Manu Kennedy v. Murial Bowser
Opinion of the Court
Concurring opinion filed by Circuit Judge GRIFFITH.
Manu Kennedy was a fireman with the District of Columbia (District) Fire and Emergency Medical Services Department (Department). He had a beard. Department policy required him to shave it. Because of a medical condition, however, he could not do so without discomfort and infection. He asked the Department to accommodate his condition. The Department refused. Kennedy sued, alleging 28 counts of discrimination. As relevant here, he alleged disability discrimination under the Americans with Disabilities Act of 1990 (ADA) and related statutes, arguing that his condition was a “disability” as defined by the ADA Amendments Act of 2008 (Amendments Act or Act). The district court dismissed eight counts resting on that definition. It later denied reconsideration. Kennedy appeals the latter order on an interlocutory basis under 28 U.S.C. § 1292(b).
Section 1292(b) provides an appellate court with jurisdiction to review an interlocutory order only “if application is made to it within ten days after the entry of the order[.]” Kennedy did not satisfy that condition. He filed a notice of appeal in the district court two days after the court denied reconsideration. But he waited several weeks before filing his application in this Court. He does not dispute that his application was late and therefore inadequate under section 1292(b). Instead he contends that the notice of appeal and the order denying reconsideration, both of which were transmitted to this Court within the statutory period, serve the same purpose as an application and can be treated as such. We disagree. Even assuming the “functional equivalent” of an application satisfies section 1292(b) and Rule 5 of the Federal Rules of Appellate Procedure — an issue we do not decide — the notice and order here do not meet that description. Absent a timely application, we lack jurisdiction. Carr Park, Inc. v. Tesfaye, 229 F.3d 1192, 1194 (D.C. Cir. 2000) (per curiam). Accordingly, and for the reasons below, we dismiss Kennedy’s appeal.
I. BACKGROUND
Kennedy attempts to appeal the dismissal of several claims. We therefore “accept all the well-pleaded factual allegations of the complaint as true and draw all reasonable inferences from those allegations in [his] favor.” Banneker Ventures, LLC v. Graham, 798 F.3d 1119, 1129 (D.C. Cir. 2015). Because we do not — indeed cannot — pass upon the merits, see Steel Co. v. Citizens for a Better Env’t, 523 U.S. 83, 93-95, 118 S.Ct. 1003, 140 L.Ed.2d 210 (1998), we recite the facts and procedural history only as necessary to provide context for dismissing the appeal.
A. Alleged Discrimination
In 2001, the Department implemented a policy prohibiting beards. The policy was meant to ensure that every firefighter’s respirator fit properly. Kennedy began working for the Department in 2002 and complied with the policy for several years. He did so even though he suffered from pseudofolliculitis barbae, a condition that
By May 2008, Kennedy had an infected spot on his face that did not heal because of his close shaving. His dermatologist told him that he needed to maintain facial hair of at least one-eighth inch. Kennedy followed his physician’s recommendation and in July 2008 arrived at' work with a beard. He gave the Department documentation of his physician’s opinion and sought an accommodation for his condition. The Department denied his request and temporarily suspended him.
In September 2008, the Congress passed the Amendments Act, Pub. L. No, 110-325, 122 Stat. 3553, “to broaden the definition of a disability” under the ADA, 42 U.S.C. §§ 12101 et seq. Nurriddin v. Bolden, 818 F.3d 751, 757 n.4 (D.C. Cir. 2016) (per curiam); compare 42 U.S.C. § 12102(2) (1990) (earlier definition), with Amendments-Act § 4(a), 122 Stat. at 3555-56 (expanded definition). The Congress found that courts had unduly “narrowed the broad scope of protection intended to be afforded by the ADA”- and “incorrectly found in individual cases that people with a range of substantially limiting impairments are not people with disabilities!)]” Amendments Act § 2(a)(4), (6), 122 Stat. at 3553, The Act took effect on January 1, 2009. Amendments Act § 8, 122 Stat. at 3559.
In 2009 through 2018⅛ between absences owing to suspension, stress and depression, Kennedy continued to work at the Department. But because he had a beard — and even though he had passed a “fit test” demonstrating that he could safely wear a respirator over it — the Department limited him to office duty, training and fire inspections, At least twice after January 1, -2009, Kennedy sought an' accommodation permitting him to work— bearded — full time in the field. The Department either denied the requests or did not act on them. Kennedy resigned .in May 2013.
