Kasten v. Saint-Gobain Performance Plastics Corp.
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Full Opinion
delivered the opinion of the Court.
The Fair Labor Standards Act of 1938 (Act) sets forth employment rules concerning minimum wages, maximum hours, and overtime pay. 52 Stat. 1060, 29 U. S. C. § 201 et seq. The Act contains an antiretaliation provision that forbids employers
âto discharge or in any other manner discriminate against any employee because such employee has filed any complaint or instituted or caused to be instituted any proceeding under or related to [the Act], or has testified or is about to testify in such proceeding, or has served or is about to serve on an industry committee.â § 215(a)(3) (emphasis added).
We must decide whether the statutory term âfiled any complaintâ includes oral as well as written complaints within its scope. We conclude that it does.
I
The petitioner, Kevin Kasten, brought this antiretaliation lawsuit against his former employer, Saint-Gobain Performance Plastics Corporation. Kasten says that Saint-Gobain located its timeclocks between the area where Kasten and
In particular, Kasten says that he repeatedly called the unlawful timeclock location to Saint-Gobainâs attention â in accordance with Saint-Gobainâs internal grievance-resolution procedure. See Brief for Petitioner 4 (quoting SaintGobainâs Code of Ethics and Business Conduct as imposing upon every employee âthe responsibility to report . . . suspected violations of . . . any applicable law of which he or she becomes awareâ); id., at 4-5 (quoting Saint-Gobainâs Employee Policy Handbook as instructing employees with âquestions, complaints, and problemsâ to â[c]ontactâ their âsupervisor^] immediatelyâ and if necessary âtake the issue to the next level of management,â then to the âlocal Human Resources Manager,â then to âHuman Resourcesâ personnel at the âRegionalâ or âHeadquartersâ level).
Kasten adds that he âraised a concernâ with his shift supervisor that âit was illegal for the time clocks to be where they wereâ because of Saint-Gobainâs exclusion of âthe time you come in and start doing stuffâ; he told a human resources employee that âif they were to get challenged onâ the location in court, âthey would loseâ; he told his lead operator that the location was illegal and that he âwas thinking about starting a lawsuit about the placement of the time clocksâ;
Saint-Gobain presents a different version of events. It denies that Kasten made any significant complaint about the timeelock location. And it says that it dismissed Kasten simply because Kasten, after being repeatedly warned, failed to record his comings and goings on the timeelock.
For present purposes we accept Kastenâs version of these contested events as valid. See Scott v. Harris, 550 U. S. 372, 380 (2007). That is because the District Court entered summary judgment in Saint-Gobainâs favor. 619 F. Supp. 2d 608, 610 (WD Wis. 2008). And it did so, not because it doubted Kastenâs ability to prove the facts he alleged, but because it thought the Act did not protect oral complaints. Id., at 611-613. On appeal, the Seventh Circuit agreed with the District Court that the Actâs antiretaliation provision does not cover oral complaints. 570 F. 3d 834, 838-840 (2009).
Kasten sought certiorari. And in light of conflict among the Circuits as to whether an oral complaint is protected, we granted Kastenâs petition. Compare Hagan v. Echostar Satellite, L. L. C., 529 F. 3d 617, 625-626 (CA5 2008) (antiretaliation provision covers oral complaints); Lambert v. Ackerley, 180 F. 3d 997, 1007 (CA9 1999) (en banc) (same), with Lambert v. Genesee Hospital, 10 F. 3d 46, 55-56 (CA2 1993) (antiretaliation provision does not cover informal complaints to supervisors). See also Pacheco v. Whiting Farms, Inc., 365 F. 3d 1199, 1206 (CA10 2004) (antiretaliation provision covers unofficial assertion of rights); EEOC v. White & Son Enterprises, 881 F. 2d 1006, 1011-1012 (CA11 1989) (same); Moore v. Freeman, 355 F. 3d 558, 562-563 (CA6 2004) (assuming without discussion that oral complaints are covered);
II
The sole question presented is whether âan oral complaint of a violation of the Fair Labor Standards Actâ is âprotected conduct under the [Actâs] anti-retaliation provision.â Pet. for Cert. i. The Act protects employees who have âfiled any complaint,â 29 U. S. C. § 215(a)(3), and interpretation of this phrase âdepends upon reading the whole statutory text, considering the purpose and context of the statute, and consulting any precedents or authorities that inform the analysis,â Dolan v. Postal Service, 546 U. S. 481, 486 (2006). This analysis leads us to conclude that the language of the provision, considered in isolation, may be open to competing interpretations. But considering the provision in conjunction with the purpose and context leads us to conclude that only one interpretation is permissible.
