Petitioner, Carol Monica Frausto, petitions for review of a decision of the Office of Administrative Hearings (OAH) denying her motion for relief from a final order reversing a decision of the District of Columbia Department of Employment Services (DOES) awarding her unemployment compensation. She argues that the OAH abused its discretion in denying the motion. We reverse and remand the case for further proceedings.
I.
Factual and Procedural Background
During 2004, Frausto was employed as a program manager in a division of the Office of the General Counsel at the Department of Commerce (the employer) when she began an extended period of absence from work. On January 6, 2005, Frausto’s supervisor, Stuart Kerr, sent her a letter notifying her officially that he proposed to remove her from her position and that her leave status was being changed to AWOL. In explanation of the proposed action, Kerr outlined the following circumstances. On July 12, 2004, he had sent Frausto a letter informing her that she was placed in an unpaid status as of July 9, 2004 because she had exhausted all of her annual and sick leave. On July 22, 2004, he had sent her another letter requesting a written request for leave without pay and medical documentation supporting her absence up to that time. On August 2, 2004, Kerr received from Frausto an undated Office of Personnel Management (OPM) form 71 requesting a combination of accrued annual leave and sick leave and leave without pay and invoking her entitlement to leave for a serious medical condition under the Family and Medical Leave Act, 29 U.S.C. § 2601
et seq.
(2001) (FMLA). That same day, Kerr sent Frausto a form to be completed by her physician. On August 12, 2004, he sent Frausto another letter stating that she was entitled to up to twelve administrative work weeks of unpaid leave for a serious medical condition and approving her leave under the FMLA, subject to his receipt of the medical documentation. He also enclosed another form for her physician’s certification. On August 23, 2004, Frausto faxed to the agency’s Office of Human Resources Operations thirty-two pages of documents, but she did not include a medical certification for her absence since August 2, 2004. Kerr sent
The employer acknowledged that on January 19, 2005, Frausto sent a letter to its Administrative Officer attaching a letter dated January 6, 2005 from Dr. Adam Lowery in which he stated that Frausto had been a patient under his care at the Psychiatric Institute of Washington D.C. from June 5, 2004 to June 18, 2004 and from July 12, 2004 to July 19, 2004 until her discharge, but that he had not evaluated her since. The agency adopted Kerr’s recommendation to terminate Frausto’s employment effective February 11, 2005 and notified her by letter dated February 2, 2005. The letter stated that although Frausto’s prior work record was a mitigating factor, it was outweighed by the seriousness of the misconduct. The agency referenced as mitigating circumstances Frausto’s eight years of satisfactory government service and the lack of any prior disciplinary record. 1
Shortly before official notification of her termination, Frausto applied for unemployment compensation through the DOES. The “Determination by a Claims Examiner” dated January 31, 2005 found Frausto eligible for benefits and that “[mjisconduct had not been established.” The reasons given for that determination were as follows:
Claimant is in a L.W.O.P. status from her job as Programmer. Claimant has a[n] EEO situation with the agency and employer has informed her not to report to work. Employer instituted elaim-ant[’]s separation, therefore, no misconduct established.
The employer appealed the Claims Examiner’s determination to the OAH and requested a hearing. OAH entered an order scheduling a hearing on March 2, 2005 at 9:30 a.m. The order and notice of the hearing stated that “[flailure of a party to appear at the hearing may result in a default, dismissal, or other unfavorable outcome.” It also stated that “[a] written request for postponement must be filed with the Office of Administrative Hearings in accordance with OAH Rule 2812 (1 DCMR 2812) at the earliest possible time, after making a good faith meaningful effort to contact the opposing party and asking for that party’s consent to the postponement.”
Frausto did not appear at the scheduled hearing, and the Administrative Law Judge (ALJ) announced that the case would proceed in her absence.
2
Kerr was the employer’s only witness at the hearing. On April 18, 2005, OAH issued its decision reversing the Claims Examiner’s determination and finding Frausto ineligible for unemployment benefits. The ALJ found that the agency had “met its burden of demonstrating that [Frausto] engaged in misconduct rising to the level of gross misconduct by disregarding her obligation
II.
A. Applicable Legal Principles
Frausto argues that the OAH abused its discretion in denying her request to reopen the case under its rule that is comparable to Super. Ct. Civ. R. 60(b). She contends that in denying her relief, the OAH failed to undertake the necessary factual inquiry or to consider all relevant factors. 3 The employer responds that Frausto failed to show that her non-appearance resulted from excusable neglect and that she has a meritorious defense.
Section 2833.2 of 1 DCMR Chapter 28, applicable in proceedings before the OAH, is comparable to Super. Ct. Civ. R. 60(b). Section 2833.2 provides, in pertinent part, that
the administrative court may relieve a party ... from a final order for the following reasons: (1) mistake, inadvertence, surprise, or excusable neglect; ... or ... any other reasons justifying relief from the operation of the final order. Relief under this Section may be granted only to the extent it could be granted under the standards of D.C. Superior Court Civil Rule 60.
Thus, the OAH’s rule explicitly adopts the standards applicable to motions under Super. Ct. Civ. R. 60. In considering motions filed under Rule 60(b), the court must consider
whether the movant (1) had actual notice of the proceedings; (2) acted in good faith; (3) took prompt action; and (4) presented an adequate defense. Prejudice to the non-moving party is also relevant.
Nuyen v. Luna,
B. Analysis
Frausto argues that the OAH abused its discretion in denying her
pro se
motion for relief under the standards applicable to motions under Rule 60(b). She contends that the OAH failed to consider properly all of the factors relevant to a disposition of such motions and to provide reasons for its decision. Specifically, she contends first that she presented a compelling reason for not appearing at the hearing and acted promptly thereafter.