B, Kennedy’s Complaint
In September 2013, Kennedy filed suit against the District, the Department and several officials. The district court dismissed from the suit all defendants except the District. The. complaint alleged 28 counts of discrimination. At issue here are eight counts that allege violations of 42 U.S.C. § 1983 (Counts 6, 9 and 13); the District of Columbia Human Rights Act of 1977, D.C. Code §§ 2-1401.01 et seq. (Counts 10 and 14); and the Rehabilitation Act of 1973, 29 U.S.C. §§ 701 et seq. (Counts 22, 23 and 24). Those eight counts rest on Kennedy’s claim that his condition, pseudofolliculitis barbae, is a disability within the meaning of the ADA.
C. District Court’s Dismissal op Counts and Certification op Appeal
In March 2015, the district court dismissed those eight counts. It recognized that, before it could determine whether Kennedy had alleged facts sufficient to stave off dismissal, it had to decide whether the Amendments Act applied. It held that the Act did not apply and that “the pre-amendment liability standards govern this case.” Mem. Op, 9, Dkt. No. 21 (Mar. 20, 2015). In reaching its conclusion, the court emphasized that’ the Act “did not become effective until January 1, 2009, and it does not have retroactive effect.” Id. at 7 (citing Lytes v. D.C. Water & Sewer Auth., 572 F.3d 936 (D.C. Cir. 2009)). In the court’s view, applying the Act’s expanded definition of a disability even to the Department’s post-enactment failures to accommodate Kennedy’s condition gave the Act retroactive effect because the Department’s conduct related back to the 2008 request for an accommodation. The court then held that Kennedy’s condition did not
In April 2015, Kennedy moved the district court to reconsider its decision.
On November 16, 2015, the district court denied reconsideration but certified for immediate appeal “the issue of whether the [expanded] definition of ‘disability’ applies to Kennedy’s complaints_”
D. Kennedy’s Attempt to Perfect Appeal
Section 1292(b) requires the appellant to file an application for peimission to appeal with the appellate court within ten days after entry of the order from which the appeal is taken. Under Federal Rule of Appellate Procedure 5, which implements section 1292(b),
Notwithstanding those provisions, Kennedy filed a notice of appeal in district court on November 18, 2015, two days after the order denying reconsideration. The next day, November 19, the district
II. ANALYSIS
Kennedy argues that we have jurisdiction under section 1292(b).
Section 1292(b) provides:
When a district judge, in making in a civil action an order not otherwise ap-pealable under this section, shall be of the opinion that such order involves a controlling question of law as to which there is substantial ground for difference of opinion and that an immediate appeal from the order may materially advance the ultimate termination of the litigation, he shall so state in writing in such order. The Court of Appeals which would have jurisdiction of an appeal of such action may thereupon, in its discretion, permit an appeal to be taken from such order, if application is made to it within ten days after the entry of the order: Provided, however, That application for an appeal hereunder shall not stay proceedings in the district court unless the district judge or the Court of Appeals or a judge thereof shall so order.
28 U.S.C. § 1292(b).
Rule 5 effectuates and augments the statute. Rule 5(a)(1) provides in part that “a party must file a petition for permission to appeal[,]” which petition “must be filed with the circuit clerk[.]” Rule 5(b)(1) lists the required “[cjontents of the [pjetition” as follows:
■ (A) the facts necessary to understand the question presented;
(B) the question itself;
(C) the relief sought;
(D) the reasons why the appeal should be allowed and is authorized by a statute or rule; and
(E) an attached copy of:
(i) the order, decree, or judgment complained of and any related opinion or memorandum, and
(ii) any order stating the district court’s permission to appeal or finding that the necessary conditions are met.
Finally, Rule 5(b)(2) provides that “[a] party may file an answer in opposition or a cross-petition within 10 days after the petition is served.”
We have not previously addressed whether a notice of appeal, accompanied by the order certifying an appeal, can satisfy section 1292(b) and Rule 5 if the docu
Our sister circuits have taken divergent approaches to the application requirement. Some have “strictly construed” the requirement. Milbert v. Bison Labs., Inc., 260 F.2d 431, 436 (3d Cir. 1958) (en banc); see also, e.g., Lynch v. Johns-Manville Sales Corp., 701 F.2d 44, 45 (6th Cir. 1983) (per curiam) (requiring “strict compliance”). Other courts áre somewhat more flexible. Analogizing to United States Supreme Court precedent interpreting Federal Rule of Appellate Procedure 3, see Smith v. Barry, 502 U.S. 244, 247-50, 112 S.Ct. 678, 116 L.Ed.2d 678 (1992); Torres v. Oakland Scavenger Co., 487 U.S. 312, 314-18, 108 S.Ct. 2405, 101 L.Ed.2d 285 (1988), the latter courts have held or at least suggested that they do not require strict compliance if a “functional equivalent” serves as the application, see, e.g., In re Turner, 574 F.3d 349, 351-54 (7th Cir. 2009) (Rule 5); Blausey v. U.S. Tr., 552 F.3d 1124, 1130-31 (9th Cir. 2009) (per curiam) (Rule 5); Estate of Storm v. Nw. Iowa Hosp. Corp., 548 F.3d 686, 687-88 (8th Cir. 2008) (per curiam) (section 1292(b) and Rule 5); Main Drug, Inc. v. Aetna U.S. Healthcare, Inc., 475 F.3d 1228, 1231-32 (11th Cir. 2007) (Rule 5); Casey v. Long Island R.R. Co., 406 F.3d 142, 145-46 (2d Cir. 2005) (section 1292(b) and Rule 5); Aucoin v. Matador Servs., Inc., 749 F.2d 1180, 1181 (5th Cir. 1985) (section 1292(b) and Rule 5).
