MARVA J. SNEED, Claimant-Appellant, v. ERIC K. SHINSEKI, Secretary of Veterans Affairs, Respondent-Appellee.
2013-7029
United States Court of Appeals for the Federal Circuit
December 9, 2013
Appeal from the United States Court of Appeals for Veterans Claims in No. 11-2715, Judge William A. Moorman.
JEFFREY D. KLINGMAN, Trial Attorney, Commercial Litigation Branch, Civil Division, United States Department of Justice, of Washington, DC, argued for respondent-appellee. With him on the brief were STUART F. DELERY, Acting Assistant Attorney General, JEANNE E. DAVIDSON, Director, and SCOTT D. AUSTIN, Assistant Director. Of counsel on the brief were DAVID J. BARRANS, Deputy Assistant General Counsel and MEGHAN D. ALPHONSO, Attorney, United States Department of Veterans Affairs, of Washington, DC.
Opinion for the court filed by Circuit Judge WALLACH.
Dissenting opinion filed by Circuit Judge PROST.
WALLACH, Circuit Judge.
Marva Sneed pursued her claim for survivor benefits in the Department of Veterаns Affairs (VA) for eight years. After receiving an adverse decision from the Board of Veterans Appeals (Board), Ms. Sneed promptly contacted an attorney to represent her in an appeal to the United States Court of Appeals for Veterans Claims (Veterans Court). Only one day before the deadline to file a notice of appeal, however, Ms. Sneed received a letter saying the attorney would not represent her in the appeal. After unsuccessfully searching for another attorney, Ms. Sneed filed a notice of appeal pro se, twenty-nine days after the filing deadline.
The Veterans Court dismissed Ms. Sneed‘s appeal for failure to timely file her notice of appeal. Ms. Sneed appeals the dismissal, arguing the Veterans Court legally erred in holding that equitable tolling does not apply in cases of attorney abandonment. Because attorney abandonment can justify equitably tolling the deadline for filing an appeal to the Veterans Court, this court vacates and remands for the Veterans Court to reconsider Ms. Sneed‘s argument under the correct standard.
BACKGROUND
I.
Ms. Sneed is the surviving spouse of veteran Reginald A. Sneed, who served on active duty from June 1964 to June 1968. Mr. Sneed suffered from numerous service-connected disabilities, including post-traumatic stress syndrome, post-concussion syndrome, cervical spondylosis (degeneration of thе vertebrae), spinal stenosis (narrowing of the spinal column), tinnitus (ringing in the ears), a perforated tympanic membrane, and scarring of the upper extremities. In January 2001, Mr. Sneed fell and suffered a spinal cord contusion, rendering him a quadriplegic and
Following Mr. Sneed‘s death, Ms. Sneed filed a claim with the VA for dependency and indemnity compensation. See
Ms. Sneed‘s notice of appeal to the Veterans Court was due by August 3, 2011. See
Ms. Sneed then tried to find another attorney in the short time available. J.A. 41. When that failed, she filed the notice of appeal on September 1, 2011—twenty-nine days after the deadline.3 Six days later, on September 7, 2011, Ms. Sneed filed a letter with the Veterans Court explaining her late filing:
I thought I had an attorney, this attorney was sent all of my papers about this appeal in a timely manner, in fact I contact[ed] the attorney office as soon as I got my decision letter. I even ke[pt] in contact with the attоrney office.
J.A. 22. She further stated that she ha[d] worked on this case for over eight years, and all papers were filed on time, and that she did not think the late filing to the Veterans Court was her fault. J.A. 41.
II.
Not long after her appeal was docketed, Ms. Sneed was able to retain an attorney, who entered his appearance on September 14, 2011. On October 11, 2011, the Veterans Court stayed several appeals, including Ms. Sneed‘s, pending the court‘s decision in a separate case
Ms. Sneed argued, through counsel, that her reliance on attorney Katrina J. Eagle to file her appeal with the Court was perfectly reasonable, and that Ms. Eagle‘s conduct amounted to extraordinary circumstances beyond [Ms. Sneed‘s] control. Appellant‘s Resp. to Ct. Order, Sneed v. Shinseki, Vet. App. No. 11-2715 (quoting Bove, 25 Vet. App. at 140). Ms. Sneed asked the court to allow equitable tolling in her case.
The Veterans Court declined to apply equitable tolling and dismissed Ms. Sneed‘s appeal. The court held that Ms. Sneed‘s circumstances did not fit within the parameters of equitable tolling, which
applied only when circumstances precluded a timely filing despite the exercise of due diligence, such as (1) a mental illness rendering one incapable of handling one‘s own affairs or other extraordinary circumstances beyond one‘s control, (2) reliance on the incorrect statement of a VA official, or (3) a misfiling at the regional office or the Board.