A
We begin with the text of the statute. The word âfiledâ has different relevant meanings in different contexts. Some dictionary definitions of the word contemplate a writing. See, e. g., Websterâs New International Dictionary 945 (2d ed. 1934) (def. 4(a)) (to file is to âdeliver (a paper or instrument) to the proper officer so that it is received by him to be kept on file, or among the records of his officeâ (emphasis added)); Websterâs Ninth New Collegiate Dictionary 462 (1983) (def. 2(a)) (one definition of âfileâ is âto place among official records as prescribed by lawâ).
But other dictionaries provide different definitions that permit the use of the word âfileâ in conjunction with oral material. One can, for example, file an oral statement that enters a matter âinto the order of business.â 1 Funk & Wagnalls New Standard Dictionary of the English Language 920 (rev. ed. 1938) (def. 2) (to file is to âpresent in the regular way, as to a judicial or legislative body, so that it shall go
In addition to the dictionary definitions, we have found that legislators, administrators, and judges have all sometimes used the word âfileâ in conjunction with oral statements. Thus state statutes sometimes contemplate oral filings. See, e. g., Alaska Stat. § 47.32.090(a) (2008) (âfile a verbal or written complaintâ); Cal. Health & Safety Code Ann. § 17055(a) (West 2006) (âfile an administrative complaint orally or in writingâ); D. C. Code § 7-1231.12(a)(2)(B) (2001) (âfiling his or her grievance, orally or in writingâ); Ga. Code Ann. §§31-8-124(a), (c), 31-8-134(b) (2009) (âto file a grievance,â a person may âsubmit an oral or written complaintâ); Ind. Code § 27-8-28-14(a) (2009) (âfile a grievance orally or in writingâ); Me. Rev. Stat. Ann., Tit. 34-B, §5604(3)(B) (2009) (âfiled through an oral requestâ); Miss. Code Ann. § 69-47-23(4) (2005) (âfile a written or oral complaintâ); Mo. Rev. Stat. § 198.088.3(3) (2009) (to have a complaint âfiled,â a person âshall write or cause to be written his grievance or shall state it orallyâ); Nev. Rev. Stat. §§618.336(2)(a), 618.341(l)(a) (2009) (âoral or written complaint filedâ); N. J. Stat. Ann. § 30:4C-12 (West 2008) (âwritten or oral complaint may be filedâ); N. Y. Ins. Law Ann. §§ 3217-a(a)(7), 4324(a)(7) (West 2006) (âfile a grievance orallyâ); N. Y. Pub. Health Law Ann. § 4408(l)(g) (West Supp. 2010) (âfile a grievance orallyâ); Pa. Stat. Ann., Tit. 40, §§991.2141(a)-(b) (Purdon 1999) (âfile a . . . written or oral complaintâ); Tex. Ins. Code Ann. §§ 1305.401(a)-(b) (West 2009) (âoral or written complaintâ must be âfile[d]â); Wash. Rev. Code §§90.64.030(3), (5) (2008)
Regulations promulgated by various federal agencies sometimes permit complaints to be filed orally. See, e. g., 32 CFR §842.20 (2010) (â[fjiling a claimâ may proceed âorally or in writingâ); 42 CFR § 422.564(d)(1) (2009) (âfile a grievance . . . either orally or in writingâ); § 423.564(d)(1) (same); §438.402(b)(3)(i) (âfile a grievance either orally or in writingâ); § 494.180(e) (âfile an oral or written grievanceâ); 49 CFR § 1503.629(c) (2009) (â[f]iling of motions .. . must be in writing or orally on the recordâ (emphasis deleted)); 42 CFR § 438.402(b)(3)(ii) (2009) (âfile an appeal either orally or in writingâ).
