Ettinger v. Johnson
Concurring Opinion
(concurring):
Although I have serious reservations regarding this Court’s holding in Sperling v. United States
. 515 F.2d 465 (3rd Cir., 1975). Compare Salone v. United States, 511 F.2d 902 (10th Cir. 1975); Chandler v. Johnson, 515 F.2d 251 (9th Cir., Apr. 25, 1975); Hackley v. Johnson, 360 F.Supp. 1247 (D.D.C. 1973), appeal docketed, No. 73-2072 (D.C.Cir., Sept. 7, 1973).
. 42 U.S.C. § 2000e-16(c) (Supp. 1975).
. In deciding the retroactivity issue in Sperling the Court referred to a similar ruling by the Second Circuit in Brown v. General Services Administration, 8 F.E.P.Cas. 1299 (1974). See No. 74-1533 at 14 n. 30. The Supreme Court has granted certiorari in Brown. 421 U.S. 987, 95 S.Ct. 1989, 44 L.Ed.2d 476 (1975). The Sixth Circuit has held that section 717(c) is not retroactive. Place v. Weinberger, 497 F.2d 412 (6th Cir. 1974), cert. denied, 419 U.S. 1040, 95 S.Ct. 526, 42 L.Ed.2d 316 (1974).
Opinion of the Court
OPINION OF THE COURT
This appeal challenges an August 20, 1974, order of the district court, which denied plaintiff Ettinger’s motions for class designation and for leave to amend her complaint, and entered judgment on the first amended complaint in favor of the defendants.
Ettinger was hired as a psychology technician, grade GS-5, by the Veterans Administration Center in Philadelphia, Pennsylvania (the Center) on May 5, 1970. She was promoted in December 1970 to grade GS-6.
Melidosian forwarded Ettinger’s complaint to the Director of the Veterans Administration (VA), with the recommendation that it be rejected as untimely. This recommendation considered only the timeliness of the three complaints identified by the counselor as having been raised at the November 17 counseling session. No mention of the December 6 interview or of the allegedly
On February 22, 1973, Ettinger received a letter from the YA’s Acting Assistant General Counsel, who declined to act on her complaint due solely to its untimeliness. The letter went on to state:
“If you are dissatisfied with this final decision, you have the following appeal rights:
You may appeal to the Chairman, Board of Appeals and Review, U. S. Civil Service Commission, Washington, D. C. 20415, within 15 calendar days of receipt of the decision. You may file a civil action in an appropriate U. S. District Court within 30 days of receipt of the decision.
If you . . . appeal to the Commission, a civil action in a U. S. District Court may be filed within 30 days of receipt of the Commission’s final decision.
A civil action may also be filed anytime after 180 days of the date of initial appeal to the Commission if there has not been a final decision rendered.”4
Pursuant to this notice of the right to sue, Ettinger bypassed an appeal to the Civil Service Commission and timely filed a complaint in the district court,
Ettinger filed this timely appeal in which she argues that she is entitled to a trial de novo of her discrimination claims in the district court and that, in any event, her resort to the administrative process was not untimely.
“The doctrine of exhaustion of administrative remedies is well established in the jurisprudence of administrative law. See generally 3 K. Davis, Administrative Law Treatise § 20.01 et seq. (1958 ed., 1965 Supp.); L. Jaffe, Judicial Control of Administrative Action, 424-458 (1965). The doctrine provides ‘that no one is entitled to judicial relief for a supposed or threatened injury until the prescribed administrative remedy has been exhausted.’ Myers v. Bethlehem Shipbuilding Corp., 303 U.S. 41, 50-51 [58 S.Ct. 459, 82 L.Ed. 638] (1938).”
McKart v. United States, 395 U.S. 185, 193, 89 S.Ct. 1657, 1662, 23 L.Ed.2d 194 (footnote omitted) (1969).