Sneed v. Shinseki, 2012 U.S. App. Vet. Claims LEXIS 2062, at *3–4 (Vet. App. Sept. 27, 2012) (Veterans Court Decision) (quoting Bove, 25 Vet. App. at 140) (internal quotation marks omitted). Rather, because Ms. Eagle had informed Ms. Sneed that she was not required to have an attorney to file her notice of appeal, and because Ms. Eagle was not a VA official, the court held Ms. Sneed‘s twenty-nine-day-late filing evidence[d] general negli-
After the dismissal, Ms. Sneed‘s counsel withdrеw, and Ms. Sneed filed a pro se motion for reconsideration, which the Veterans Court denied. Ms. Sneed, with new counsel, timely appealed to this court.
DISCUSSION
I.
Our jurisdiction to review decisions of the Veterans Court is limited by statute. Pursuant to
This court has jurisdiction over the proper interpretation of
The Secretary argues that Ms. Sneed is actually challenging the Veterans Court‘s factual findings, which this court lacks jurisdiction to review. According to the Secretary, the Veterans Court found that Ms. Sneed did not exercise due diligence, thus precluding equitable tolling under any standard. However, the Veterans Court‘s factual findings are unclear. On one hand, thе court stated that Ms. Sneed‘s late filing evidence[d] general negligence or procrastination, but later said that despite her exercise of due diligence, Ms. Sneed failed to demonstrate that circumstances prevented her from timely filing. Veterans Court Decision at *4–5. During oral argument, the Secretary seemed to concede that the Veterans Court made no explicit finding with respect to diligence. Oral Arg. at 23:22–23:28, Sneed v. Shinseki, available at http://www.cafc.uscourts.gov/oral-argument-recordings/all/sneed.html (answering that there was no express finding of diligence based on what Ms. Sneed had done day by day).
Moreover, Ms. Sneed does not challenge the Veterans Court‘s findings of fact, and does not ask this court to make any new or contrary findings. Rather, she argues the Veterans Court erroneously failed to recognize attorney abandonment as a basis for equitable tolling. Even where factual disputes may remain, we have authority to decide whether the Veterans Court applied the correct legal standard. Lamour v. Peake, 544 F.3d 1317, 1321 (Fed. Cir. 2008).5 Certainly, this court has jurisdiction to
II.
[A] litigant seeking equitable tolling bears the burden of establishing two elements: (1) that he has been pursuing his rights diligently, and (2) that some extraordinary circumstance stood in his way. Pace v. DiGuglielmo, 544 U.S. 408, 418 (2005) (citing Irwin v. Dep‘t of Veterans Affairs, 498 U.S. 89, 96 (1990)). In Irwin, the Supreme Court established a rebuttable presumption that equitable tolling applies to suits against the Government, in the same way that it is applicable to private suits, unless Congress has expressed its intent to the contrary. 498 U.S. at 95–96.
In 1998, this court applied Irwin to hold that the 120-day limit for filing appeals to the Veterans Court was subject to equitable tolling.7 Bailey v. West, 160 F.3d 1360, 1368 (Fed. Cir. 1998) (en banc) (citing
The en banc decision of Henderson v. Shinseki reversed this line of cases, and held thаt the filing deadline in
III.
The issue in this case is whether the Veterans Court applied an improperly narrow standard in rejecting Ms. Sneed‘s equitable tolling argument. The Veterans Court began its equitable tolling analysis by reciting Bove‘s open-ended equitable tolling standard: whether circumstances precluded a timely filing despite the exercise of due diligence. Veterans Court Decision at *3 (quoting Bove, 25 Vet. App. at 140). It recounted three instances in which this court has applied equitable tolling: (1) a mental illness rendering one incapable of handling one‘s own affairs or other extrаordinary circumstances beyond one‘s control, (2) reliance on the incorrect statement of a VA official, or (3) a misfiling at the regional office or the Board. Veterans Court Decision at *3–4 (quoting Bove, 25 Vet. App. at 140). The Veterans Court denied equitable tolling, stating that the circumstances preceding Ms. Sneed‘s late filing are not extraordinary, but rather evidence general negligence or procrastination. Veterans Court Decision at *4. However, the Veterans Court did not consider whether Ms. Eagle‘s abrupt withdrawal only one day before the filing deadline constituted extraordinary circumstances. Rather, it summarily concluded that Attorney Eagle is not a VA official Id. at *4 n.1 (citing Bailey v. West, 160 F.3d 1360 (holding a veteran‘s reliance on the incorrect statement of a VA official could justify equitable tolling)).