And a review of contemporaneous judicial usage, cf. Utah v. Evans, 536 U. S. 452, 475 (2002), shows that oral filings were a known phenomenon when the Act was passed. See, e. g., Reed Oil Co. v. Cain, 169 Ark. 309, 312, 275 S. W. 333, 334 (1925) (âappellee filed ... an oral complaintâ); Tingler v. Lahti, 87 W. Va. 499, 503, 105 S. E. 810, 812 (1921) (âcomplaint subsequently filed, either oral or writtenâ); Ex parte Mosgrove, 47 Okla. Crim. 40, 287 P. 795 (1930) (only âcomplaint ... filed against himâ was âoral complaint of the town marshalâ); Indian Fred v. State, 36 Ariz. 48, 52-53, 282 P. 930, 932 (1929) (âfiled an oral motion to quashâ); Dunn v. State, 60 Okla. Crim. 201, 203, 63 P. 2d 772, 773 (1936) (âfiled an oral demurrerâ); Morrison v. Lewis, 58 Ga. App. 677, 199 S. E. 782 (1938) (âfiled an oral motionâ demurring); Brock v. Cullum Bros., 263 S. W. 335 (Tex. Civ. App. 1924) (âfiled an oral motion to quashâ); Fike v. Allen, 269 S. W. 179, 180 (Tex. Civ. App. 1925) (âfiled oral pleadingsâ).
Filings may more often be made in writing. See, e.g., Ritter v. United States, 28 F. 2d 265, 267 (CA3 1928) (finding words âfile a claim'for refundâ to require a written request in context of Tax Code). But we are interested in the filing of âany complaint.â So even if the word âfilĂ©d,â considered alone, might suggest a narrow interpretation limited to writ
We can look further to other appearances of the word âfiledâ in the Act. See MCI Telecommunications Corp. v. American Telephone & Telegraph Co., 512 U. S. 218, 226 (1994) (examining âcontextual indicationsâ of the meaning of a term). That word (or a variant) appears in numerous other provisions. But its appearance elsewhere in the Act does not resolve the linguistic question before us. Some of those other provisions (1) involve filed material that, unlike a complaint, is of a kind that is virtually always in writing. See, e. g., 29 U. S. C. §203(Z) (employers must âhave on file an unexpired certificateâ (emphasis added)); § 210(a) (Secretary must âfile in the court the record of the industry committeeâ (emphasis added)); ibid, (industry committee must âfileâ its findings and recommendations). Others (2) specifically require a writing, see, e. g., § 214(c)(5)(A) (requiring employee's âconsent in writingâ to join collective action to be âfiledâ (emphasis added)); § 216(b) (same). And the remainder (3) leave the oral/written question unresolved â just as does the provision before us. See, e. g., § 210(b) (prohibiting a stay unless movant âfile[s] in court an undertakingâ (emphasis added)); § 214(c)(5)(A) (employee âmay file ... a petitionâ for review of a special wage rate (emphasis added)).
Looking beyond the Act, we find other statutes that contain antiretaliation provisions. Those statutes, however, use somewhat different language. See, e. g., § 158(a)(4) (protecting an employee who has âfiled charges or given testimonyâ); § 623(d) (protecting those who âopposed any [unlawful] practiceâ (emphasis added)); 42 U. S. C. §§2000e-3(a), 12203(a) (same); 29 U. S. C. § 2615(a)(2) (similar). See also, e.g., 15 U.S.C. § 2087(a)(1) (2006 ed., Supp. Ill) (âprovided ... to the employer . . . information relating to any viola
The bottom line is that the text, taken alone, cannot provide a conclusive answer to our interpretive question. The phrase âfiled any complaintâ might, or might not, encompass oral complaints. We must look further.
