OCTOBER TERM, 1996
Syllabus
INGALLS SHIPBUILDING, INC., ET AL.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS, DEPARTMENT
OF LABOR, ET AL.
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIFTH
CIRCUIT
No.95-1081. Argued November 12, 1996-Decided February 18,
1997
While working for petitioner Ingalls as a shipfitter, Jefferson
Yates was exposed to asbestos. After he was diagnosed as suffering
from asbestosis and related conditions, he filed a claim for
disability benefits under the Longshore and Harbor Workers'
Compensation Act (LHWCA or Act). Ingalls admitted compensability
and eventually settled with Mr. Yates, who, in the meantime, had
sued the manufacturers and suppliers of the asbestos products that
were allegedly present in his workplace when he contracted
asbestosis. Before his death, he settled with some of these
defendants, each of whom required releases from respondent Yates,
Mr. Yates' wife, even though she was not a party to the litigation.
None of these pre death settlements was approved by Ingalls. After
Mr. Yates' death, Mrs. Yates filed a claim for death benefits under
the Act. Ingalls contested the claim under Act § 33(g)(1), which
states: "If the person entitled to compensation ... enters into a
settlement with a third person ... for an amount less than the
compensation to which the person ... would be entitled under this
[Act], the employer shall be liable for compensation ... only if
written approval of the settlement is obtained from the employer
... before the settlement is executed." The Administrative Law
Judge (ALJ) ruled for Mrs. Yates, and the Benefits Review Board
(Board) affirmed, holding that, at the time she executed the pre
death settlements, she was not a "person entitled to compensation"
under § 33(g)(1) because her husband still lived, and, therefore,
her right to death benefits had not yet vested. The Fifth Circuit
agreed and affirmed. The court also rejected Ingalls' argument that
the Director, Office of Workers' Compensation Programs (OWCP),
lacked standing to participate as a respondent in the appeal of a
Board decision.
Held:
1. Before an injured worker's death, the worker's spouse is not
a "person entitled to compensation" for death benefits within §
33(g)'s
249
meaning, and does not forfeit the right to collect death
benefits under the Act for failure to obtain the worker's
employer's approval of settlements entered into before the worker's
death. Section 33(g)(1)'s plain language reveals two salient
points. First, the use of the present tense (i.
e.,
"enters") indicates that the "person entitled to compensation" must
be so entitled at the time of settlement.
Estate of Cowart
v.
Nicklos Drilling Co., 505 U. S. 469, 475.
Second, the ordinary meaning of the word "entitle" indicates that
the "person entitled to compensation" must at the very least be
qualified to receive compensation.
Id., at 477. Thus, the
relevant inquiry in this case is whether Mrs. Yates satisfied the
prerequisites for obtaining death benefits under the Act at the
time she signed the releases contained in the predeath settlements.
Taken together, § 9 of the Act, which governs the distribution of
death benefits, and § 2, which contains relevant definitions,
indicate that a surviving spouse qualifies for death benefits only
if: (i) the survivor's deceased worker-spouse dies from a
work-related injury; (ii) the survivor is married to the
worker-spouse at the time of death; and (iii) the survivor is
either living with the worker-spouse, dependent upon the
worker-spouse, or living apart from the worker-spouse because of
desertion or other justifiable cause at the time of death. It is
impossible to ascertain whether these prerequisites have been met
at any time prior to the death of the injured worker. The Court
therefore rejects the argument that a person seeking death benefits
under the Act can satisfy the prerequisites for those benefits at
any earlier time--e. g., when the worker is initially injured or
when the worker enters into a pre death settlement. Because Mrs.
Yates' husband was alive at the time she signed the releases, she
was not a "person entitled to compensation" at that time and was
therefore not obligated to seek Ingalls' approval to preserve her
entitlement to statutory death benefits. Ingalls' arguments to the
contrary-that § 33(g)(1) effectively brings any person who "would
be entitled" to compensation within its purview, and that strict
adherence to the section's plain language is at odds with the Act's
underlying policy of avoiding double recovery-are unpersuasive.
Pp.255-262.
2. Although the Act itself does not speak to the issue, the
right to appear as a respondent before the courts of appeals is
conferred upon the Director, OWCP, by Federal Rule of Appellate
Procedure 15(a), which, in pertinent part, states: "Review of an
order of an administrative ... board ... must be obtained by filing
with the clerk of a court of appeals ... [the appropriate form]
....
In each case, the agency must be named respondent."
(Emphasis added.) The Court declines to adopt the narrower reading
of Rule 15(a) set forth in
Parker v.
Director,
250
250 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
Syllabus
OWCp, 75 F.3d
929, 934
(CA4), and
McCord v.
Benefits Review
Board, 514 F.2d
198, 200 (CADC). Where a single overarching agency has two
subagencies that wear the hats of, respectively, litigator/enforcer
and adjudicator, the "agency" that must be named as a respondent
under Rule 15(a) is the overarching agency, which is free to
designate its enforcer/litigator as its voice before the courts of
appeals. It is not necessary that the overarching agency have
absolute veto power over the decisions of its adjudicator, so long
as it has substantial control over those decisions. By statute and
regulation, the LHWCA adjudicative and enforcement/litigation
functions of the Department of Labor are divided between the ALJ's
and the Board on the one hand, and the Director on the other, and
the Secretary of Labor has named the Director as the Department's
designated litigant in the courts of appeals. The Department is
thus the "agency" for Rule 15(a) purposes, and the Court concludes
that the Director may be named as a respondent in the courts of
appeals. Although the Director does not always have the right to
appeal as a petitioner to those courts,
Director, Office of
Workers' Compensation Programs v.
Newport News
Shipbuilding &
Dry Dock Co., 514 U. S. 122, 135-136,
this does not result in a "lopsided" representation scheme whereby
the Director can appear only in defense of the Board's decisions.
The Director, even as a respondent, is free to argue on behalf of
the petitioner, see
Director, Office of Workers' Compensation
Programs v.
Perini North River Associates, 459 U. S. 297,301, and to
challenge the Board's decision. Pp.262-270.
65 F.3d
460, affirmed.
O'CONNOR, J., delivered the opinion for a unanimous Court with
respect to Parts I and II, and the opinion of the Court with
respect to Part III, in which REHNQUIST, C. J., and STEVENS,
KENNEDY, SOUTER, GINSBURG, and BREYER, JJ., joined. SCALIA, J.,
filed an opinion concurring in part and dissenting in part, in
which THOMAS, J., joined,
post, p. 270.
Richard P. Salloum argued the cause for petitioners.
With him on the briefs were Paul B. Howell, William J. Powers,
Jr., and George M. Simmerman, Jr.
Beth S. Brinkmann argued the cause for the federal respondent.
On the brief were Acting Solicitor General Dellinger, Deputy
Solicitor General Kneedler, J. Davitt McAteer, Allen H. Feldman,
and Edward D. Sieger.