We need not choose between the competing approaches here. Even under the more flexible approach, the documents the district court transmitted to this Court were not equivalent to an application. See Torres, 487 U.S. at 315-16, 108 S.Ct. 2405 (“Permitting imperfect but substantial compliance with a technical requirement is not the same as waiving the requirement altogether as a jurisdictional threshold.”). The baseline requirement is that the “party must file a petition for permission to appeal ... with the circuit clerk_” Fed. R. App. P. 5(a)(1) (emphasis added). The only thing Kennedy filed within the statutory period was the notice of appeal. Because the notice was not directed to this Court and did not request permission to appeal, it nowise functioned as an application. See Main Drug, 475 F.3d at 1232 (notice of appeal and application for permission to appeal “are fundamentally different” in terms of “function”); Aucoin, 749 F.2d at 1181 (notice of appeal “misfires in function”); cf. Casey, 406 F.3d at 146 (merits brief filed in court of appeals before section 1292(b)’s ten-day deadline was functional equivalent of application).
Nor do we have any business rewriting Rule 5 to permit a would-be appellant to enlist the district court.to serve as his proxy by the latter’s transmitting the notice of appeal and the order under review as a rough substitute for an application. The district court’s order explained why, in the court’s view, the case met the statutory criteria for certification. Mem. Op. & Order 9, Dkt. No. 30 (Nov. 16, 2015) (court concluded that Amendments Act issue was “ ‘a controlling question of law as to which there is substantial ground for difference of opinion’ ” and that “ ‘an immediate appeal ... may materially advance the ultimate termination of the litigation’ ”) (quoting 28 U.S.C. § 1292(b)) (ellipses supplied by district court). To repeat, however, the Rule requires that a party file the petition,
Section 1292(b)’s discretionary nature reinforces our conclusion. 28 U.S.C. § 1292(b) (if district court certifies appeal, appellate court “may thereupon, in its discretion, permit an appeal to be taken .., ”). The legislative history compares the áppellate court’s discretion under section 1292(b) to the Supreme Court’s discretion to grant or deny certiorari under 28 U.S.C. § 1254(1). S. Rep. No. 85-2434, at 3 (1958) (appellate court “may refuse to entertain such an appeal in much the same manner that the Supreme Court today refuses to entertain applications for writs of certiora-ri”). In other words, we “may deny the appeal for any reason, including docket congestion,” Coopers & Lybrand, 437 U.S. at 475, 98 S.Ct. 2454, and we are not limited to the statutory criteria that govern the district court’s certification decision, Katz v. Carte Blanche Corp., 496 F.2d 747, 754 (3d Cir. 1974) (en bane). It follows that the district court, in certifying an appeal, may not ordinarily discuss all of the considerations bearing on “why the appeal should be allowed[.]” Fed. R. App. P. 5(b)(1)(D). That is the applicant’s task, a necessary part of which is persuading us that there is no prudential impediment to our interlocutory review. See, e.g., Garcia v. Johanns, 444 F.3d 625, 636-37 (D.C. Cir. 2006) (declining under section 1292(b) to review claim “benefitfing] from further development in the district court”); 16 Charles Alan Wright et al„ Federal PRACTICE AND PROCEDURE: JURISDICTION AND Related Matters § 3929, at 447-52 & nn.51, 54-58 (3d ed. 2012) (citing cases denying or withdrawing permission to appeal for various prudential reasons).
In short, neither the notice of appeal nor the district court’s order performed the required adversarial functions. The notice was pro forma. The order (properly) addressed only the statutory criteria with no reference to prudential considerations that might stay our hand until final judgment. Additionally, Kennedy’s failure to file a bona fide application within the statutory period deprived the District of an opportunity to respond promptly. Under Rule 5(b)(2), the District was entitled to “file an answer in opposition or a cross-petition within 10 days after the petition [was] served.” If Kennedy were right that he effectively petitioned this Court on November 19, 2015 — the day the notice and the order were transmitted — the District’s answer would have been due on November 30.
