Richerson v. JonesRicherson v. Jones
Lead Opinion
OPINION OF THE COURT
Thaddeus Dais, a black employee of the United States Department of Navy, appeals from a district court order granting the defendant’s motion for summary judgment. The appellant had intervened as a party plaintiff in an action claiming that the supervisors of the Philadelphia Naval Shipyard had been engaging in discriminatory practices against their black employees. The court granted summary judgment against Dais on the ground that, at the time Dais intervened, he had neither waited more than 180 days after filing a complaint with the Equal Employment Opportunity Commission nor received an adverse decision from that commission. The court concluded that since Dais had not exhausted his administrative remedies prior to intervening in the federal civil action, the court lacked jurisdiction under
I. FACTS
The appellant is a federal employee working as an electrical test mechanic at the Philadelphia Naval Shipyard. On July 21, 1972, pursuant to the applicable regulations for processing equal employment opportunity complaints, Dais filed an administrative complaint with the Shipyard Commander. This complaint alleged discriminatory practices by white supervisors against Dais and other black employees. After being assured by Equal Employment Opportunity officials that the Shipyard Commander would take steps to end the racial discrimination, Dais withdrew his formal discrimination complaint on July 27, 1972, and resubmitted it as an informal letter of action addressed to the Commander. See Appendix to Appellant’s Brief at 42.
Dais filed formal discrimination complaints against the Shipyard Commander and other officials on March 30, 1973, and again on May 31,1973. The March 30, 1973 complaint was investigated by the Equal Employment Opportunity Commission, which rendered a final decision, adverse to Dais, on November 5, 1973. On Dais’s appeal, the United States Civil Service Commission affirmed this decision on March 19, 1974. On September 19, 1973, the agency rendered a final decision on the May 31, 1973 complaint, again adverse to Dais. No appeal was taken from that decision to the Civil Service Commission.
On June 13, 1973, Dais intervened as a party plaintiff, both in his individual capacity and as a representative of others similarly situated, in Richerson v. Jones, Civ. No. 73-905. On February 5, 1974, the district court conditionally certified that the action should be maintained as a class action. After the defendant moved for reconsideration of that order, however, the court vacated the class certification order and ordered that the case would proceed on the claims of the named plaintiffs in their individual capacities.
Subsequently, the plaintiffs brought motions to reconsider the judgments. On July 16, 1975, the district court vacated that part of its April 18th order granting summary judgment against Dionysius Richer-son. However, since in its view all the other plaintiffs had failed to exhaust their administrative remedies, the court denied their motions for reconsideration. On December 18, 1975, the district court ordered that judgment be entered for plaintiff Richerson and against the defendant. Dais filed a notice of appeal with the district court on January 17, 1976.
II. TIMELINESS OF DAIS’S PRESENT APPEAL
Before we consider the merits of the district court’s decision, we must ad
The principal error in the government’s argument is its failure to recognize that certain post-trial motions toll the 60-day time limit for taking appeal.
The running of the time for filing a notice of appeal is terminated as to all parties by a timely motion filed in the district court by any party pursuant to the Federal Rules of Civil Procedure hereafter enumerated in this sentence, and the full time for appeal fixed by this subdivision commences to run and is to be computed from the entry of the following orders made upon a timely motion under such rules: ... (3) granting or denying a motion under Rule 59 to alter or amend the judgment ....
In order to toll the time limitation for appeal, a motion must satisfy two conditions. First, that motion must be one of the motions listed in
In its July 16, 1975 decision, the district court denied the appellant’s motion for reconsideration but granted a similar motion in favor of appellant’s co-plaintiff Richer-son.
III. SUMMARY JUDGMENT BELOW: EXHAUSTION OF ADMINISTRATIVE REMEDIES
In granting summary judgment against the appellant, the district court relied on
The appellant advances three theories to support his argument that the district court erred in dismissing his complaint for failing to exhaust administrative remedies. First, he contends that since the assurances of the EEOC officials were not made in good faith and were never fully carried out, his resubmission of formal complaints in March and May of 1973 should be treated as a reinstatement of the initial complaint of July 21, 1972. Secondly, the appellant claims that even if the July 21, 1972 complaint is not regarded as the initial charge for purposes of the 180-day exhaustion period, he had fully exhausted his administrative remedies by the time that the district court ruled on the appellee’s motion for summary judgment. Finally, Dais argues that since no policies behind the exhaustion rule would be furthered by dismissing his complaint, this court should establish a general exception to the exhaustion requirement.
To support his first theory, the appellant relies primarily on two regulations of the Civil Service Commission- —
In response to the appellant’s argument, the government contends that
To resolve this controversy, we turn first to
The 180 day provision represents a Congressional determination that providing prompt access to the courts in discrimination disputes is so important that the administrative process will be given only a finite time to deal alone with a given dispute.