251
Wynn E. Clark argued the cause for respondent Yates.
With him on the brief was
Ransom P. Jones III. *
JUSTICE O'CONNOR delivered the opinion of the Court. Section 33
of the Longshore and Harbor Workers' Compensation Act (LHWCA or
Act), 44 Stat. 1424, as amended, 33 U. S. C. § 933, gives the
"person entitled to compensation" two avenues of recovery: Such a
person may seek to recover damages from the third parties
ultimately at fault for any injuries and still recover compensation
under the Act from the covered worker's employer as long as the
worker's employer gives its approval before the person settles with
any of the third party tortfeasors. The question we decide today is
whether an injured worker's spouse, who may be eligible to receive
death benefits under the Act after the worker dies, is a "person
entitled to compensation" when the spouse enters into a settlement
agreement with a third party before the worker's death. We also
consider whether the Director of the Office of Workers'
Compensation Programs (OWCP) is a proper respondent in proceedings
before the courts of appeals.
I
Jefferson Yates worked for Ingalls as a shipfitter at its
Pascagoula shipyards in Mississippi between 1953 and 1967 and was
exposed to asbestos in his workplace during this time. In March
1981, Mr. Yates was diagnosed as suffering from asbestosis, chronic
bronchitis, and possible malignancy in his lungs. Less than a month
later, he filed a claim for disability benefits under § 8 of the
LHWCA, 33 U. S. C. § 908, asserting that his present condition
resulted from his expo-
*Briefs of
amici curiae urging reversal were filed for
Bethlehem Steel Corp. by
Robert E. Babcock; and for the
National Association of Waterfront Employers et al. by
Charles
T. Carroll, Jr., Thomas D. Wilcox, and
Franklin W
Losey.
Victoria Edises and
Anne Michelle Burr filed a
brief for the Asbestos Victims of America as
amicus curiae
urging affirmance.
252
252 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
sure to asbestos while employed by Ingalls. Ingalls admitted the
compensability of this claim and eventually entered into a formal
settlement with Mr. Yates in satisfaction of its liability under
the Act.
Mr. Yates, in the meantime, filed a lawsuit in Federal District
Court against the 23 manufacturers and suppliers of asbestos whose
products were allegedly present at the Pascagoula shipyards during
the period in which Mr. Yates contracted asbestosis. Before his
death in 1986, Mr. Yates entered into settlement agreements with 8
of the 23 defendants (predeath settlements). Each defendant
required Maggie Yates, Mr. Yates' wife, to join in the settlement
and to release her present right to sue for loss of consortium,
even though she was not a party to the litigation. Six of the eight
defendants also required Mrs. Yates to release any cause of action
for wrongful death that might accrue to her after her husband died.
None of the third party settlements was approved by Ingalls.
After her husband's death, which the parties have stipulated
resulted from asbestos exposure that occurred "in the course and
scope of [his] employment," App. to Pet. for Cert. A-59, Mrs. Yates
filed a claim for death benefits as Mr. Yates' widow under § 9 of
the Act, 33 U. S. C. § 909. Ingalls contested the claim on the
ground that Mrs. Yates had been a "person entitled to compensation"
under the Act when she entered into the predeath settlements.
Ingalls argued that by failing to obtain its approval of those
settlements she forfeited, under § 33(g)(1), her eligibility for
death benefits. In response, Mrs. Yates argued that she was not a
"person entitled to compensation" when she entered into those
settlement agreements because her husband was still alive at that
time. The deputy commissioner referred the matter to an
Administrative Law Judge (ALJ).
The ALJ ruled in favor of Mrs. Yates.
Yates v.
Ingalls
Shipbuilding, Inc., 26 BRBS 174 (1992). The ALJ recognized that
Mrs. Yates was no more than a
"potential widow"
253
when she entered into the settlement agreements. App. to Pet.
for Cert. A-67. Reasoning that the prerequisites for the recovery
of death benefits could not be established prior to the worker's
death, he found that the "spouse of an injured employee has no
cause of action [under the Act] until the injured employee dies
from his work-related injury."
Id., at A-68. Because Mrs.
Yates had no cause of action for death benefits prior to her
husband's death, the ALJ concluded that she was not a "person
entitled to compensation" obligated to seek the employer's approval
of any settlements signed at that time.
Ingalls appealed to the Benefits Review Board.
Yates
v.
Ingalls Shipbuilding, Inc., 28 BRBS 137 (1994). The
Director, OWCP, appeared as a respondent in support of Mrs. Yates.
The Board affirmed, largely in reliance upon our decision in
Estate of Cowart v.
Nicklos Drilling Co., 505 U. S. 469 (1992), in
which we held that an injured worker was a "person entitled to
compensation" for the purpose of disability benefits under § 8 of
the Act at "the moment his right to recovery vested," id., at 477,
which in that case was when the worker suffered his permanent
injury. The Board reasoned that
Cowart's "vesting" rationale
applied to death as well as disability benefits, and observed that
Mrs. Yates' "right to death benefits under the Act could not have
vested
before she became a widow." App. to Pet. for Cert.
A-35 (emphasis in original). Although it might appear at the time
of settlement that Mrs. Yates would likely become a "person
entitled to compensation" under the Act, before her husband's death
anyone of several events might occur that would prevent her from
recovering any death benefits under the Act-she might predecease
her husband, she might divorce her husband, or her husband might
die from causes independent of his work-related injury. For these
reasons, the Board held that Mrs. Yates was not a "person entitled
to compensation" at the time she entered into the predeath
settlements, but acknowledged that its ruling was at odds
254
254 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
with the decision of the Court of Appeals for the Ninth Circuit
in
Cretan v.
Bethlehem Steel Corp., 1 F.3d
843 (1993), cert. denied, 512 U. S. 1219 (1994).
Ingalls again appealed, this time to the Court of Appeals for
the Fifth Circuit.
65 F.3d
460 (1995). Although Ingalls renewed its § 33(g) argument, the
Court of Appeals rejected it for the reasons advanced by the Board.
Ingalls also moved to strike the brief of the Director and to
disallow the Director's further participation in the appeal on the
ground that the Director lacked standing. The Court of Appeals
dismissed this argument in a footnote, citing its prior decision in
Ingalls Shipbuilding Div., Litton Systems, Inc. v.
White, 681 F.2d
275, 280-284 (CA5 1982), overruled on other grounds,
Newpark
Shipbuilding &
Repair, Inc. v.
Roundtree,
723 F.2d
399, 406-407 (CA5) (en bane), cert. denied, 469 U. S. 818
(1984), in which the court held that "the Director has standing to
participate as a respondent in the appeal of a [Benefits Review
Board] decision [before the Court of Appeals]." 65 F. 3d, at 463,
n. 2. The court distinguished our decision in
Director, Office
of Workers' Compensation Programs v.
Newport News
Shipbuilding &
Dry Dock Co., 514 U. S. 122 (1995), as
relevant only to the question of the Director's standing as a
petitioner to the Court of Appeals, and not as a respondent.
