Equal Employment Opportunity Commission v. Exxon Corp.

202 F.3d 755, 5 Wage & Hour Cas.2d (BNA) 1541, 2000 A.M.C. 1567, 2000 U.S. App. LEXIS 1035
CourtCourt of Appeals for the Fifth Circuit
DecidedJanuary 28, 2000
Docket98-10712
StatusPublished
Cited by7 cases

This text of 202 F.3d 755 (Equal Employment Opportunity Commission v. Exxon Corp.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Equal Employment Opportunity Commission v. Exxon Corp., 202 F.3d 755, 5 Wage & Hour Cas.2d (BNA) 1541, 2000 A.M.C. 1567, 2000 U.S. App. LEXIS 1035 (5th Cir. 2000).

Opinion

PATRICK E. HIGGINBOTHAM, Circuit Judge:

Today we decide whether the Ethics in Government Act permits two former government attorneys to act as fact or expert witnesses for a private party in a suit brought by the government. On interlocutory appeal, we affirm the district court’s holding that the attorneys may testify in both capacities and may be compensated for expert testimony. We also conclude that their testimony need not be' disallowed under the District of Columbia’s Bar rules.

I

The EEOC alleges that Exxon’s substance abuse policy, which permanently bars employees who have undergone substance abuse treatment from holding certain safety-sensitive positions, violates the Americans with Disabilities Act. Two of Exxon’s defenses are relevant to this appeal. Exxon asserts the suit is improper because the government required the policy as a condition of settling criminal charges arising out of the 1989 Valdez oil spill. That earlier suit involved charges that Exxon’s failure to monitor an employee’s alcoholism had contributed to the accident. Exxon also contends that given this history, the ADA does not require it to accommodate employees with a history of substance abuse treatment in the designated positions.

To support these defenses, Exxon hired two former government attorneys to act as fact and expert witnesses. The attorneys, Richard Stewart and Stuart Gerson, were senior Department of Justice officials involved in the prosecution and settlement of the Valdez matter. In their expert witness disclosures, Stewart and Gerson proposed to testify about the events leading up to Exxon’s settlement with the government, as well as the potential legal consequences to Exxon if it abandoned its substance abuse policy and another accident occurred. Gerson, who worked on ADA issues during his government tenure, additionally proposed to testify about Exxon’s duty to reasonably accommodate the plaintiffs under the statute.

*757 The Department of Justice advised Stewart and Gerson that they could not testify under the Ethics in Government Act (“EIGA”), and they conditionally withdrew. Exxon filed a motion to allow their testimony. The magistrate judge recommended that the district court hold that Gerson and Stewart did not fall under the prohibitions of the EIGA and alternatively that even if they did, a court order permitting the testimony should issue as long as the testimony was limited to publicly-known information. The district court adopted that recommendation, and the Justice Department appealed as a non-party.

II

We first must decide whether we have jurisdiction of this interlocutory appeal under the collateral order doctrine. The collateral order doctrine is applicable where (1) the order conclusively determines the disputed question; (2) the issue is important and separate from the merits of the case; and (3) the order is effectively unreviewable on appeal from final judgment. See Puerto Rico Aqueduct & Sewer Auth. v. Metcalf & Eddy, Inc., 506 U.S. 139, 144-45, 113 S.Ct. 684, 121 L.Ed.2d 605 (1993).

We agree that this case satisfies the requisite elements for collateral order jurisdiction. The determination as to Ger-son’s and Stewart’s eligibility as experts is conclusive and collateral to the merits of the underlying litigation. DOJ may be unable to appeal the order if EEOC ultimately prevails on the merits.

III

The Ethics in Government Act permanently bars former Executive branch employees from making certain communications to a court or agency:

on behalf of any other person (except the United States or the District of Columbia) in connection with a particular matter—
(A) in which the United States or the District of Columbia is a party or has a direct and substantial interest....

18 U.S.C. § 207(a) (1999). Exxon argues that the statute is inapplicable because the events surrounding the Valdez litigation and the current ADA suit are not the same “particular matter.” The statute defines “particular matter” as including:

any investigation, application, request for a ruling or determination, rulemak-ing, contract, controversy, claim, charge, accusation, arrest, or judicial or other proceeding.

§ 207(i)(3). The Seventh Circuit has articulated a standard which requires the same specific parties, subject matter, and “substantially” overlapping facts. See United States v. Medico Indus., Inc., 784 F.2d 840, 843 (7th Cir.1986).

While there are many differences between the Valdez litigation as a whole and the current case, we find it more appropriate to compare the narrower issue of the Valdez settlement with this suit. Only the government’s requirements for settlement, not the entire litigation, are relevant to Exxon’s defenses here. The Valdez settlement and this suit do satisfy the statutory requirements. The settlement is a “contract,” a term included in the statutory definition. Both matters involve the federal government and Exxon, and each deals with Exxon’s substance abuse policy. Ger-son’s and Stewart’s testimony would have little value if the facts were not substantially overlapping.

That the two events qualify as the same matter, however, does not end our inquiry. To the extent the witnesses will testify as to facts and opinions regarding the Valdez settlement, the EIGA does not prohibit their conduct. The statute specifically creates an exception to § 207(a)(1) for testimony under oath. See § 207(j)(6). The government concedes that this testimony is not barred by the EIGA.

Some of the proposed testimony— regarding Exxon’s potential future liability and the ADA — would properly be characterized as expert testimony. This testimony is subject to the lifetime ban of *758 § 207(a)(1). Section 207(j) provides that the exception for testimony does not extend to serving as an expert witness. See § 207(j)(6)(A). The legislative history indicates that Congress specifically sought to include expert witnesses in the bar of § 207(a). See Sen. Rep. No. 95-170, at 48 (1978), reprinted in 1978 U.S.C.C.A.N. 4217, 4264.

The statute allows a former employee covered by § 207(a)(1) to serve as an expert witness only pursuant to court order. See § 207(j)(6). The statute is silent as to when an order may issue, but regulations issued by the Office of Government Ethics under the pre-1988 version of the EIGA provide some guidance. 1 The regulations carve out two exceptions allowing a former employee to testify as an expert. The first, relied upon by the district court, provides that the employee may serve as expert:

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Bluebook (online)
202 F.3d 755, 5 Wage & Hour Cas.2d (BNA) 1541, 2000 A.M.C. 1567, 2000 U.S. App. LEXIS 1035, Counsel Stack Legal Research, https://law.counselstack.com/opinion/equal-employment-opportunity-commission-v-exxon-corp-ca5-2000.