Herring v. Merit Systems Protection BoardHerring v. Merit Systems Protection Board
Lead Opinion
Petitioner Ramona Gill Herring (“Petitioner”) appeals a Final Order of the Merit Systems Protection Board (“MSPB” or “Board”), dismissing her appeal as untimely filed without good cause. Because, under the circumstances of this case, the MSPB abused its discretion in determining Ms. Herring had not demonstrated good cause for the untimely filing of her appeal, this court reverses.
Background
In March 2010, Ms. Herring was removed from her position as a cytotechnologist with the Department of the Navy.
Discussion
It is undisputed that Ms. Herring’s appeal was filed ten days late. “If a party does not submit an appeal within the time set by statute, regulation, or order of a judge, it will be dismissed as untimely filed unless a good reason for the delay is shown.” 5 C.F.R. § 1201.22 (2012) (emphasis added). Consistent with this regulation, the MSPB acknowledges waivers may be granted “after considering all of the facts and circumstances of a particular case.” Herring v. Office of Pers. Mgmt., No. DC-844E-12-0778-I-1, at 3,
The decision to waive the time limit to appeal to the Board is committed to the discretion of the Board, and is reversed only for abuse of that discretion. See Mendoza v. Merit Sys. Prot. Bd.,
MSPB regulations do not provide criteria for determining when good cause has been shown for waiving the time limitation with respect to the filing of an appeal. See 5 C.F.R. § 1201.12; id. § 1201.22(c). Case law, however, provides nonexclusive criteria that may be considered. These include:
the length of the delay; whether appellant was notified of the time limit or was otherwise aware of it; the existence of circumstances beyond the control of the appellant which affected his ability to comply with the time limits; the degree to which negligence by the appellant has been shown to be present or absent; circumstances which show that any neglect involved is excusable neglect; a*1014 showing of unavoidable casualty or misfortune; and the extent and nature of the prejudice to the agency which would result from waiver of the time limit.
Alonzo v. Dep’t of the Air Force,
In its Final Order, the Board cited Alonzo and Smith and mentioned several of their factors, but did not systematically apply those factors to Ms. Herring’s case. See Final Order 3-5. Indeed, most of the factors were not discussed at all. See id. The Board did, however, address several of these factors in its brief before this court.
I. Circumstances Beyond a Party’s Control
In addressing one of these criteria, the MSPB in its brief asserts “Ms. Herring did not present any evidence to the Board that there were circumstances beyond her control.” Resp’t’s Br. 18. Ms. Herring had, however, executed a power of attorney authorizing agents of the federal government to “fully communicate with” her designated attorneys with respect to “any and all information ... deemed necessary” to her appeal. Resp’t’s App. 67. In addition, although OPM determined Ms. Herring had not proven a disability, the agency acknowledged “the evidence [Ms. Herring] submitted shows that [she has] medical conditions.” Id. at 69. Among Ms. Herring’s claimed conditions were “[d]epression/[a]nxiety” and “[f]atigue.” Id. at 68. These circumstances are relevant when considering the reasonableness of Ms. Herring’s actions or inactions. See, e.g., Malloy v. U.S. Postal Serv.,
The MSPB acknowledges Ms. Herring’s assertions that she contacted counsel substantially in advance of the deadline, submitted the required payment for legal services on August 7, 2012, and followed up by telephone on August 7 to ensure that payment and documentation had been received. Resp’t’s Br. 11; Pet’r’s Br. 7, 13-14. The unusual facts of this case show Ms. Herring had done everything that could reasonably be expected of her and the failure to timely file was due to circumstances beyond her control. “The appellant need not show an utter impossibility, but only that the delay was excusable in light of the particular facts and attending circumstances where diligence or ordinary prudence has been exercised.” Anderson v. Dep’t of Justice,
In arguing there were no circumstances beyond Ms. Herring’s control, the MSPB states Ms. Herring could have “contacted her attorney between August 8, 2012, and August 13, 2012,” or “personally filed her appeal.” Resp’t’s Br. 19. It is true it is a party’s “duty to monitor the progress of the appeal at all times.” Soleto v. Dep’t of Agric., 58 M.S.P.R. 253, 256 n. 2 (1993). However, under the circumstances of this case, where the petitioner had relevant physical and psychological conditions, executed a power of attorney in favor of her
For similar reasons, although a party could personally file an appeal, it is not reasonable to expect a party to do so under the circumstances of this case. In Crawford, the MSPB found the appellant had established good cause for a filing made twenty-three days late notwithstanding that repeated phone calls made by the appellant to her attorney had not been returned.