The Courts of Appeals are in disagreement over both questions
addressed. The Courts of Appeals for the Fifth and Ninth Circuits
are divided on the meaning of the phrase "person entitled to
compensation." Compare 65 F. 3d, at 464 (potential widow is not a
"person entitled to compensation"), with
Cretan, supra, at
847 (potential widow is a "person entitled to compensation"). The
Courts of Appeals for the Fourth, Fifth, and Ninth Circuits, and
for the District of Columbia, are split over whether the Director
may participate in proceedings before the Courts of Appeals as a
respondent. Compare
Parker v.
Director, OWCp,
75 F.3d
929, 935 (CA4 1996) (Director may not appear), cert. denied,
post, p. 812,
255
with
Shahady v.
Atlas Tile &
Marble
Co., 673 F.2d
479, 483-484 (CADC 1982) (Director is a proper respondent as a
person "adversely affected or aggrieved" by the decision below);
Goldsmith v.
Director, OWCp, 838
F.2d 1079, 1080 (CA9 1988) (same);
White, supra, at
281-282 (Director may appear pursuant to Federal Rule of Appellate
Procedure 15(a)).
We granted certiorari to resolve these splits, 517 U. S. 1186
(1996).
II
We begin our inquiry into the meaning of the phrase "person
entitled to compensation" in § 33(g), as we must, with an
examination of the language of the statute.
Moskal v.
United States, 498 U. S. 103, 108 (1990)
("In determining the scope of a statute, we look first to its
language, giving the words used their ordinary meaning") (citations
and internal quotation marks omitted). Section 33(g)(1) states in
pertinent part:
"If the person entitled to compensation ... enters into a
settlement with a third person ... for an amount less than the
compensation to which the person ... would be entitled under this
chapter, the employer shall be liable for compensation as
determined under subsection (f) of this section only if written
approval of the settlement is obtained from the employer and the
employer's carrier, before the settlement is executed, and by the
person entitled to compensation .... " 33 U. S. C. § 933(g)(1)
(emphasis added).
The plain language of this subsection reveals two salient
points. First, the use of the present tense (i.
e.,
"enters") indicates that the "person entitled to compensation" must
be so entitled at the time of settlement. Second, the ordinary
meaning of the word "entitle" indicates that the "person entitled
to compensation" must at the very least be qualified to receive
compensation. Black's Law Dictionary 532 (6th ed.
256
256 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
1990) (defining "entitle" as "To qualify for; to furnish with
proper grounds for seeking or claiming").
We reached the same conclusion in
Estate of Cowart v.
Nicklos Drilling Co., 505 U. S. 469 (1992).
There, Cowart, an injured worker, settled with a third party
without obtaining the consent of his employer or his employer's
insurance carrier. Cowart thereafter filed a claim for disability
benefits under the Act, which his employer contested. The employer
argued that Cowart had been a "person entitled to compensation"
under the Act at the time of his settlement, and that his failure
to obtain his employer's approval of the settlement barred any
further recovery of benefits under the Act. In response, Cowart
asserted that he had not been a "person entitled to compensation"
when he entered into the settlement because that phrase referred
only "to injured workers who are either already receiving
compensation payments from their employer, or in whose favor an
award of compensation has been entered."
Id., at 475.
The Court held that Cowart was barred by § 33(g) from receiving
further compensation under the Act. We recognized that the relevant
time for examining whether a person is "entitled to compensation"
is the time of settlement.
Ibid. ("The question is whether
Cowart, at the time of ... settlement, was a 'person entitled to
compensation' under the terms of § 33(g)(1) of the LHWCA"). We then
addressed the definition of the term "person entitled to
compensation." We said:
"Both in legal and general usage, the normal meaning of
entitlement includes a right or benefit for which a person
qualifies, and it does not depend upon whether the right has been
acknowledged or adjudicated. It means only that the person
satisfies the prerequisites attached to the right." Id., at
477.
We concluded that Cowart had satisfied the prerequisites for
obtaining the permanent disability benefits at issue in that
257
case when he was injured, so that he was a "person entitled to
compensation" and required to obtain his employer's approval at the
time he entered into the settlement agreement.
Ibid.
With
Cowart and the plain language of § 33(g) in mind,
the relevant inquiry in this case is whether Mrs. Yates satisfied
the prerequisites for obtaining death benefits under the Act at the
time she signed the releases contained in the predeath settlements.
Section 9 of the Act, 33 U. S. C. § 909(b), governs the
distribution of death benefits, and provides that a "widow or
widower" is entitled to such benefits "[i]f the [employee's] injury
causes death." See also § 902(11) (defining "death" as a basis for
a right to compensation as "death resulting from an injury"); §
902(2) (defining "injury" as "accidental injury or death arising
out of and in the course of employment"). The Act defines a "widow
or widower" as "the decedent's wife or husband living with or
dependent for support upon him or her at the time of his or her
death; or living apart for justifiable cause or by reason of his or
her desertion at such time." § 902(16).
Taken together, these statutes indicate that a surviving spouse
qualifies for death benefits only if: (i) the survivor's deceased
worker-spouse dies from a work-related injury; (ii) the survivor is
married to the worker-spouse at the time of the worker-spouse's
death; and (iii) the survivor is either living with the
worker-spouse, dependent upon the workerspouse, or living apart
from the worker-spouse because of desertion or other justifiable
cause at the time of the worker-spouse's death. Cf.
Thompson
v.
Lawson, 347
U. S. 334, 336 (1954) (looking to status of spouse at time of
death to determine whether spouse is a "widow" or "widower" for
purposes of LHWCA). It is impossible to ascertain whether these
prerequisites have been met at any time prior to the death of the
injured worker. Accord,
Cortner v.
Chevron Int'l Oil
Co., 22 BRBS 218, 220 (1989) ("It is not until death occurs that
the right to benefits arises and the potential ben-
258
258 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
eficiaries are identified"); 51 Fed. Reg. 4270, 4276 (1986)
("Since a claim for survivor benefits does not arise until the
employee's death, there is no claim [against the employer] that can
be settled [before then]"). We therefore reject the argument that a
person seeking death benefits under the Act can satisfy the
prerequisites for those benefits at any earlier time-e. g., when
the worker is initially injured or when the worker enters into a
predeath settlement. See also 20 CFR § 702.241(g) (1996) (no one
can enter a settlement agreement with the employer regarding death
benefits before the worker dies). Because Mrs. Yates' husband was
alive at the time she released her potential wrongful death
actions, she was not a "person entitled to compensation" at that
time and was therefore not obligated to seek Ingalls' approval to
preserve her entitlement to statutory death benefits.
Ingalls contends that the plain language of § 33(g)(1) mandates
a contrary conclusion. Ingalls' analysis focuses on the presence of
the phrase "would be entitled":
"If the person entitled to compensation ... enters into a
settlement with a third person ... for an amount less than the
compensation to which the person ... would be entitled under
this [Act], the employer shall be liable [only if approval is
obtained]." 33 U. S. C. § 933(g)(1) (emphasis added).