In so reasoning, the Veterans Court improperly treated the listed examples—including reliance on the incorrect statement of a VA official—as the exclusive parameters of equitable tolling. Id. at *3. Equitable
The Supreme Court has held that attorney abandonment may constitute a basis for equitable tolling. [U]nprofessional attorney conduct may, in certain circumstances, prove egregious and can be extraordinary, thus forming a basis for equitable tolling. Holland, 130 S. Ct. at 2564 (citations omitted). In contrast, a garden variety claim of excusable neglect, such as a simple miscalculation that leads a lawyer to miss a filing deadline does not warrant equitable tolling. Id. at 2564 (internal quotation marks and citations omitted). The Court later emphasized the difference between mere attorney negligence and attorney abandonment. Maples v. Thomas, 132 S. Ct. 912, 924–27 (2012). In the latter, a counsel‘s near-total failure to communicate with petitioner or to respond to [the client‘s] many inquiries and requests over a period
According to the Secretary, the Veterans Court Decision did not foreclose attorney abandonment as a basis for equitable tolling, but rather applied the broad standard articulated in Bove that equitable tolling is appropriate when circumstances precluded a timely filing despite the exercise of due diligence. Veterans Court Decision at *3 (quoting Bove, 25 Vet. App. at 140). The Veterans Court‘s analysis, which dismissed the significance of Ms. Eagle‘s conduct bеcause she was not a VA official, belies this contention. Additionally, other Veterans Court cases appear to foreclose attorney abandonment as a basis for equitable tolling. For instance, the Veterans Court addressed attorney abandonment in Metras v. Shinseki, 2013 U.S. App. Vet. Claims LEXIS 1012 (Vet. App. June 26, 2013) (unpublished). In Metras, the Veterans Court held Holland and Maples were distinguishable in part because, unlike in Maples and Holland (both habeas corpus cases), neither Mr. Metras‘s liberty nor his person is at risk.9 Metras, 2013 U.S. App. Vet. Claims LEXIS
Contrary to this reasoning, the equitable principles invoked in Holland and Maples apply just as strongly in veterans cases as they do in the habeas corpus context. Although benefits cases may not threaten veterans’ liberty or persons, veterans risked both life and liberty in their military service to this country. The veterans benefits scheme is thus imbued with special beneficence from a grateful sovereign. Bailey, 160 F.3d at 1370 (Michel, J., concurring). In holding equitable tolling applied to
The Secretary nevertheless argues that attorney abandonment cannot justify equitable tolling in the civil context because litigants in such cases do not enjoy the constitutional right to the effective assistance of counsel. Appellee‘s Br. 17 n.6 (citing Pitts v. Shinseki, 700 F.3d 1279, 1286 (Fed. Cir. 2012) (holding the right to the effective assistance of counsel does not apply to proceedings before the [Veterans Court])). However, a petition for a writ of habeas corpus is itself a civil action, Woodford v. Ngo, 548 U.S. 81, 90–91 & n.2 (2006), tо which the Sixth Amendment right to counsel does not apply,
Holland and Maples averted hardships caused by a hard and fast adherence to general agency principles by holding that a client cannot be charged with the acts or omissions of an attorney who has abandoned him. Maples, 132 S. Ct. at 924; see also Holland, 130 S. Ct. at 2568 (Alito, J., concurring). The hardship of default resulting from attorney abandonment is particularly difficult to bear in the context of an appeal to the Veterans Court, which is often the veteran‘s first opportunity to be represented by an attorney. See
CONCLUSION
For the foregoing reasons, the Veterans Court‘s decision dismissing Ms. Sneed‘s appeal is vacated, and the case is remanded for further proceedings consistent with this opinion.
VACATED AND REMANDED
MARVA J. SNEED, Claimant-Appellant, v. ERIC K. SHINSEKI, Secretary of Veterans Affairs, Respondent-Appellee.
2013-7029
United States Court of Appeals for the Federal Circuit
The majority‘s pronouncements on attorney abandonment are pure dicta; this appeal is plainly beyond our jurisdiction. I therefore respectfully dissent.