B
1
Several functional considerations indicate that Congress intended the antiretaliation provision to eover oral, as well as written, âcomplaint[s].â First, an interpretation that limited the provisionâs coverage to written complaints would undermine the Actâs basic objectives. The Act seeks to prohibit âlabor conditions detrimental to the maintenance of the minimum standard of living necessary for health, efficiency, and general well-being of workers.â 29 U. S. C. § 202(a). It does so in part by setting forth substantive wage, hour, and overtime standards. It relies for enforcement of these standards, not upon âcontinuing detailed federal supervision or inspection of payrolls,â but upon âinformation and complaints received from employees seeking to vindicate rights claimed to have been denied.â Mitchell v. Robert DeMario
Why would Congress want to limit the enforcement schemeâs effectiveness by inhibiting use of the Actâs complaint procedure by those who would find it 'difficult to reduce their complaints to writing, particularly illiterate, less educated, or overworked workers? President Franklin Roosevelt pointed out at the time that these were the workers most in need of the Actâs help. See Message to Congress, May 24,1937, H. R. Doc. No. 255, 75th Cong, 1st Sess., 4 (seeking a bill to help the poorest of âthose who toil in factoryâ).
In the years prior to the passage of the Act, illiteracy rates were particularly high among the poor. See E. Gordon & E. Gordon, Literacy in America 273 (2003) (one-quarter of World War I conscripts were illiterate); Dept, of Commerce, Bureau of Census, Sixteenth Census of the United States, 1940, Population: The Labor Force (Sample Statistics): Occupational Characteristics 60 (1943) (20.8% of manufacturing laborers in 1940 had less than five years of schooling). Those rates remained high in certain industries for many years after the Actâs passage. In 1948, for example, the National War Labor Board wrote:
âIn many plants where there is a high degree of illiteracy, the writing of grievances by employees works a substantial hardship. In other plants where there is considerable dirt and special clothes must be worn, it is often not practicable to write up grievances during work hours.â 1 The Termination Report of the National War Labor Board, p. 122.
To limit the scope of the antiretaliation provision to the filing of written complaints would also take needed flexibility from those charged with the Actâs enforcement. It could
Given the need for effective enforcement of the National Labor Relations Act (NLRA), this Court has broadly interpreted the language of the NLRAâs antiretaliation provision â âfiled charges or given testimony,â 29 U. S. C. § 158(a)(4) â as protecting workers who neither filed charges nor were âcalled formally to testifyâ but simply âparticipate[d] in a [National Labor Relations] Board investigation.â NLRB v. Scrivener, 405 U. S. 117, 123 (1972) (emphasis added). The similar enforcement needs of this related statute argue for an interpretation of the word âcomplaintâ that would provide âbroad rather than narrow protection to the employee,â id., at 122 (and would do so here without pressing statutory language to its limit). See also Tennessee Coal, Iron & R. Co. v. Muscoda Local No. 123, 321 U. S. 590, 597 (1944) (the Actâs âremedial and humanitarian . . . purposeâ cautions against ânarrow, grudgingâ interpretations of its language).
Saint-Gobain replies that worker protection is not the only relevant statutory objective. The Act also seeks to establish an enforcement system that is fair to employers. To do so, the employer must have fair notice that an employee is making a complaint that could subject the employer to a later claim of retaliation. If oral complaints suffice, Saint-Gobain adds, employers too often will be left in a state of uncer
We agree with Saint-Gobain that the statute requires fair notice. Although the dictionary definitions, statutes, regulations, and judicial opinions we considered, see supra, at 7-10, do not distinguish between writings and oral statements, they do suggest that a âfilingâ is a serious occasion, rather than a triviality. As such, the phrase âfiled any complaintâ contemplates some degree of formality, certainly to the point where the recipient has been given fair notice that a grievance has been lodged and does, or should, reasonably understand the matter as part of its business concerns.
Moreover, the statute prohibits employers from discriminating against an employee âbecause such employee has filed any complaint.â §215(a)(3) (emphasis added). And it is difficult to see how an employer who does not (or should not) know an employee has made a complaint could discriminate because of that complaint. But we also believe that a fair notice requirement does not necessarily mean that notice must be in writing.
At oral argument, the Government said that a complaint is âfiledâ when âa reasonable, objective person would have understood the employeeâ to have âput the employer on notice that [the] employee is asserting statutory rights under the [Act].â Tr. of Oral Arg. 23, 26. We agree. To fall within the scope of the antiretaliation provision, a complaint must be sufficiently clear and detailed for a reasonable employer to understand it, in light of both content and context, as an assertion of rights protected by the statute and a call for thĂ©ir protection. This standard can be met, however, by oral complaints, as well as by written ones.