See Nuyen, supra,
As Frausto points out, the ALJ recognized, as stated in the order, that she was “requesting that the court reconsider the final decision because of a fire that oc-eurred at [her] home, which prevented her from attending the March 2, 2005, hearing.” The ALJ acknowledged that “the sad circumstance of a fire, such as allegedly occurred here, is almost universally good cause justifying continuation of a trial date, if made seasonably.” The ALJ then apparently concludes that Frausto’s continuance request was not made seasonably. In reaching that conclusion, however, the ALJ did not address Frausto’s assertion in the motion that she had called the clerk’s office on the morning of the hearing to explain her inability to attend the hearing and to request a new hearing date. Frausto’s effort to secure a continuance on the morning of the hearing is a factor relevant to the decision-maker’s consideration of the promptness and good faith of her actions.
See King v. District of Columbia Water and Sewer Auth.,
The order does not suggest that Frausto failed to act promptly to reopen her case after she learned of the OAH’s order. In
The ALJ also failed to address
directly
whether the circumstances of the fire and its aftermath did or did not constitute a basis for a finding of excusable neglect for purposes of Frausto’s motion to set aside the final order. Therefore, we are left to speculate why the ALJ deemed the circumstances that Frausto presented would have been sufficiently compelling to grant a continuance request, but insufficient for a finding of excusable neglect under Rule 60(b). The circumstances described by Frausto in support of her request to reopen the case are equally, if not more compelling than those in other cases where the movant prevailed on the motion.
See, e.g., Johnson v. Lustine Realty Co., Inc.,
The employer suggests that the reason the OAH found against Frausto is that she failed to provide a clear causal relationship between the circumstances of the fire and its aftermath and the need for a continuance. One difficulty with the employer’s suggestion is that, as a general rule, “ ‘this court cannot uphold a[n] [agency] decision on grounds other than those actually relied on by the agency.’ ”
District of Columbia v. District of Columbia Dep’t of Employment Servs.,
Frausto also argues that the decision should be reversed because the OAH failed to provide reasons for its determination. This court has stated that the trial court has a responsibility not only to consider the factors pertinent to a Rule 60(b) motion, but also to state the reasons for its decision.
Nuyen, supra,
The employer argues that the OAH properly denied the motion because Frausto failed to state a meritorious defense that, if proven, would result in a reversal of the OAH’s determination. Under our Rule 60(b), a moving party “must offer a ‘sufficient elaboration of the facts ... to permit the trial court to conclude whether the defense, if found to be true, is adequate.’ ”
Nuyen, supra,
The OAH did not address this factor or rest its decision denying the motion on this ground. As previously stated, we will not sustain an order on grounds not relied upon by the agency.
See Jadallah, supra,
For all of the foregoing reasons, we conclude that the OAH abused its discretion in denying Frausto’s motion for relief under Section 2833.2. Therefore, we reverse and remand to OAH for further proceedings consistent with this opinion.
So ordered.
Notes
. The employer’s final letter of termination stated to Frausto that "[y]ou did an outstanding job as an international program specialist and you won a competitive slot for a program manager. You were very dependable and quite capable of working independently.”
. The transcript shows that the hearing commenced at 9:43 a.m. and ended at 9:59 a.m.
. Frausto also argues that the OAH erred in proceeding with the evidentiary hearing without making an inquiry of the clerk's office or otherwise taking reasonable steps to prevent forfeiture of her right to participate in the hearing. In light of our disposition, we need not address this issue.
. The first factor, whether the moving party had actual notice of the proceeding, is not an issue in this case.
. In
Johnson,
this court’s decision was also based on the trial court's failure to consider the strong policy favoring adjudication on the merits, the likelihood of prejudice to the non-moving party and the possibility of other sanctions.
Johnson, supra,
. In
Reid,
the court also based, its ruling on the trial court’s failure to inquire whether counsel’s actions constituted excusable neglect or the other factors bearing on the decision
(i.e.,
notice, good faith, prompt action, prejudice or evidence of prior unjustified delays or non-compliance with court rules).
Reid, supra,
. There is nothing in the OAH's rule to alert a party, particularly a
pro se
party, of the requirement to present an adequate defense or a
prima facie
case. Although the OAH rule references Rule 60(b), that requirement is not stated in the rule itself. It is derived from our case law. Frausto argues that it is not clear that one in her position
(i.e.,
the successful party at the initial stage of her request for unemployment compensation) is required to show an adequate defense even under Rule 60(b). She cites this court’s decision in
Lester v. District of Columbia,
.
See Rodriguez v. Filene’s Basement, Inc.,
. Frausto also argues that she has a plausible basis to challenge a finding of gross misconduct, including: (1) the inadequacy of the employer’s evidence to support such a finding; and (2) a mental condition that prevented her from responding to the employer's requests in a manner that it deemed adequate. “Gross misconduct” is defined by regulation as "an act which deliberately or willfully violates the employer's rules, deliberately or willfully threatens or violates the employer’s interests, shows a repeated disregard for the employee's obligation to the employer, or disregards standards of behavior which an employer has a right to expect of its employee. 7 DCMR § 312.3 (1994). Therefore, she contends that some inquiiy into her mental state and actions is relevant under this definition. The employer contends that Frausto has no basis to refute the finding because the regulation provides as an example of gross misconduct, "repeated absence ... following warning,” see 7 DCMR § 312.4, which was shown hére. Whatever the merits of the parties’ respective positions, Frausto has not had an opportunity to be heard by OAH on the issue. Therefore, she should have that opportunity on remand.
