preferable definition of scope of employment is something we need not address because the only issue before us is what Vermont law is, not what it should be. Given present Vermont caselaw, the tea leaves may be sparse, but they clearly convey a message that differs from that argued by the government.
We therefore affirm.
Notes
.
The remedy against the United States ... for injury or loss of property, or personal injury or death arising or resulting from the negligent or wrongful act or omission of any employee of the Government while acting within the scope of his office or employment is exclusive of any other civil action or proceeding for money damages by reason of the same subject matter against the employee....
.
Upon certification by the Attorney General that the defendant employee was acting within the scope of his office or employment at the time of the incident out of which the claim arose, any civil action or рroceeding commenced upon such claim in a United States district court shall be deemed an action against the United States under the provisions of this title and all references thereto, and the United States shall be substituted as the party defendant.
.
Upon certification by the Attorney General that the defendant employee was acting within the scope of his office or employment at the time of the incident.... Any civil action or proceeding commenced upon such claim in a State court shall be removed withоut bond at any time before trial by the Attorney General to the district court.... Such action or proceeding shall be deemed to be an action or proceeding brought against the United States ... and the United States shall be substituted as the party defendant. This certification of the Attorney General shall conclusively establish scope of office or employment for purposes of removal.
.
In the event that the Attorney General has refused to certify scope of office or employment under this section, the employee may at any time before trial petition the court to find and certify that the employee was acting within the scope of his office or employment. Upon such certification by the court, such action or proceeding shall be deemed to be an action or proceeding brought against the United States ..., and the United States shall be substituted as the party defendant.... In the event the petition is filed in a civil action or proceeding pending in a State court, the action or proceeding may be removed without bond by the Attorney General to the district court of the United States for the district and division embracing the place in which it is pending. If, in considering the petition, the district court determines that the employee was not acting within the scope of his office or employment, the action or proceeding shall be remanded to the State court.
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Upon certification, any action.or proceeding subject to paragraph (1), (2), or (3) shall proceed in the same manner as any action against the United States filed pursuant to section 1346(b) of this title and shall be subject to the limitations and exceptions applicable to those actions.
28 U.S.C.-
. McHugh’s claim for tortious interference with contract rights would be barred under
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The remedy by suit against the United States as provided by section 1346(b) of this title for damage to property or for personal injury, including death, resulting from the operation by any employee of the Government of any motor vehicle while acting within the scope of his office or employment, shall hereafter be exclusive of any other civil action or proceeding by reason of the same subject matter against the employee or his estate whose act or omission gave rise to the claim.
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Upon a certification by the Attorney General .that the defendant employee was acting within the scope of his employment at the time of the incident’ out of which the suit arose, any such civil action or proceeding commenced in a State court shall be removed without bond at any time before trial by the Attorney General to the district court of the United Stаtes for the district and division embracing the place wherein it is pending and the proceedings deemed a tort action brought against the United States under the provisions of this title and all references thereto. Should a United States district court determine on a hearing on a motion to remand held before a trial on the merits that the case so removed is one in which a remedy by suit within the meaning of subsection (b) of this section is not available against the United States, the case shall be remanded to the State court.
. Technically, scope-of-employment questions regarding members of the military would appear to be governed by federal law under