2
Second, given Congressâ delegation of enforcement powers to federal administrative agencies, we also give a degree of
The Secretary of Labor has consistently held the view that the words âfiled any complaintâ cover oral,, as well as written, complaints. The Department of Labor articulated that view in an enforcement action filed many years ago, Goldberg v. Zenger, 43 CCH LC ¶ 31,155, pp. 40,985, 40,986 (D Utah 1961). It has subsequently reaffirmed that view in briefs. See, e. g., Brief for Secretary of Labor as Amicus Curiae Supporting Petition for Rehearing With Suggestion for Rehearing En Banc in Lambert v. Ackerley, No. 96-36017 etc. (CA9), pp. 6-7. And more recently it has acted in accordance with that view by creating a hotline to receive oral complaints, see Dept, of Labor, Compliance Assistance by Lawâ The Fair Labor Standards Act (FLSA), http://www.dol.gov/ compliance/laws/comp-flsa.htm (as visited Mar. 18, 2011, and available in Clerk of Courtâs case file) (directing participants who wish to âfile a complaintâ to contact a local office âor call the Departmentâs Toll-Free Wage and Hour Help Line at 1-866-4-U S-WAGE â).
The EEOC has set forth a similar view in its Compliance Manual, Vol. 2, § 8-II(B)(l), p. 8-3, and n. 12 (1998), and in multiple briefs, see, e. g., Brief for EEOC as Amicus Curiae in Support of Petition for Rehearing With Suggestion for Rehearing En Banc in Lambert v. Ackerley, No. 96-36017 etc. (CA9), pp. 8-13; Brief for Appellee in EEOC v. White & Son Enterprises, Inc., No. 88-7658 (CA11), pp. 29-30.
These agency views are reasonable. They are consistent with the Act. The length of time the agencies have held
3
Finally, we note that Saint-Gobain invokes the ârule of lenityâ in support of its âwritten complaintâ interpretation. That rule applies primarily to the interpretation of criminal statutes. It leads us to favor a more lenient interpretation of a criminal statute âwhen, after consulting traditional canons of statutory construction, we are left with an ambiguous statute.â United States v. Shabani, 513 U. S. 10, 17 (1994). We agree with Saint-Gobain that those who violate the anti-retaliation provision before us are subject to criminal sanction, 29 U. S. C. § 216(a). And we have said that the rule of lenity can apply when a statute with criminal sanctions is applied in a noncriminal context. See Leocal v. Ashcroft, 543 U. S. 1, 11, n. 8 (2004). But after engaging in traditional methods of statutory interpretation, we cannot find that the statute remains sufficiently ambiguous to warrant application of the rule of lenity here.
C
Alternatively, Saint-Gobain claims that it should prevail because Kasten complained to a private employer, not to the Government; and, in Saint-Gobainâs view, the antiretaliation provision applies only to complaints filed with the Government. Saint-Gobain advanced this claim in the lower courts,
We do not normally consider a separate legal question not raised in the certiorari briefs. See this Courtâs Rule 15.2; Caterpillar Inc. v. Lewis, 519 U. S. 61, 75, n. 13 (1996). We see no reason to make an exception here. Resolution of the Government/private employer question is not a â â âpredicate to an intelligent resolutionâââ of the oral/written question that we granted certiorari to decide. See ibid, (quoting Ohio v. Robinette, 519 U. S. 33, 38 (1996)). That is to say, we can decide the oral/written question separately â on its own. And we have done so. Thus, we state no view on the merits of Saint-Gobainâs alternative claim. Cf. post, at 18-21 (Scalia, J., dissenting).
* * *
We conclude that the Seventh Circuit erred in determining that oral complaints cannot fall within the scope of the phrase âfiled any complaintâ in the Actâs antiretaliation provision. We leave it to the lower courts to decide whether Kasten will be able to satisfy the Actâs notice requirement. We vacate the Circuitâs judgment and remand the case for further proceedings consistent with this opinion.
It is so ordered.