Although, as the McKart Court pointed out, the doctrine is “subject to numerous exceptions,” id., Love v. Pullman, 404 U.S. 522, 523, 92 S.Ct. 616, 30 L.Ed.2d 679 (1972), makes clear that the exhaustion doctrine is not rendered supererogatory merely by the availability of a trial de novo in the district court. The plaintiff in Love was a private sector employee who, like federal employees under Sperling, was entitled to a trial de novo. See, e. g., Alexander v. Gardner-Denver Co., 415 U.S. 36, 94 S.Ct. 1011, 39
The requirement that federal employees must, generally, exhaust administrative remedies is also implicit in Sperling’s conclusion that “it was Congress’ intent to provide an aggrieved federal employee with as full a panoply of procedural remedies in the district court as those afforded a private sector litigant.” At 481. Since dispensation from the exhaustion requirement would give federal employees greater access to the district courts than private sector litigants, the principle of equality of remedy expressed in Sperling mandates that federal employees also be required to exhaust their administrative remedies before suing in the district court. See also Penn v. Schlesinger, 497 F.2d 970 (5th Cir. en banc 1974), app. pending, 43 U.S. L.W. 3310 (Nov. 26, 1974); Robinson v. Klassen, 9 E.P.D. 19954 (E.D.Ark. Oct. 3, 1974).
With this background, we turn to the question whether Ettinger has exhausted her administrative remedies.
Ettinger was under no duty to appeal the decision of the VA’s General Counsel to the Civil Service Commission. Sperling, supra at 472-473, 475-476. She therefore runs afoul of the exhaustion doctrine only if she failed either to bring her complaints to the attention of the counselor within the time limits prescribed by 5 C.F.R. § 713.214(a)(l)(i),
As this court noted in Sperling, supra at 481-482, summary judgment may well prove to be appropriate on remand if no genuine issues of fact appear. F.R. Civ.P. 56 applies to a trial de novo proceeding under 42 U.S.C. § 2000e-16(c), as it does to any other civil proceeding in the district court.
The judgment of the district court will, therefore, be vacated and the case remanded for proceedings consistent with this opinion.
. Memorandum and Order, Document No. 16, Civil Action No. 73-702 (E.D.Pa., Aug. 20, 1974). See also Memorandum, Document No. 20, Civil Action No. 73-702 (E.D.Pa., Sept. 5, 1974), denying Ettinger’s motion to vacate the judgment of August 20.
. GS ratings establish both salary levels and the job categories available to an employee. When Ettinger was promoted to the GS-6 level, she retained the job classification of psychology technician. In August 1972, she was transferred to another section at the Center in a new job category — Claims Clerk — but remained at the GS-6 salary level.
. See 5 C.F.R. §§ 713.213 and 713.214.
. This right to sue notice is required by 5 C.F.R. § 713.282; the time limitations and prerequisites to filing suit are set forth at 5 C.F.R. § 713.281. Section 717(c) of Title VII, 42 U.S.C. § 2000e-16(c), and the Civil Service Commission’s implementing regulations, 5 C.F.R. §§ 713.201, et seq., provide that an employee or applicant for employment who has filed an administrative complaint with his agency may file a civil action in federal district court in any of the following six basic circumstances:
(1) if 180 days have elapsed since the filing of the administrative complaint and the agency has not taken final action on the complaint (whether or not a hearing has. been held); 42 U.S.C. § 2000e-16(c); 5 C.F.R. § 713.281(b);
(2) within 30 days of a rejection or cancellation of the complaint; 42 U.S.C. § 2000e-16(c); 5 C.F.R. § 713.215;
(3) within 30 days of receipt of notice of final agency action on the complaint without a hearing; 42 U.S.C. § 2000e-16(c); 5 C.F.R. §§ 713.217(b)(3), 217(c), 221(b)(1), 221(b)(3), 218(a);
(4) within 30 days of receipt of notice of final agency action on the complaint following a hearing; 42 U.S.C. § 2000e-16(c); 5 C.F.R. §§ 713.217(b)(2); 221(b)(2), 281(a);
(5) if 180 days have elapsed since the filing of an appeal from the final agency action (with or without a hearing) to the Civil Service Commission and the Commission has not taken final action on the appeal; 42 U.S.C. § 2000e-16(c); 5 C.F.R. §§ 713.231(a), 281(d); or
(6) within 30 days of receipt of notice of final Civil Service Commission action on an appeal from the final agency action (with or without a hearing); 42 U.S.C. § 2000e-16(c); 5 C.F.R. §§ 713.231(a), 281(c).
See note 7, infra.
. See Memorandum and Order, Document No. 11, Civil Action No. 73-702 (E.D.Pa., Feb. 28, 1974).