I
This case is not factually complex. Ms. Sneed contacted an attorney, Katrina Eagle, with the intent of retaining her in her appeal to the Veterans Court. After she contacted Ms. Eagle‘s office several times, Ms. Sneed received a formal letter from Ms. Eagle on August 2, 2011, informing her that Ms. Eagle could not represent her because her benefits claim was meritless. In the letter, Ms. Eagle erroneously informed Ms. Sneed that her
The Veterans Court rejected Ms. Sneed‘s request to excuse her untimely NOA. It found that Ms. Sneed knew that she did not need an attorney to proceed before the Court, and regardless of whether Attorney Eagle misinformed [Ms. Sneed] of the NOA due date by two days, [Ms. Sneed] filed her NOA 29 days after it had been due. J.A. 49. Those facts, the Veterans Court concluded, demonstrated that the circumstances leading up to [Ms. Sneed‘s] late NOA are not extraordinary, but rather evidence general negligenсe or procrastination. Id.
II
The majority insists, however, that the Veterans Court committed legal error by not recognizing that attorney abandonment can be a ground for equitable tolling of an NOA deadline. But we have jurisdiction when an appellant urges alteration of the standard for equitable tolling only when the material facts are not in dispute and the adoption of a particular legal standard would dictate the outcome of the equitable tolling claim. Mapu v. Nicholson, 397 F.3d 1375, 1379 (Fed. Cir. 2005) (emphasis added). The attorney abandonment doctrine does not dictate the outcome of the equitable tolling claim here. It was irrelevant to the Veterans Court‘s disposition of this case and should be to ours.1
Thus, it is quite apparent that, as the Veterans Court found, the untimeliness of Ms. Sneed‘s NOA was due to her general negligence or procrastination—nothing
III
Nevertheless, the majority insists on interpreting the Veterans Court‘s opinion in a way that allows it to correct what they see as a persistent—yet unspoken—policy of the Veterans Court to not recognize attorney misconduct as a basis for equitable tolling. Again, the majority overlooks the facts.
Ms. Sneed has conceded that the Veterans Court has at least acknowledge[d] the possibility that attorney abаndonment may be a ground for tolling the deadline to appeal to the Veterans Court. Appellant‘s Rule 28(j) Letter, Aug. 21, 2013, ECF No. 44. And the Veterans Court has long recognized that egregious attorney mis-
IV
Like the majority, I recognize the sacrifices that veterans have made for our country. And I agree that they are imbued with special beneficence for their service to a grateful nation. Majority Op. at 14 (quoting Bailey v. West, 160 F.3d 1360, 1370 (Fed. Cir. 1998) (en banc)). However, the provision of those benefits is a matter reserved to Congress. Likewise, the scope of our review of decisions relating to thosе benefits is determined exclusively by Congress. We should not evade the restrictions imposed on our jurisdiction by
Notes
Nor does Mapu, on which the dissent relies, state otherwise. Mapu holds that this court has jurisdiction when material facts are not in dispute and the adoption of a particular legal standard would dictate the outcome of the equitable tolling claim. Mapu, 397 F.3d at 1379 (quoting Bailey v. Principi, 351 F.3d 1381, 1384 (Fed. Cir. 2003)). It does not go further and say that this court only has jurisdiction over outcome dispositive issues. To the contrary, the Mapu and Bailey standard has been broadly interpreted to mean that this court has jurisdiction to determine whether there is an error of law in a Veterans Court decision, Szemraj, 357 F.3d at 1375, and has been repeatedly cited to support the exercise of jurisdiction, not its absence. See, e.g., Brandenburg v. Principi, 371 F.3d 1362, 1363–64 (Fed. Cir. 2004); Nelson, 489 F.3d at 1383.
In stating that harmless error plays no part in this case, Dissenting Op. at 2 n. 1, the dissent misapprehends the jurisdictional analysis. The point is not that the error here is harmless, but that this court‘s jurisdiction under
Attorney Eagle‘s failure to file a Notice of Appeal[,] . . . the erroneous advisement of the due date[,] . . . as well as the fact that attorney Eagle did not notify Ms. Sneed that she would not be representing her until the day before the Notice of Appeal was due, constitute extraordinary circumstances beyond Ms. Sneed‘s control.
J.A. 37. The same argument was also made in Ms. Sneed‘s pro se motion for reconsideration, J.A. 53–54, and in the September 1 and 7, 2011, letters filed pro se with the Veterans Court, J.A. 40–43. Here, Ms. Sneed‘s attorney abandonment arguments were adequately preserved for appeal.
In order to obtain review by the Court of Appeals for Veterans Claims of a final decision of the Board of Veterans’ Appeals, a person adversely affected by such decision shall file a notice of appeal with the Court within 120 days after the date on which notice of the decision is mailed pursuant to section 7104(e) of this title.