II. Negligence and Delay
The MSPB asserts the well-settled rule that “a petitioner is responsible for the errors of her chosen representative.” Resp’t’s Br. 19; see also Green v. Merit Sys. Prot. Bd.,
This case contains no evidence of lengthy delay, dilatory conduct, repeated neglect, or unexplained non responsiveness. To the contrary, the record shows that immediately upon learning of the error, the consulting attorney filed Petitioner’s appeal with the Board via facsimile the same day at 5:56 P.M. Pet’r’s App. 36; see also Pet’r’s Br. 8-9.
While previous cases have declined to find good cause even where the delay was short, these cases each contained some additional factor weighing against a finding of good cause. For example, only a four-day delay was at issue in Rowe v. Merit Systems Protection Board, where this court found good cause lacking.
“To establish good cause for a filing delay, an appellant must show that the delay was excusable under the circumstances and that the appellant exercised due diligence in attempting to meet the filing deadline.” Zamot v. Merit Sys. Prot. Bd.,
To the extent any MSPB decision suggests attorney negligence can never constitute good cause,
III. Prejudice
As this court has previously stated, “ ‘[i]f the employee gives a reasonable excuse for the delay, such excuse should be accepted by the presiding official, absent a showing of substantial prejudice to the agency caused by the delay in filing.’ ” Williamson v. Merit Sys. Prot. Bd.,
IV. Retirement Benefits Claims versus Other Claims
In her brief, Ms. Herring asserts “the Board summarily dismisses in a footnote Petitioner’s argument regarding the long-recognized, less-stringent application, of the Alonzo principle in the context of retirement matters.” Pet’r’s Br. 20. Some precedent supports this assertion. In Ed-ney v. Office of Personnel Management,
In a discipline or removal case, it can be said that an expedient response to an appeal enables the agency to move forward with the management of its programs and its workforce. However, in an appeal related to a retirement decision made by OPM, there is no such agency need for finality to compete with the right of an appellant to a decision on the merits.... [A]ny doubt as to whether the Board should reopen the appeal for an adjudication of its merits should be resolved in favor of the appellant, even more so than in a disciplinary appeal.
Id.
Nor is Edney alone in referencing a more lenient standard with respect to retirement claims. See, e.g., Kjeldsen v. Office of Pers. Mgmt., No. CH-831M-07-0395-14,
The Board’s failure to consider a factor it has previously treated as significant contributes to this court’s conclusion that the
Conclusion
For the reasons stated above, the judgment is
REVERSED
Notes
. According to Petitioner’s Brief:
This proposed contract [between Ms. Herring and her attorney] was transmitted by administrative support staff located in the Firm’s Washington, DC office and incorrectly directed Petitioner to return the signed agreement to the Washington, DC office rather than the Arlington, VA office where the consulting attorney was located.... Subsequently, on that same day[, August 7, 2012], Petitioner spoke with personnel in the Firm's Albany, N.Y. office and communicated that she had mailed documentation to the Washington DC office....
Pet’r’s Br. 7. She "confirm[ed] that payment had been received.” Id. at 13. “Subsequently, the Petitioner was notified of the firm’s receipt on August 8, 2012, of the FedEx package” containing the documentation. Id. at 14.
. See, e.g., Goldberg,
Dissenting Opinion
dissenting.
This is an unremarkable case that involves a law firm’s failure to make a timely filing on behalf of its client. As a result of the missed deadline, Ms. Herring’s appeal to the Merit Systems Protection Board (“Board” or “MSPB”) for reconsideration of denial of her application for disability retirement benefits was dismissed. The Board considered whether good cause existed for the failure to meet the deadline and found none. The majority reverses the Board’s good cause determination, and further finds that the Board abused its discretion for failure to reach two other issues. For the following reasons, I dissent.
