Bass v. Butler

116 F. App'x 376
CourtCourt of Appeals for the Third Circuit
DecidedNovember 30, 2004
DocketNo. 02-4027
StatusPublished
Cited by10 cases

This text of 116 F. App'x 376 (Bass v. Butler) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Bass v. Butler, 116 F. App'x 376 (3d Cir. 2004).

Opinion

OPINION OF THE COURT

NYGAARD, Circuit Judge.

The initial complaint in this matter presented a constitutional due process challenge to the procedures Pennsylvania uses to evaluate workers’ compensation claims. Over the course of more than ten years of active litigation in several courts, however, many layers of complex procedural issues have beclouded this initial claim. Appellant Dianne Bass now challenges the District Court’s order dismissing her case for lack of subject-matter jurisdiction, which the court based on the Rooker-Feldman doctrine. For the reasons that follow, we will affirm the District Court’s decision regarding the as-applied challenge, reverse with respect to the facial challenge, and remand the cause for the District Court to determine whether doctrines of preclusion bar the facial challenge.

I. FACTS AND PROCEDURE

A. Worker’s Compensation Claim.

Unfortunately for the reader, this rather prolix explanation of the procedural twists and turns of this case is necessary to understand our decision. It all began with Bass filing a worker’s compensation claim with the Pennsylvania Bureau of Workers’ Compensation (“the Bureau”) in November 1992, seeking compensation for an injury she allegedly sustained in January 1991. When injured, Bass worked as a clerk typist in a doctor’s office. She claims she slipped on trash and ice in the office parking lot and hurt her back and neck. Bass’s employer, Dr. Howard Rosenman, disputed the claim and denied most of Bass’s material allegations. Pennsylvania Workers’ Compensation Judge (“WCJ”) Carol Mickey heard testimony in the case over two days in April and July 1993.

By agreement among the parties, the case was decided in two phases. The first phase ended in October 1994 when WCJ Mickey found Bass was serving in the course and scope of her employment when she fell. The case then moved into the second phase, to determine whether Bass was actually injured by the fall. The record indicated that Bass indeed suffered from back pain, which led to treatment and surgery. The record also indicated, however, that Bass had a history of back problems that predated her fall. The issue for the WCJ, therefore, was whether Bass’s back pain was from a preexisting injury, or the injury she sustained when she fell.

[378]*378WCJ Mickey left the Bureau in 1995, before she issued a decision in the second phase. WCJ Peter Perry assumed temporary responsibility for Mickey’s pending cases. WCJ Perry held a hearing on Bass’s claim in November 1995, but heard no testimony at that time. The parties submitted exhibits, and Perry officially closed the record and told the parties he would issue a decision.1 Before Perry did so, however, WCJ Michael Rosen was hired to fill Mickey’s position, and her cases were turned over to him. Bass was not notified of this change, in violation of Pennsylvania law. See 34 Pa.Code § 131.22.

Because Perry had announced he would decide Bass’s case, he and Rosen co-authored the opinion. Rosen drafted the opinion, which was then reviewed and signed by Perry — and issued more than five years after Bass filed her claim. The August 8, 1996 decision denied Bass’s claim, finding that her testimony was not credible as to what caused her back pain, and that the medical reports she submitted did not show a causal relationship between the fall and her back problems.

Bass appealed this decision to the Worker’s Compensation Appeal Board (“WCAB”), arguing, among other things, that

[t]he Judges improperly found the testimony of the claimant to be not credible. The claimant testified before Referee Mickey. The Judges assumed the handling of this case after the record was closed and they had no opportunity to observe the claimant, assess her demeanor, and were otherwise incapable of properly evaluating her credibility.

The WCAB affirmed the decision by Perry and Rosen, holding it was not within its province to reweigh the evidence or review credibility determinations. Bass v. Rosenman, No. A96-3187 (Pa. Workers’ Comp. Appeal Bd. Dec. 17, 1997). Addressing Bass’s concerns that neither of the deciding judges had been present for her testimony, the WCAB noted that Section 415 explicitly condoned this practice and that “testimony taken before the original WCJ is considered as though taken before the substituted WCJ.” Id., slip op. at 8. The WCAB also acknowledged Bass’s “general constitutional contention,” although “unsure of how, exactly, Claimant believes that she was denied due process.” Id., slip op. at 8 n. 2. The WCAB declined to address this claim, however, observing that only the judicial branch has the authority to review the constitutionality of a statute. Id.

B. State Court Proceedings.

Bass filed a petition for review in the Commonwealth Court of Pennsylvania, again challenging WCJ Perry and Rosen’s credibility findings and claiming that in reassigning her case to WCJ Rosen without notice, she “was denied a fair hearing and denied due process. WCJ Rosen did not hear the case, and petitioner was not informed until after the decision was rendered that he would be participating as a WCJ in this case.”

The Commonwealth Court remanded the case to the WCAB, to give Bass an opportunity to establish that she had suffered prejudice when her claim was reassigned to WCJ Rosen without notice. Bass v. Workers’ Comp. Appeal Bd. (Howard D. Rosenman, M.D.), No. 182 C.D. 1998 (Pa. Commw. Ct. filed Aug. 12, 1998) (“Bass I”). On remand, the WCAB found that Bass had failed to establish prejudice from the reassignment without notice, and [379]*379again declined to address her constitutional due process claims. Bass v. Rosenman, No. A96-3187 (Pa. Workers’ Comp. Appeal Bd. Mar. 11, 1999). The WCAB reinstated the initial decision by Perry and Rosen. Id., slip op. at 4-5.

Bass filed another appeal in the Commonwealth Court, objecting to the WCAB’s refusal to address her constitutional challenges. Her brief elaborated on her constitutional claim at greater length than in her initial appeal:

Section 415 ... and the Board’s regulations and practices thereunder are unconstitutional. As a result, Claimant was denied Due Process by having her case decided by a WCJ who did not hear her case and by the reassignment of her case without notice....
For a hearing to meet Due Process standards, it must be meaningful. In the WC context, this means that cases must be decided by WCJs who are competent to determine the most fundamental of issues, that of witness credibility. WCJs who are not present to receive the testimony are not competent to judge its credibility.

The Commonwealth Court rejected Bass’s second petition. Bass v. Workers’ Comp. Appeal Bd. {Howard D. Rosenman, M.D.), No. 842 C.D.1999 (Pa. Commw. Ct. filed Feb. 18, 2000) {“Bass II”). The court held that Bass had failed to show actual prejudice in the reassignment without notice. Id., slip op. at 4. The court further held that Bass had waived her facial attack on Section 415, by failing to raise the issue in her first appeal to the Commonwealth Court:

In Bass’ first appeal to this court, we addressed her challenge to the assignment of WCJ Rosen without prior notice to her.

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Cite This Page — Counsel Stack

Bluebook (online)
116 F. App'x 376, Counsel Stack Legal Research, https://law.counselstack.com/opinion/bass-v-butler-ca3-2004.