Because this subsection examines the compensation to which the
person "would be entitled" under the Act, argues Ingalls, it
"encompasses a broad forward looking concept" that effectively
brings any "person who would be entitled to compensation" within
its purview. Brief for Petitioners 15. As support, Ingalls draws
upon the decision of the Ninth Circuit Court of Appeals in
Cretan v.
Bethlehem Steel Corp., 1 F.3d
843 (1993). On facts almost identical to those presented here,
the Court of Appeals held that the injured worker's spouse was a
"person entitled to compensation" for death benefits prior to her
husband's death. The court found "lit-
259
tIe sense in a distinction that turns on whether the death for
which settlement is made has yet to occur."
Id., at 847.
Ingalls essentially takes issue with our conclusion that the
proper time to evaluate whether a person is "entitled to
compensation" is the time of settlement. Ingalls' position is at
odds with our precedent, see
Cowart, 505 U. S., at 475, and
with the plain language of this statute,
supra, at 255. The
phrase "would be entitled" in subsection (g)(l) simply frames the
inquiry into whether the approval requirement applies at all. If
the person entitled to compensation enters into a settlement for an
amount less than that to which the person "would be entitled" under
the Act, then the employer's approval must be obtained. If the
settlement is for an amount greater than or equal to the amount to
which the person "would be entitled," then the employer's approval
need not be obtained. 505 U. S., at 482. Ingalls' reading would
assign an additional and unnecessary purpose to the phrase. Under
Ingalls' suggested reading, a worker's spouse who signs a predeath
settlement is considered a "person entitled to compensation" even
though, in the time between the settlement and the worker's death,
the worker's spouse might become ineligible for those death
benefits (e. g., by predeceasing or divorcing the worker). In this
context, the worker's spouse would not actually be entitled to
death benefits, but would nonetheless be considered the "person
entitled" to such benefits. This reading cannot be supported by the
statutory language.
Ingalls also contends that we should depart from a plain reading
of the statutory language because strict adherence to it is at odds
with the policies underlying the Act. More specifically, Ingalls
avers that our reading of § 33(g) will effectively abrogate the
employer's right to offset its liability for death benefits by any
amounts received by the surviving spouse in predeath settlements.
Section 33(f) allows an employer to reduce its compensation
obligations under the Act by the net amount of damages that the
"person entitled
260
260 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
to compensation" recovers from third parties. 33 U. S. C. §
933(f) ("If the person entitled to compensation institutes
proceedings ... the employer shall be required to pay as
compensation under this chapter a sum equal to the excess of the
amount which the Secretary determines is payable on account of such
injury or death over the net amount recovered against such third
person"). If, as Ingalls asserts, the phrase "person entitled to
compensation" means the same thing under § 33(f) as it does under §
33(g), see
Cowart, supra, at 479, then our holding today
means that an employer would not be permitted to reduce the
spouse's death benefits by any amounts the spouse receives from
predeath settlements. Such a spouse would be able to recover once
from the third party and again from the worker's employer under the
Act after the worker's death. In effect, a spouse in this
situation-unlike a spouse who entered into settlements the day
after the worker dies-would receive double recovery for her
injuries. This double recovery, Ingalls contends, contravenes one
of the central tenets of the Act set forth in § 3(e), 33 U. S. C. §
903(e), of the Act: "[A]ny amounts paid to an employee for the same
injury, disability, or death for which benefits are claimed under
this chapter pursuant to any other workers' compensation law or
section 688 of title 46, Appendix (relating to recovery for injury
to or death of seamen), shall be credited against any liability
imposed by this chapter." See also
Cowart, supra, at 483
(noting that the Act "ensures against fraudulent double recovery by
the employee"); 2A A. Larson, Workers' Compensation Law § 71.21
(1996) ("[T]he policy of avoiding double recovery is a strong one
... "). In Ingalls' view, our reading of the statute gives a
"potential widow ... greater benefits and protections than that
afforded to covered employees who settle their third party claims."
Brief for Petitioners 22-23.
This entire argument, however, presupposes that the definition
we today give to "person entitled to compensation" under § 33(g)
applies without qualification to § 33(f) as well.
261
This is a question we have yet to decide, and is one we leave
for another day. If, for the sake of argument, we assumed that
Ingalls' proposition were correct, our conclusion on the question
presented in this case would not change. We agree that the Act
generally reflects a policy of avoiding double recovery. See 33 U.
S. C. § 903(e). But § 903(e) is of fairly recent vintage, Pub. L.
98-426, 98 Stat. 1640;
E. P. Paup Co. v.
Director,
OWCp, 999 F.2d
1341, 1350 (CA9 1993) ("Prior to [enactment of] section 903(e),
the credit doctrine allowed offset of benefits against LHWCA awards
only ifprior benefits were awarded under the LHWCA")
(emphasis added), and its reach is not all inclusive. See,
e.
g., Todd Shipyards Corp. v.
Director, OWCp, 848 F.2d
125 (CA9 1998) (allowing double recovery of veterans disability
benefits and LHWCA benefits);
Brown v.
Forest Oil
Corp., 29 F.3d
966, 971 (CA5 1994) ("Although admittedly the LHWCA has a
general policy to avoid double recoveries, we have also noted that
limitations on employee recovery are not favored absent statutory
authority") (footnote omitted). Because the prohibition against
double recovery is not absolute, we do not find the possibility of
such recovery in this context to be so absurd or glaringly unjust
as to warrant a departure from the plain language of the statute.
See
United States v.
Rodgers, 466 U. S. 475, 484
(1984) (plain language controls unless it leads to results that
are" 'absurd or glaringly unjust' "). Furthermore, as Ingalls
acknowledges, see Reply Brief for Petitioners 13, subrogation under
the Act is not an employer's exclusive remedy against third parties
responsible for employees' injuries; an employer in Ingalls'
position would remain free to seek indemnification against a third
party through a tort action in state or federal court.
Pallas
Shipping Agency, Ltd. v.
Duris, 461 U. S. 529, 538
(1983);
Federal Marine Terminals, Inc. v.
Burnside
Shipping Co., 394
U. S. 404, 412-414 (1969). Accordingly, we hold that before an
injured worker's death, the worker's spouse is not a "person
entitled to compensation" for death benefits within the meaning
of
262
262 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
LHWCA § 33(g), and does not forfeit the right to collect death
benefits under the Act for failure to obtain the worker's
employer's approval of settlements entered into before the worker's
death.
III
Ingalls also challenges the "standing" of the Director, OWCP, to
appear before the courts of appeals as a respondent in cases in
which there are already two adverse litigants. To assess this
claim, familiarity with the Act's appeals process, as well as with
the Director's role within that process, is helpful.