MSPB regulations provide that an appeal will be dismissed as untimely filed “unless a good reason for the delay is shown.” 5 C.F.R. § 1201.22(c) (2012). The Board may waive the time limit and accept an untimely filing where it determines, upon consideration of all of the facts and circumstances, that good reason exists for the delay. Id. § 1201.22. This court has held that the decision whether to waive an applicable time limit is committed to the Board’s discretion and that this court will not substitute its judgment for that of the Board. Mendoza v. Merit Sys. Prot. Bd.,
The majority finds that the “unusual” facts in this case render the Board’s decision not to waive the time limit an abuse of its discretion. Maj. Op. at 1014. In addition, the majority holds that the Board abused its discretion by failing to assert the extent of prejudice it would suffer were a waiver to be granted and by failing to extend leniency to Ms. Herring on grounds that this case involves retirement benefits. I address each in turn.
I. Good Cause
There is nothing unusual here. This is a case where a client hires a law firm to take its appeal and the law firm fails to file the appeal on time. There is no controversy surrounding whether an attorney-client relationship existed between Ms. Herring and the law firm. The record is clear that the circumstances leading to the untimely filing were solely related to the attorneys’ failure to file on time.
The majority, however, makes an independent review of the facts, and substitutes its factual judgment for that of the Board. First, it faults the Board for not “systematically” applying the numerous Alonzo criteria. I find no authority that mandates a good cause determination to be made based on all Alonzo criteria.
Second, the majority finds that the Board abused its discretion by failing to consider Ms. Herring’s “relevant physical and psychological conditions.” Maj. Op. at 1014-15. While the record contains statements of Ms. Herring’s medical conditions, those statements relate only to the nature of Ms. Herring’s underlying disability claim. I find nothing in the record indicating any “relevance” of Ms. Herring’s medical condition to the issue of the delay. Indeed, neither party raised or argued the relevancy of Ms. Herring’s medical conditions and, as noted above, the majority was correct that there are no extraordinary circumstances attributable to Ms. Herring that account for the delay. The Board therefore, did not abuse its discretion in failing to consider Ms. Herring’s medical conditions as a factor to the issue of delay.
Third, the majority sums up its review of circumstances in this case:
These circumstances, taken together, indicate the actions and inactions of Ms. Herring’s law firm “were misleading and deceptive in effect” and “‘misled and lulled’” Ms. Herring “‘into believing th[e] case was proceeding smoothly.’” Crawford v. Dep’t of State,60 M.S.P.R. 441 , 446 (1994) (quoting Dabbs v. Dep’t of Veterans Affairs,56 M.S.P.R. 57 , 60 (1992)).
Maj. Op. at 1014-15 (brackets original). This statement constitutes a significant, distinct factual finding by the majority. Yet, the evidence is that the missed deadline was caused by a failure of communication within the firm’s multiple offices. There is no evidence of any action on the part of the firm as deceiving or misleading, intended or otherwise. I find no legal support or factual basis for this holding.
II. Prejudice and Leniency
In addition, the majority finds that the Board abused its discretion because it failed to address the extent of prejudice it would suffer should waiver be granted, and because the Board did not apply or articulate a more lenient good cause standard in this case on the basis that leniency is “a factor it has previously treated as significant” in other instances.
In the cases cited by the majority, prejudice and leniency are considered only after good excuse of the delay was established. In addition, the cases cited involve circumstances beyond the missed deadline facts of this case. See Williamson v. Merit Sys. Prot. Bd.,
This case is a simple matter of a law firm missing a filing deadline that has placed its client at risk of losing her retirement benefits. There are no excuses proffered, reasonable or otherwise, for missing the deadline. The Board fully reviewed the facts in its decision that good cause has not been shown. Because I find no reason to disturb that determination, I dissent.
. Ms. Herring's attorney conceded during oral argument that the filing deadline was missed due to negligence by the firm. Oral Argument Hearing Tr. at 4:51-5:04, available at United States Court of Appeals for the