Lyons v. Pathak

158 F.3d 605
CourtCourt of Appeals for the First Circuit
DecidedOctober 26, 1998
Docket97-2109, 97-2248
StatusPublished
Cited by43 cases

This text of 158 F.3d 605 (Lyons v. Pathak) is published on Counsel Stack Legal Research, covering Court of Appeals for the First Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Lyons v. Pathak, 158 F.3d 605 (1st Cir. 1998).

Opinion

BOUDIN, Circuit Judge.

The United States and Dr. Nikhil Pathak, a federal employee, appeal from the striking of the U.S. Attorney’s certification that Dr. Pathak was acting within the scope of employment when he allegedly committed certain of the acts that form the basis for claims against him. The claims, made by Kathleen Lyons, effectively charged Dr. Pathak with sexual harassment. This appeal involves the interpretation and application of the Westfall Act, 28 U.S.C. § 2679(d).

The facts, as set forth below, either are undisputed or are drawn from the complaint (and thus represent allegations taken as true only for purpose of this appeal). From 1989 to 1995, Kathleen Lyons was a head nurse in the renal dialysis unit of the Veterans Administration hospital in Togus, Maine. Her supervisor was Dr. Nikhil Pathak. According to Lyons, Dr. Pathak made advances to her while she and the doctor were attending a nephrology conference in Chicago in June 1994.

Lyons says that when she spurned Dr. Pathak, he retaliated against her by (for example) not talking to her at work, challenging her laboratory test requests, and writing up a complaint against her. Lyons claims that Dr. Pathak also made harassing comments, suggested that the dialysis unit might be closed, withdrew the unit from a research study, and questioned a police officer about missing log books, apparently implying that Lyons was somehow responsible for them. Lyons also says that the doctor inappropriately pushed her during the Chicago trip and inappropriately hugged her at the hospital in Maine.

In August 1995, Lyons filed suit in the federal district court. Putting aside a civil rights conspiracy claim later dismissed, the complaint charged the Secretary of the Department of Veterans Affairs as an employer with violations of Title VII, 42 U.S.C. § 2000e et seq., and charged Dr. Pathak with state law claims for infliction of emotional distress, slander, and assault and battery. The federal and state claims were separated for purposes of trial, and Lyons prevailed in a jury trial on the Title VTI claims, obtaining a $375,000 judgment against the government; that judgment is apparently not yet final due to the continuing pendency of Lyons’ state-law claims against Dr. Pathak.

Under the Westfall Act, the Attorney General can certify that a federal employee named as a defendant in a civil case was “acting within the scope of his office or employment at the time of the incident” that serves as the basis for a tort claim against that employee. 28 U.S.C. § 2679(d)(1). If the certification stands, the defendant federal *607 employee is immune from suit on claims arising from certified conduct, and the United States is substituted as the defendant with regard to those claims. Id. §§ 2679(b)(1), (d)(1). The employee can also petition the court to order certification if the Attorney General has wrongly refused to certify. Id. § 2679(d)(3).

On March 19, 1997, the U.S. Attorney for the District of Maine 1 certified that Dr. Pat-hak was generally acting within the scope of employment “regarding the issues directly related to patient care, clinical judgment, and hospital procedures and operations,” including “allegations regarding critical values, physician’s orders, rounds, and quality assurance reports.” Specifically, the certificate identified 22 of 240 paragraphs of the complaint as comprising certified conduct; for example, the U.S. Attorney did not certify the alleged inappropriate hugging and pushing but did certify Dr. Pathak’s work complaint against Lyons, his challenges to her test requests, and his refusals to talk to her at the hospital.

Scope of employment certifications by the government are reviewable by the district court. See Gutierrez de Martinez v. Lamagno, 515 U.S. 417, 436-37, 115 S.Ct. 2227, 132 L.Ed.2d 375 (1995). In April 1997, Lyons moved to strike the government’s certificate and sought an evidentiary hearing. Dr. Pathak, who had earlier requested certification of all of his conduct, maintained that the government had not gone far enough in its certificate. The district court requested that all parties brief the issues and later heard oral argument.

On August 1,1997, the district court issued an order striking the scope certificate entirely, holding that the government could not pick and choose among the alleged acts in the complaint; rather the court said that the correct approach was to evaluate whether in “the totality of the circumstances, the conduct alleged in the Complaint occurred within the scope of ... employment.” Taking the complaint as a whole, the court said that sexual harassment amounting to assault and battery was clearly outside the scope of employment. This appeal followed, the government urging reinstatement of its original certificate and Dr. Pathak arguing that even more acts should have been certified.

At the threshold, Lyons says that the district court’s order striking the certificate is not yet reviewable. Lyons recognizes that denials of immunity in the district court are customarily subject to immediate interlocutory appeal, Behrens v. Pelletier, 516 U.S. 299, 116 S.Ct. 834, 133 L.Ed.2d 773 (1996), with an exception not here pertinent, Johnson v. Jones, 515 U.S. 304, 315-16, 115 S.Ct. 2151, 132 L.Ed.2d 238 (1995), under the collateral order doctrine of Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 69 S.Ct. 1221, 93 L.Ed. 1528 (1949). For this purpose, qualified immunity in federal civil rights actions and Westfall Act immunity are treated in the same fashion. See Taboas v. Mlynczak, 149 F.3d 576, 579 (7th Cir.1998).

Nevertheless, Lyons says that review now is premature because, even if the government’s certificate were reinstated, Dr. Pat-hak would still have to stand trial for the uncertified acts alleged in the complaint. Thus, the disruption and delay of an interlocutory appeal would be incurred not to rescue a defendant from discovery and trial but merely to limit the claims against him. Whatever force the argument might otherwise have, it was rejected by the Supreme Court in Behrens. There the Court said that an interlocutory appeal lay from a denial of immunity even if granting it would not resolve the entire case. See 516 U.S. at 311-13, 116 S.Ct. 834.

Turning to the merits, the first question is to determine the “unit” for which certification is appropriate under the West-fall Act. Where a single ease involves multiple claims, certification is properly done at least down to the level of individual claims and not for the entire ease viewed as a whole. This is evident from

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Bluebook (online)
158 F.3d 605, Counsel Stack Legal Research, https://law.counselstack.com/opinion/lyons-v-pathak-ca1-1998.