A person seeking compensation under the Act must file a timely
claim with the local deputy commissioner. 33 U. S. C. § 913(a)
(i-year limitation period). The commissioner notifies the employer
of the claim, § 919(b), at which time the employer might: (i) agree
to pay the amount of benefits fixed by the Act, 20 CFR § 702.231
et seq. (1996) (procedures for payment of noncontroverted
claims); (ii) enter into a formal settlement with the person
seeking compensation for a (presumably) lesser amount, subject to
the approval of the deputy commissioner or an ALJ, 33 U. S. C. §
908(i); 20 CFR § 702.241
et seq. (1996); or (iii) give
notice that it is denying liability for, or controverting, the
claim, § 702.251. If the employer controverts the claim, the deputy
commissioner is empowered to attempt to resolve the parties'
dispute informally. § 702.311
et seq. Should informal
discussions prove unsuccessful, the commissioner refers the matter
to an ALJ and a formal hearing is held. 33 U. S. C. §§ 919(c)-(d);
20 CFR § 702.316 (1996). "[A]ny party in interest" may appeal the
ALJ's decision to the Benefits Review Board. 33 U. S. C. §
921(b)(3). An appeal from the Board's decision to the courts of
appeals may be initiated by "[a]ny person adversely affected or
aggrieved by a final order of the Board." § 921(c); see also 20 CFR
§ 802.410(a) (1996).
The Director, OWCP, plays a significant role in this process. In
addition to being charged with the LHWCA's ad-
263
ministration, § 701.202 (transferring to the Director "all
functions of the Department of Labor with respect to the
administration of benefits programs under the [LHWCA]"), and
enforcement, § 802.410(b) (noting that Director is "responsible for
the administration and enforcement of the [LHWCA]"); see also
Newport News, 514 U. S., at 134 (noting Director's "duty of
uniform
administration and
enforcement"), the
Director has also been authorized by the Secretary of Labor to
appear as a litigant before the relevant adjudicative branches of
the Department of Labor, the ALJ, and the Benefits Review Board. 20
CFR § 702.333(b) (1996) ("The Solicitor of Labor or his designee
may appear and participate in any formal hearing [before an ALJ]
held pursuant to these regulations on behalf of the Director as an
interested party"); § 802.202(a) ("Any party ... may appear before
and/or submit written argument to the [Benefits Review] Board"); §
801.2(a)(10) (defining "party" to include "the Secretary or his
designee"); § 802.201(a) ("The Director, OWCP, ... shall [under
certain circumstances] be considered a party adversely affected"
for purposes of initiating appeal to Board).
The Director may also appear before the courts of appeals,
although the limits of the Director's authority to do so are less
clear. Section 21(c) of the Act, 33 U. S. C. § 921(c), provides in
relevant part that
"[a]ny person adversely affected or aggrieved by a final order
of the Board may obtain a review of that order in the United States
court of appeals for the circuit in which the injury occurred ....
"
In
Newport News, we held that "the phrase 'person
adversely affected or aggrieved' does not refer to an agency acting
in its governmental capacity," 514 U. S., at 130, so that the
Director was therefore not permitted to appeal from a decision of
the Benefits Review Board when the Board's decision did no more
than "impai[r] [the Director's] ability to
264
264 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
achieve the Act's purposes and to perform the administrative
duties the Act prescribes," id., at 126. We expressed no view on
the question whether the Director can appear before the court of
appeals, not as a petitioner seeking review, but as a respondent.
Id., at 127, n. 2.
Any impediment to the Director's appearance as a respondent in
this case is not of constitutional origin. As we stated in
Newport News, although the Director had no statutory
authorization to petition the Court of Appeals, "Congress
could have conferred standing upon the Director without
infringing Article III of the Constitution."
Id., at 133. In
light of this observation, Article III surely poses no bar to the
Director's participation as a respondent in those courts. Cf.
Diamond v.
Charles, 476 U. S. 54, 68-69 (1986)
(reserving question whether persons seeking to intervene "must
satisfy not only the requirements of [Federal Rule of Civil
Procedure] 24(a)(2), but also the requirements of Art. III").
Whether the Director has statutory authority to appear as a
respondent before the courts of appeals is not as easily resolved.
The Act itself does not speak to the issue. Section 21(c) of the
Act, by its very terms, defines only who "may obtain a review of [a
final order of the Board]," 33 U. S. C. § 921(c); it does not
purport to delineate who may appear in those proceedings once a
proper party initiates them. Thus, we must reject Ingalls' argument
that § 21(c) requires the Director to demonstrate an "advers[e]
[e]ffect or aggriev[ement]" in order to appear as a respondent.
Section 21a of the Act, 33 U. S. C. § 921a, similarly provides
no authorization. While § 21a states that "[a]ttorneys appointed by
the Secretary shall represent the Secretary, the deputy
commissioner, or the Board in any court proceedings under section
921 of this title or other provisions of this chapter," it says
nothing about when the Secretary may be a party to those
proceedings in the first place. See also 20 CFR § 802.410(b) (1996)
("The Director, OWCP, ... shall be
265
deemed to be the proper party on behalf of the Secretary of
Labor in all review proceedings conducted pursuant to section 21(c)
of the LHWCA"). Nor need we infer the Director's right to appear as
a respondent in order for § 21a to have meaning. Although
Newport News curtailed the Secretary's right to appear as a
petitioner before the courts of appeals in most circumstances, that
decision did not foreclose an appearance as a petitioner in all
situations. See,
e. g.,
Newport News, supra, at 128,
n. 3 (leaving open the possibility that the Director may be a
"person adversely affected or aggrieved" when appealing a Board
ruling adverse to the §944 fund).
Left with no guidance from the Act itself, we turn to the
general rule that governs all appeals from administrative agencies
to the courts of appeals, Federal Rule of Appellate Procedure
15(a). That Rule, in pertinent part, states:
"Review of an order of an administrative agency, board,
commission, or officer (hereinafter, the term 'agency' will include
agency, board, commission, or officer) must be obtained by filing
with the clerk of a court of appeals ... [the appropriate form
indicated by law] .... In each case the agency must be named
respondent." (Emphasis added.)
We believe that it is this Rule that confers upon the Director
the right to appear as a respondent before the courts of appeals.
Rule 15(a) clearly applies to appeals from the Benefits Review
Board: The LHWCA authorizes appellate review of the "final order of
the [Benefits Review] Board," 33 U. S. C. § 921(c), and Rule 15(a)
applies to "[r]eview of an order of an administrative agency [or]
board." We decline to read Rule 15(a) more narrowly, as the Courts
of Appeals for the Fourth Circuit and the District of Columbia have
done. Those courts have held that Rule 15(a) applies only where "a
single private party is contesting the action of an agency, which
agency must appear and defend on the merits
266
266 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
to insure the proper adversarial clash requisite to a 'case or
controversy.'"
McCord v.