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The notice of appeal and the order transmitted to this Court on November 19, 2015, were not the functional equivalent of an application for permission to appeal and the application that Kennedy filed on December 30, 2015, was untimely under 28 U.S.C. § 1292(b). Because a timely application is a “condition precedent[]” to appellate jurisdiction, Milbert, 260 F.2d at 435; see Carr Park, Inc., 229 F.3d at 1194, we dismiss the appeal.
So ordered.
. Kennedy styled his motion as one to alter or amend judgment. Because the district court’s March 2015 order did not resolve all of his claims or result in a judgment, however, the court treated the motion as one seeking reconsideration. Kennedy does not claim error on that score.
. Under section 1292(b), "appellate jurisdiction applies to the order certified to the court of appeals, and is not tied to the particular question formulated by the district court." Yamaha Motor Corp., U.S.A. v. Calhoun, 516 U.S. 199, 205, 116 S.Ct. 619, 133 L.Ed.2d 578 (1996) (emphasis in original). The district court did not specify which order — the March 2015 order dismissing counts or the November 2015 order denying reconsideration — it was certifying. But because the time for appealing, the March order had expired, and because the certification was included in the November order, we conclude that the court certified the latter order. See Fed. R. App. P. 5(a)(3) ("[Tjhe district court may amend its order, either on its own or in response to a party’s motion, to include the required permission or statement. In that event, the time to petition runs from entry of the amended order,’’),
.Rule 5 "govern[s] all discretionary appeals from district-court orders, judgments, or decrees .., including] interlocutory appeals under 28 U.S.C. § 1292(b), (c)(1), (d)(1) & (2),” Fed. R. App. P. 5 advisory committee’s note to 1998 amendments.
. Because Kennedy invokes only section 1292(b), we need not consider whether there is any alternative basis for jurisdiction. See Scenic Am., Inc. v. Dep’t of Transp., 836 F.3d 42, 53 n.4 (D.C. Cir. 2016) ("Although a party cannot forfeit a claim that we lack jurisdiction, it can forfeit a claim that we possess jurisdiction.'').
. November 29 was a Sunday so the due date would have been November 30. See Fed. R. App. P. 26(a)(1)(C).
. Kennedy also urged us to treat the district court's certification of an appeal as "entry of a final judgment” under Federal Rule of Civil Procedure 54(b), at least as to the eight counts based on the ADA. Oral Arg, Recording 5:37-7:39. Because he raised that point for the first time at oral argument, we do not consider it. United States ex rel. Davis v. District of Columbia, 793 F.3d 120, 127 (D.C. Cir. 2015) (“Generally, arguments raised for the first time at oral argument are forfeited.”).
Concurring Opinion
concurring:
I join the court’s holding that Kennedy failed to timely file even the functional equivalent of a petition for permission to appeal under 28 U.S.C. § 1292(b) and Federal Rule of Appellate Procedure 5, Before the statutory deadline, all Kennedy did was file a notice of appeal with the district court’s clerk. And all this court received— transmitted by the district court’s clerk— was that notice, the district court’s opinion and order certifying the interlocutory appeal, and the district court’s docket sheet. These materials failed to perform two essential functions of a petition for permission to appeal: to actually request permission from this court, and to put the other party on notice of its chance to respond. See Op. at 535, 536-37; see also Fed. R. App. P. 5(a)(1) (“To request permission to appeal ... a party must file a petition for permission to appeal.”); id. (requiring “proof of service on all other parties to the district-court action”); id. 5(b)(2) (“A party may file an answer in opposition or a cross-petition within 10 days after the petition is served.”).
I write separately to emphasize that our decision is limited to the facts at hand: a filing that fails to perform the most rudimentary functions of a proper petition. Our holding does not resolve whether more conscientious efforts might qualify as functional equivalents of petitions for permission to appeal. For instance, we do not rule out that a filing might pass muster as a functional equivalent if it adopts the district court’s reasoning by reference. But Kennedy’s filing did not even direct attention to the portion of the district court’s opinion discussing § 1292(b). Neither do we hold that a party must anticipate and address the range of prudential considerations that the appellate court might find relevant. But Kennedy failed even to ask this court to permit the appeal. Nor do we hold that a party may never use an agent to transmit a petition to the circuit court as Kennedy does not argue that he had used the district court’s clerk in that way.
Reference
- Full Case Name
- Manu KENNEDY, Appellant v. Muriel BOWSER, Mayor of Washington, District of Columbia, Et Al., Appellees
- Cited By
- 1 case
- Status
- Published