. Ettinger also asserts that, even if she is not entitled to a trial de novo, the case should be remanded to the district court “because the court abused its discretion in denying plain
. “(c) Within thirty days of receipt of notice of final action taken by a department, agency, or unit referred to in subsection (a) of this section, or by the Civil Service Commission upon an appeal from a decision or order of such department, agency, or unit on a complaint of discrimination based on race, color, religion, sex or national origin, brought pursuant to subsection (a) of this section, Executive Order 11478 or any succeeding Executive orders, or after one hundred and eighty days from the filing of the initial charge with the department, agency, or unit or with the Civil Service Commission on appeal from a decision or order of such department, agency, or unit until such time as final action may be taken by a department, agency, or unit, an employee or applicant for employment, if aggrieved by the final disposition of his complaint, or by the failure to take, final action on his complaint, may file a civil action as provided in section 2000e-5 of this title, in which civil action the head of the department, agency, or unit, as appropriate, shall be the defendant.”
. The parties have assumed that 42 U.S.C. § 2000e-16(c) applies to Ettinger’s case. Yet only one instance of discrimination recognized by the counselor — the promotion denied in April 1972 — occurred after the effective date of § 2000e-16, March 24, 1972. The other instances of discrimination alleged by Ettinger and identified by the counselor occurred before March 24, 1972. None of these instances were the subject of an administrative action pending on the effective date of § 2000e-16. Sperling held that § 2000e-16(c) applied retroactively “to actions where an administrative claim, was pending at the time of [the statute’s] enactment.” See also Brown v. General Servs. Admin., 8 F.E.P.Cas. 1299 (2d Cir. 1974), cert. granted, 421 U.S. 987, 95 S.Ct. 1989, 44 L.Ed.2d 476 (1975); Koger v. Ball, 497 F.2d 702 (4th Cir. 1974); Womack v. Lynn, 504 F.2d 267 (D.C.Cir. 1974). The rationale of Sperling and the above-cited cases which reach the same conclusion is that the substantive right to be free of discrimination antedated the statute, which was merely “procedural and remedial in nature.” Sperling, supra, at 473. See also 504 F.2d at 269, n. 5. This rationale suggests that § 2000e-16(c) would apply as well where discriminatory conduct giving rise to a cause of action antedated March 24, 1972, but no relief, either administrative or judicial, was sought until after that time. See 504 F.2d at 269, n. 6.
Of course, § 2000e-16(c) clearly applies to discriminatory episodes alleged to have occurred after March 24, 1972.
. “(a) Time limits. (1) An agency shall require that a complaint be submitted in writing by the complainant or his representative and be signed by the complainant. . . The agency may accept the complaint for processing in accordance with this subpart only if—
“(i) The complainant brought to the attention of the Equal Employment Opportunity Counselor the matter causing him to believe he had been discriminated against within 30 calendar days of the date of that matter, or, if a personnel action, within 30 calendar days of its effective date; and
“(ii) The complainant or his representative submitted his written complaint to an appropriate official within 15 calendar days of the date of his final interview with the Equal Employment Opportunity Counselor.”
. The Fifth Circuit has read the exhaustion requirement as barring from district court consideration issues which were not raised in administrative proceedings. Beale v. Blount, 461 F.2d 1133, 1140 (5th Cir. 1972). Absent unusual circumstances which would make it impossible for the employee to raise an issue in the administrative process, this Fifth Circuit rule is a sound one, which promotes the purposes of the exhaustion doctrine. See McKart, supra at 193-95, 89 S.Ct. 1657, 23 L.Ed.2d 194, for an exposition of these purposes.
. “(4) The agency shall extend the time lim-. its in this section: (i) When the complainant shows that he was not notified of the time limits and was not otherwise aware of them, or that he was prevented by circumstances beyond his control from submitting the matter within the time limits; or (ii) for other reasons considered sufficient by the agency.”
Reference
- Full Case Name
- Linda ETTINGER, on her own behalf and on behalf of all others similarly situated v. Donald E. JOHNSON, Director, Veterans Administration, Washington, D. C. and S W. Melidosian, Director, Veterans Administration Center, Philadelphia, Pennsylvania
- Cited By
- 63 cases
- Status
- Published