Benefits Review Board,
514 F.2d
198, 200 (CADC 1975). Where "there is sufficient adversity
between [the employer and the claimant] to insure proper
litigation,"
ibid., they reason, "the Director's presence as
a party is not necessary" and would in fact run afoul of Federal
Rule of Appellate Procedure l(b) by "'extend[ing] ... the
jurisdiction of the courts of appeals.'"
Parker, 75 F. 3d,
at 934 (citing
McCord, supra, at 200); see also Fed. Rule
App. Proc. l(b) ("These rules shall not be construed to extend or
limit the jurisdiction of the courts of appeals as established by
law").
We reject this interpretation, which would effectively require
us to tack the words "when necessary to preserve adversity" onto
the otherwise unqualified language in Rule 15(a) that "the agency
must be named respondent." Where there is already a case or
controversy between parties properly before a court, as there is in
this case between Ingalls and Mrs. Yates who properly appear
pursuant to 33 U. S. C. § 921(c), that court's jurisdiction is not
extended by the inclusion of an additional party whose presence is
also consistent with Article III, see
supra, at 264. See
Pittston Stevedoring Corp. v.
Dellaventura, 544 F.2d
35, 43, n. 5 (CA2 1976) ("The existence of sufficient adversity
between private parties has not been thought to preclude the
Government's right to be a party in many other sorts of review of
federal administrative action"), aff'd on other grounds
sub nom.
Northeast Marine Terminal Co. v.
Caputo, 432 U. S. 249 (1977).
JusTICE SCALIA is concerned that Rule l(b) might be violated in the
converse situation-i.
e., when the Director is the sole
respondent whose presence is "necessary to preserve adversity." See
post, at 274. Although the Director's participation in that
case would not extend the courts' jurisdiction beyond the perimeter
of Article III, see
Newport News, 514 U. S., at 133 (no
Article III impediment to the Director's participation), it is
possible that such participation might exceed
267
the court's
statutory authority to hear the case. While
this transgression of statutory authority is not a question we
decide today, it nevertheless raises a concern relevant to our
interpretation of Rule 15(a). We do not find this concern
controlling, however, when, as in this case, the Director is not in
fact the sole respondent.
Having concluded that Rule 15(a) applies, the question becomes
which "agency" must be named as a respondent. When an agency has a
unitary structure-i.
e., where a single entity wears the
hats of adjudicator and litigator/ enforcer-the application of Rule
15(a) is straightforward. The Federal Communications Commission
(FCC), for instance, has adjudicative duties, 47 U. S. C. §§
154(j), 155(c), as well as enforcement duties that require it to
appear as a litigant, § 402. It is therefore proper to name the FCC
as the respondent "agency" in proceedings before the courts of
appeals under Rule 15(a). Indeed, it is necessary to do so, since
the FCC is the only "agency" that could be named. See also 29 U. S.
C. § 160(f) (National Labor Relations Board adjudicates unfair
labor practice claims and litigates before the courts of appeals);
16 U. S. C. §§825f, 825g (Federal Energy Regulatory Commission
investigates, enforces, and adjudicates violations of the Federal
Power Act).
But not all agencies share this unitary structure. Some have a
split-function regime in which Congress places adjudicatory
authority outside the agency charged with administering and
enforcing the statute. The Occupational Safety and Health Act of
1970, for example, gives general enforcement authority to the
Department of Labor, but vests adjudicatory authority in an
independent body, the Occupational Safety and Health Review
Commission. See 29 U. S. C. §§ 651(b)(3), 661;
Martin v.
Occupational Safety and Health Review Comm'n, 499 U. S. 144, 147
(1991). See also 30 U. S. C. §§ 811, 823 (authorizing Secretary of
Labor to promulgate health and safety standards under the Federal
Mine Safety and Health Act of 1977, but establishing
independent
268
268 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
Federal Mine Safety and Health Review Commission to exercise
adjudicatory authority under the Act). Other splitfunction regimes
involve only one agency, whose adjudicative and
enforcement/litigation duties have been divided by Congress between
two sub-"agencies," both of which are under the umbrella of the
same overarching agency.
In this latter type of split-function regime, the only type that
we address today, it is the overarching agency that is the "agency"
for the purposes of Rule 15(a), since an order of the agency's
designated adjudicator is in reality an order of the agency itself.
That "agency" may then be free to designate its enforcer/litigator
as its voice before the courts of appeals. To require the agency's
adjudicator to appear before the courts of appeals makes little
sense because that adjudicator has no more interest or stake in
defending its orders in the courts of appeals than does a district
court. It would also compel what we believe is a strange result-the
substitution of an agency's adjudicator for its designated
litigator once the case reaches the courts of appeals.
Although our interpretation of Rule 15(a), as the dissent points
out, is not free from anomalies, neither is the dissent's
interpretation. In particular, we take issue with the dissent's
view that the overarching agency must have absolute veto power over
the decisions of its adjudicator before the adjudicator is deemed
to be "within" the agency and before the order of one can be
considered the order of the other. Cf. 8 CFR § 3.1(h) (1996)
(Attorney General may review and modify decisions of the Board of
Immigration Appeals, the Immigration and Naturalization Service's
adjudicator). Other methods of agency oversight exist, and an
agency's inability to employ the most compelling form of oversight
does not mean it possesses
no supervisory authority over its
tribunal or that it is therefore somehow unfair to treat the
adjudicator's order as the agency's. The Secretary of Labor's power
under the LHWCA to appoint all five members of the Benefits Review
Board, 33 U. S. C. § 921(b)(1), and
269
to establish the rules of procedure of the Board, 20 CFR §
802.101
et seq. (1996), demonstrates the Secretary's
indirect but substantial control over the Board and its decisions.
Perhaps these concerns animated the Courts of Appeals actually
confronted with this situation, since they have seen fit, in over
2,000 decisions, to allow the Director's participation as a
respondent. WESTLAW, CTA database (Jan. 21, 1997). Should Congress
wish to alter this review scheme, it is, of course, free to do
so.
As it stands now, however, we conclude that the Director may be
named as a respondent in the courts of appeals. By statute and by
regulation, the adjudicative and enforcement/ litigation functions
of the Department of Labor with respect to the LHWCA are divided
between the ALJ's and the Benefits Review Board on the one hand, 20
CFR § 702.332 (1996) (formal hearings conducted by ALJ's); 33 u. S.
C. § 921(b) (appeals from ALJ's heard by Benefits Review Board),
and the Director on the other, see
supra, at 262-263.
Because the Benefits Review Board is a subdivision of the
Department of Labor, see H. R. Rep. No. 92-1441, p. 12 (1972)
(describing Board as "provid[ing] an internal administrative review
of initial decisions in contested cases by a three-man board
within the Department of Labor") (emphasis added); 20 CFR §
801
et seq. (1996) (describing "establishment and the
organizational structure of the Benefits Review Board
of the
Department of Labor") (emphasis added), the Board's order is the
Department's order, and the Department of Labor is the "agency" for
the purposes of Rule 15(a). Congress, however, has delegated to the
Secretary of Labor, the Department's chief administrator, the right
to choose the Department's legal representative, 33 U. S. C. §
921a, and the Secretary has exercised that discretion by naming the
Director as the Department's designated litigant in the courts of
appeals. 20 CFR § 802.410(b) (1996).