Grubbs v. Butz,
Applying these principles to the circumstances of the instant case, we believe that the appellant’s argument must prevail. The purpose of § 713.217(a) was to facilitate informal investigation and resolution of the dispute without invoking a more formal process. Adopting the appellant’s contention would not frustrate that purpose. The appellant alleges that he was persuaded to withdraw his July 21,1972 complaint in exchange for promises to initiate an informal investigation and resolution of his charges. Except for the rescission of the complaint, the process anticipated when Dais withdrew his initial charge was no different from the informal process outlined under
The fact that the appellant had withdrawn his original complaint does not alter this analysis. There is no evidence that Dais knew that his withdrawal of his initial complaint would affect his right to bring suit in federal district court. On the contrary, Dais alleges that the EEO officials encouraged him to withdraw that complaint and submit an informal letter to the Commander. The government concedes that such pressure would, if exerted prior to the filing of a complaint, violate
Even if we were to conclude that Dais’s July 21, 1972 complaint had not been reinstated, we would still reverse the district court’s decision on the basis of the appellant’s second argument. By the time that the district court entered summary judgment against the appellant on April 18, 1975, the Department of the Navy and the United States Civil Service Commission had rendered final decisions on the appellant’s March 30 and May 31, 1973 complaints. Thus, the appellant argues that even if he had not exhausted his administrative remedies at the time that he filed his initial complaint in the district court, he had done so at the time of the hearing on the motion for summary judgment.
The government’s disagreement with the appellant’s second theory rests on two grounds. First, it argues that the failure of appellant’s counsel to raise this theory in the district court should preclude his present counsel from raising it here. In Franki Foundation Co. v. Alger-Rau & Associates, Inc.,
[T]he rule has evolved that, absent exceptional circumstances, an issue not raised in the district court will not be heard on appeal. But this rule is only a rule of practice and may be relaxed whenever the public interest or justice so warrants.
Under the circumstances here the public interest would not be served by declining to hear this argument. Refusing to consider on appeal an issue or argument not raised below normally promotes the finality of judgments and conserves judicial resources. But those interests can be outweighed in particular cases. This is especially true in the Title VII area, where lay persons initiate the complaint process and where procedural requirements are flexibly administered. Most important, the policy of declining to consider an argument not raised below is strongest where the district judge was not aware of the argument. In the instant case, however, the trial judge acknowledged the existence of the issue but refused to consider it since Dais’s counsel had not addressed it. Given his awareness of the possible merits of the argument, the district judge was obliged to consider it. If necessary, he could have requested the parties to file supplemental memoranda. Under these circumstances, we believe that the public interest will be served by our considering the merits of the issue.
The government’s second objection to the appellant’s contention is a substantive one. It urges that the exhaustion of administrative remedies is a rigid prerequisite to the filing of an action in federal court under
Again we find the government’s argument unpersuasive. In enacting Title VII and the amendments thereto, Congress did not intend to vest administrative agencies with exclusive authority to resolve employment discrimination disputes. Congress did not even intend that the facts found by the agency would be binding in a later federal court action. Chandler v. Roudebush,
Because we have accepted the appellant’s first two arguments, we find it unnecessary to decide whether we should recognize a general exception to the exhaustion requirement. Nevertheless, we feel obliged to comment briefly on such a proposal. In McKart v. United States,
Accordingly, the judgment of the district court will be reversed and the case remanded for proceedings consistent with this opinion.
Notes
. A “letter of action” is not a technical term defined by statute or regulation. Rather, it is a term used by the appellant to describe the letter that the Commander suggested he write as a substitute for the formal complaint.
. At that time Captain J. B. Berude was the Shipyard Commander. He has been replaced by Captain Gerald R. Jones, the appellee in the present action.
. This order was based on the district court’s conclusion that federal employees have no right to a trial de novo of their discrimination claims. However, in Chandler v. Roudebush,
. The wisdom of this rule is clear. If the rule were otherwise, the 60-day period for appeal would often pass while the district court was assessing the
. The motion was also decided adversely to three other plaintiffs.
. Rule 54(b) reads:
(b) Judgment upon Multiple Claims or Involving Multiple Parties. When more than one claim for relief is presented in an action, whether as a claim, counterclaim, cross-claim, or third-party claim, or when multiple parties are involved, the court may direct theentry of a final judgment as to one or more but fewer than all of the claims or parties only upon an express determination that there is.no just reason for delay and upon an express direction for the entry of judgment. In the absence of such determination and direction, any order or other form of decision, however designated, which adjudicates fewer than all the claims or the rights and liabilities of fewer than all the parties shall not terminate the action as to any of the claims or parties, and the order or other form of decision is subject to revision at any time before the entry of judgment adjudicating all the claims and the rights and liabilities of all the parties.
.
(a) The agency shall provide an opportunity for adjustment of the complaint on an informal basis after the complainant has reviewed the investigative file. For this purpose, the agency shall furnish the complainant or his representative a copy of the investigative file promptly after receiving it from the investigator, and provide opportunity for the complainant to discuss the investigative file with appropriate officials. If an adjustment of the complaint is arrived at, the terms of the adjustment shall be reduced to writing and made part of the complaint file, with a copy of terms of the adjustment provided the complainant. If the agency does not carry out, or rescinds, any action specified by the terms of the adjustment for any reason not attributable to acts or conduct of the complaint, the agency shall, upon the complainant’s written request, reinstate the complaint for further processing from the point processing ceased under the terms of the adjustment.
Concurrence Opinion
concurring.
I concur in the judgment of the court and in the opinion in all respects except that portion in section III which addresses the appellant’s “second argument” that he had fully exhausted his administrative remedies by the time that the district court ruled on the appellee’s motion for summary judgment (pages 12-15 of the majority opinion). I believe the unnecessary construction of the exhaustion requirement of § 717(c) of the Civil Rights Act of 1964, as amended,