This conclusion does not upset the balance of representation in
the courts of appeals. Although in
Newport News
270
270 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
Opinion of SCALIA, J.
we held that the Director does not always have the right to
appeal as a petitioner to the courts of appeals, 514 U. S., at
135-136, and we now hold that the Director may appear as a
respondent before those courts, this will not result in a
"lopsided" scheme whereby the Director can appear only in defense
of the Benefits Review Board's decisions. The Director, even as a
respondent, is free to argue on behalf of the petitioner, see
Director, Office of Workers' Compensation Programs v.
Perini North River Associates, 459 U. S. 297, 301 (1983)
(Director appeared as respondent before the Court of Appeals for
the Second Circuit but filed a brief on behalf of the petitioner),
and to challenge the decision of the Board. Indeed, the Director's
participation before the courts of appeals would be plenary but for
the inability to initiate an appeal; the Director must usually wait
for someone else to do so first. Although this is unusual, it does
not result in a "lopsided" proceeding and is an oddity wrought by
congressional "oversight,"
Newport News, 514 U. S., at
128-129 (GINSBURG, J., concurring), and not by virtue of our
holding today.
For these reasons, the judgment of the United States Court of
Appeals for the Fifth Circuit is affirmed.
It is so ordered.
JUSTICE SCALIA, with whom JUSTICE THOMAS joins, concurring in
part and dissenting in part.
Today's opinion concludes, on the basis of Federal Rule of
Appellate Procedure 15(a), that the Director of the Office of
Workers' Compensation Programs, a subagency within the Department
of Labor, is a proper respondent in the courts of appeals when
review is sought of an order of the Benefits Review Board (Board or
BRB), an independent adjudicatory body within that Department. This
conclusion is at odds with the plain language of the Rule, and
produces a bizarre arrangement that will have troublesome
consequences for
271
both agencies and private parties. I respectfully dissent from
the Court's judgment on this issue.
Federal Rule of Appellate Procedure 15(a) provides:
"Review of an order of an administrative agency, board,
commission, or officer (hereinafter, the term 'agency' will include
agency, board, commission, or officer) must be obtained by filing
[a petition for review] .... In each case the agency must be named
respondent."
It is clear (and the Court does not say otherwise) that despite
the Rule's shorthand use of "agency" in the second sentence, the
entity that must be named respondent is the one whose order is
under review, whether it is an agency, board, commission, or
officer. Thus, in determining whether the Rule authorizes the
Director, as representative of the Department of Labor, to appear
as a respondent in the courts of appeals, the central question is
whether the order under review is that of the Department. The
answer to that question is obviously and unavoidably no.
To begin with, the very statute that provides for the judicial
review at issue indicates that the order under review is that of
the BRB:
"Any person adversely affected or aggrieved by a final order
of the Board may obtain a review of that order in the United
States court of appeals for the circuit in which the injury
occurred .... Upon such filing, the court shall have jurisdiction
of the proceeding and shall have the power to give a decree
affirming, modifying, or setting aside, in whole or in part, the
order of the Board .... " 44 Stat. 1436-1437, as amended, 33
U. S. C. § 921(c) (emphasis added).
The governing statute elsewhere specifies that the Board is the
statutorily created entity responsible for "hear[ing] and
determin[ing] appeals ... taken by any party in interest from
decisions with respect to claims of employees under" the Longshore
and Harbor Workers' Compensation Act
272
272 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
Opinion of SCALIA, J.
(LHWCA). § 921(b)(3). The Board's disposition of those appeals
is not subject to review by the Secretary of Labor in his capacity
as head of the Department, but must be appealed to the courts
pursuant to the review provision quoted above.
Despite the clarity of the statute, the Court concludes that it
is "in reality" an order of the Department that is under review in
the courts of appeals.
Ante, at 267-270. It offers two
arguments in support of this proposition. First, it says-relying
upon a regulation promulgated by the Secretary, 20 CFR § 801.1
(1996), and upon a statement in the House Report on the LHWCA
Amendments of 1972, 86 Stat. 1251-that the Board is "a subdivision
of the Department of Labor."
Ante, at 269. But of course
neither a Secretary's regulation nor a House Committee's report has
the power to transform a statutory entity into something it is not.
While the Board may be a "subdivision" of the Department of
Labor-and thereby subject to the Secretary's authorityfor certain
purposes, see,
e. g., 33 U. S. C. § 921(b)(1) (Secretary
appoints Board members); § 939(a) ("Except as otherwise
specifically provided, the Secretary shall administer the
provisions of" the LHWCA); 20 CFR § 802.101
et seq. (1996)
(regulations of Secretary establishing rules of procedure for
Board), the Court expressly acknowledges that the Board is
not a subdivision in the sense that the Secretary, as head
of the Department, can direct or override its decisions.
Ante, at 268. But
that sense is the one relevant to
the question whether an order of the Board is "in reality" an order
of the Department,
ibid. Insofar as vindication of the order
is concerned, there is no "necessary identity of interest" between
the Board and the Department or the Director as its chosen
delegate.
Shahady v.
Atlas Tile &
Marble Co.,
673 F. 2d 479, 485 (CADC 1982) (emphasis deleted). Indeed, the
Department through its delegate may well be hoping to see the
Board's order
overturned in the court of appeals. See,
e.
g., Parker v.
Director, Office of Workers'
Compensation
273
Programs, 75 F.3d
929, 932-934, 935, n. 7 (CA4), cert. denied,
post, p.
812;
Simpson v.
Director, Office of Workers' Compensation
Programs, 681 F.2d
81, 82 (CA1 1982), cert. denied
sub nom. Bath Iron Works
Corp. v.
Director, Office of Workers' Compensation
Programs, 459 U. S. 1127 (1983). The Court's attribution of the
Board's order to the Department contradicts our recognition, only
two Terms ago, that it is "quite simply contrary to the whole
structure" of the LHWCA to view the Board's adjudicatory functions
as the province of (implicitly) the Department as overarching
agency and (explicitly) the Director as its delegate.
Director,
Office of Workers' Compensation Programs v.
Newport News
Shipbuilding &
Dry Dock Co., 514 U. S. 122, 134
(1995).
The second argument offered in support of the view that the
Director is a proper respondent when review is sought of an order
of the Board is that (1) Rule 15(a)
requires the naming of
someone representing the agency, and (2) the Director is
certainly a more sensible candidate than the Board.
Ante, at
267, 268. The second part of this analysis, the
faute de
mieux point, is questionable: The Board could readily develop a
staff to defend its judgments, and it is hard to imagine a
worse defender than an entity that is free to disagree (and
often does disagree) with the order under review. Cf.
Pittston
Stevedoring Corp. v.
Dellaventura, 544
F.2d 35, 42, n. 5 (CA2 1976) (Friendly, J.) (suggesting that
Board rather than Director is proper respondent), aff'd on other
grounds
sub nom. Northeast Marine Terminal Co. v.
Caputo,
432 U. S. 249 (1977). But the real flaw in the reasoning is the
first step, which assumes that when Rule 15(a) states that the
"agency, board, commission, or officer" whose order is under review
"must be named respondent," it means to confer upon such entities
(or, in the Court's view, their parent agencies) a party status and
litigating power they would not otherwise possess-so that a purely
adjudicatory body with no policymaking responsibility, which would
otherwise not be a party, is suddenly free to step in (perhaps
through its
274
274 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
Opinion of SCALIA, J.
parent) to "defend" its judgment. That is not only an unlikely
function for the Federal Rules of Appellate Procedure to perform
(and thus an unlikely reading of the language of Rule 15(a), which,
contrary to the Court's suggestion, see
ante, at 266, is far
from unambiguous on this point); it is an impermissible function,
since it may give appellate courts jurisdiction over a dispute (if
it can be called a dispute) that would otherwise be beyond their
ken, namely, one in which the victorious private party to the lower
court adjudication has no interest in defending it, and only the
adjudicator itself (or its parent) appears. That extension of
litigation would violate Rule l(b), which provides that the Federal
Rules of Appellate Procedure "shall not be construed to extend or
limit the jurisdiction of the courts of appeals as established by
law." Fed. Rule App. Proc. l(b). In the present context, for
example, if the victorious employer against whom the employee takes
an appeal chooses not to contest it, or ceases to exist while the
appeal is pending, the agency's status as a party respondent would
permit continued litigation of the appeal. The concern with
extending the jurisdiction of the courts of appeals through
participation of the Director is more than theoretical; he has in
the past sought to continue litigation of claims (at least at the
Board level) that the employee and employer preferred not to
pursue.
E. g., Ingalls Shipbuilding Div., Litton Systems,
Inc. v.
White, 681 F.2d
275, 277 (CA5 1982), overruled on other grounds,
Newpark
Shipbuilding &
Repair, Inc. v.
Roundtree,
723 F.2d
399, 407 (CA51984).
The Court's response to all of this is that concerns about
extension of jurisdiction are "not ... controlling" in this case,
since both private parties are participating.
Ante, at 267.
But of course when we interpret a rule of general application, such
as Rule 15(a), we are bound to take into account not only the
ramifications of our interpretation for the case before us, but
also the ramifications for future cases. In-
275
deed, a different approach would make the meaning we ascribe to
the general rule turn on the specifics of the case that first
raises the issue. For good reason, that is not our practice.
Because interpreting Rule 15(a) to make the Director a party would
sometimes extend the jurisdiction of the courts of appeals, and
because Rule l(b) requires that the Rule be construed to avoid that
result, the Rule should not be given the meaning that today's
opinion accords it.
Invoking Rule 15(a) (and, of course, ignoring the identity of
the body that issued the order) is the only imaginable basis for
concluding that the Director is
always a proper respondent
in the courts of appeals, regardless of the outcome below. There
is, however, a respectable argument in support of his respondent
status when he
participates before the Board and
prevails. That parties in whose favor the judgment under
review runs are ordinarily proper respondents or appellees in the
courts of appeals is so obvious that the Federal Rules of Appellate
Procedure-which, contrary to the Court's belief, purport to
prescribe which parties must be named, not who is a party-do not
bother to provide for the naming of such individuals. (That is to
say, there is no analogue to Rule 15(a) for them.)
But the Director-even assuming he is entitled to participate as
a party before the Board, compare 20 CFR § 802.201(a)(1) (1996)
(allowing participation) with
Newport News, supra, at
125-126 ("[T]he [LHWCA] does not by its terms ... grant [the
Director] authority to prosecute appeals to the Board")-is not an
ordinary prevailing party. An ordinary party in that position
would, if he had
lost below, have the right to prosecute an
appeal. The Director, in contrast, has no such power.
Newport
News, supra. This inability to appeal reflects the limited
character of the interests of the Director affected by the Board's
judgment, which include neither his exposure to financial or other
liability, nor nullification of one of his own orders, but only
legal or policy dis-
276
276 INGALLS SHIPBUILDING, INC.
v. DIRECTOR, OFFICE OF
WORKERS' COMPENSATION PROGRAMS
Opinion of SCALIA, J.
agreement with the Board's decision. * It would be an odd and
novel result if the Director, in cases of this nature, could be
named as a respondent if he was on the prevailing side below, but
could not initiate an appeal if he was on the losing side. I would
not reach such a result unless the statute left no choice, which is
not the case here.
Finally, I may observe that today's game has really not been
worth the candle. The strange and countertextual arrangement that
the Court has constructed might perhaps be excused if excluding the
Director from party status would do some substantial harm to the
scheme of the LHWCA. But it does not. His "significant role" in
administering the Act,
ante, at 262, does not mean that his
participation in proceedings before the courts of appeals is
essential. As we emphasized in
Newport News, limits on the
Director's ability to participate in the judicial-review process
are of relatively minor consequence because his "power to resolve
legal ambiguities in the statute" may always be exercised through
his rulemaking authority. 514 U. S., at 134. In addition, the
Director is guaranteed the right to file an
amicus brief in
the court of appeals, with or without the consent of the parties.
Fed. Rule App. Proc. 29.
***
I think it plain that the intent of Rule 15(a) is not to
restructure the Executive Branch, or to convert Article I courts
(or their parent agencies) into litigating arms, but rather simply
to require that those agencies
entitled to party status-i.
e., those that would be entitled to intervene in the appeal
under the criteria set forth in Rule 15(d)-must be
*In my view the Director
is akin to an ordinary
respondent or appellee when he prevails before the Board in his
capacity as administrator of the LHWCA special fund established by
33 U. S. C. § 944. In
Newport News, we left open the
question whether the Director has standing to appeal an
adverse ruling of the Board when he participates in that
capacity. 514 U. S., at 125, n. 1.
277
named as respondents. By making the Rule much more than that,
and then flatly misidentifying, through sheer will power, the
agency whose "order" is at issue, the Court creates a zany system
in which an Executive officer from whom the Board has carefully
been made independent, and one who will often disagree with-and
perhaps even have argued against-the Board's judgment, will be
charged with "defending" that judgment in the court of appeals,
where, once arrived, he is free instead to maintain an independent
attack upon the judgment, even though, as we held in
Newport News, he would not have been able to launch that
attack by appealing on his own. Today's disposition regarding the
Director's status is at odds with the relevant provisions of law
and creates the potential for disruption of orderly litigation and
settlement of disputes between employers and employees. I
respectfully dissent from that portion of the judgment.
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