Federal Circuits, 6th Cir. (April 06, 2000)
Docket number: 98-5971,98-6098
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Appeal from the United States District Court for the Western District of Tennessee at Memphis. No. 96-02639--Jon Phipps McCalla, District Judge.
G. Hite McLean, Jr. (argued and briefed), Memphis, Tennessee, for Plaintiff-Appellant/Cross-Appellee.Kirk A. Caraway (briefed), Martin F. Thompson (argued and briefed), Allen, Scruggs, Sossaman & Thompson, Memphis, Tennessee, for Defendant-Appellee/Cross-Appellant.Before: Krupansky and Norris, Circuit Judges; Gwin,* District Judge.OPINIONKrupansky, Circuit Judge.In case no. 98-5971, the plaintiff-appellant Gwendolyn T. Graham-Humphreys ("Graham-Humphreys") has appealed the district court's summary dismissal, as barred by statutory limitations, of her gender-based employment discrimination complaint anchored in Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq. ("Title VII"). In case no. 98-6098, the defendant-appellee Memphis Brooks Museum of Art, Inc. ("Brooks" or "the museum") has cross-appealed the trial court's rejection of its motions (1) to quash the plaintiff's summons for technical defects and (2) to dismiss the action for failure to timely serve valid process; and has concordantly challenged the trial court's retroactive curative amendment of the deficient summons.On March 4, 1994, Brooks retained the plaintiff, an unmarried woman, to serve as its Deputy Director of Corporate Relations. In that capacity, Graham-Humphreys was responsible for promoting corporate financial sponsorship of the museum. While so employed and still single, the plaintiff became pregnant. Subsequently, on January 3, 1995, she married Anderson Humphreys. Three days later, on January 6, 1995, Graham-Humphreys gave birth to a daughter. Immediately thereafter, the plaintiff began a company-authorized voluntary twelve-week unpaid maternity leave of absence.During the second week of February, 1995, while on maternity leave, Graham-Humphreys received a telephone call from Chuck Beegle ("Beegle"), the museum's Chief Operations Officer. He informed her that, because available funding hadbeen exhausted, her position with the museum had been eliminated. Nonetheless, on April 3, 1995, upon the expiration of her scheduled twelve-week absence, Graham-Humphreys reported for work at the museum. Brooks' Director, E.A. Carmean ("Carmean"), then personally confirmed that her former post at the museum no longer existed. Nevertheless, within several days of that conversation, Beegle counseled Graham-Humphreys, via telephone, that she should "sit tight" while the museum resolved whether she would eventually be recalled from "layoff" status.On approximately April 16, 1995, Graham-Humphreys discovered, at the front door of her residence, a copy of an unfavorable written assessment of her job performance, which had been executed by Carmean, purportedly on December 30, 1994. That report revealed that the plaintiff had scored only 27 quality points on a 60 point scale. The reviewer had opined that "deficiencies [were] evident" in the plaintiff's judgment, initiative, reliability, perseverance, and stability; and additionally noted her failure to recruit new commercial donors. At no time thereafter did Brooks restore the plaintiff's employment.On August 24, 1995, Graham-Humphreys instigated a formal administrative charge of employment discrimination against the museum before the United States Equal Employment Opportunity Commission ("EEOC") and the Tennessee Human Rights Commission ("THRC"), wherein she alleged that "I believe I have been discriminated against because of my sex, female and pregnancy in violation of Title VII of the Civil Rights Act of 1964, as amended." However, the EEOC/THRC took no action on her complaint. On February 28, 1996, the claimant requested, in writing, that the EEOC issue her a Right-to-Sue ("RTS") notice. 42 U.S.C. § 2000e-5(f)(1). The plaintiff has conceded that she expected to receive that official document via United States mail. Additionally, her February 28, 1996 letter to the EEOC disclosed that her attorney, Gail Mathes, would soon request a copy of her claim file.In response to her request, the EEOC on March 7, 1996 generated Graham-Humphreys' RTS memorial, and posted it, via United States certified mail, to her residential address of record at 4741 Mint Drive, Memphis, Tennessee 38117 ("Mint Drive"). Graham-Humphreys resided at that location at least between February 1996 through March 1996. On Friday, March 8, 1996, Postal Carrier Danny Stafford unsuccessfully attempted delivery of the complainant's RTS letter at her Mint Drive address. The mailman then deposited, at that residence, a form Postal Service attempt-to-deliver notification, which stated that a certified letter addressed to the plaintiff could be claimed at the local post office. That postal notice related the address, telephone number, and business hours of the nearby branch facility. Graham-Humphreys received Stafford's advisory notice on March 8, 1996, but she took no responsive action.Five days later, on Wednesday, March 13, 1996, in conformity with standard Postal Service practices, the letter handler deposited a second, and final, notice of attempted delivery at Mint Drive. That document explicitly cautioned that failure to claim the certified envelope on or prior to Saturday, March 23, 1996, would prompt its return to the sender. Graham-Humphreys received that notification on March 13, 1996. Ignoring that message as well, the complainant neglected to retrieve her certified letter by the stated March 23, 1996 deadline.Accordingly, on Tuesday, March 26, 1996, the Postal Service returned it, stamped "unclaimed," to the issuing EEOC office. Two days later, on Thursday, March 28, 1996, as a courtesy, an EEOC employee alerted Graham-Humphreys by telephone that her RTS document had been issued and posted, but had been returned as an unclaimed certifieddispatch1. Later that day, the plaintiff personally appeared at the EEOC district headquarters to accept her RTS authorization.2 Upon the EEOC's release of that document to her, Graham-Humphreys executed an acknowledgment of receipt, which stated: "I, Gwendolyn Tabb Graham-Humphreys received my copy of the Notice of Right to Sue dated 3/7/96 for my charge #250952044 today in the Memphis District Office of EEOC." In turn, the subject RTS letter advised, in part:This is your NOTICE OF RIGHT TO SUE. It is issued at your request. If you intend to sue the respondent(s) named in your charge, YOU MUST DO SO WITHIN NINETY (90) DAYS OF YOUR RECEIPT OF THIS NOTICE: OTHERWISE YOUR RIGHT TO SUE IS LOST. (Capitalizations in original).Between March 28, 1996 and mid-June, 1996, attorney Mathes endeavored, unsuccessfully, to negotiate a resolution of Graham-Humphreys' claim, by means which included a June 4, 1996 settlement proposal letter addressed to Carmean. On June 21, 1996, the plaintiff, purportedly acting pro se, inaugurated the instant Title VII action in federal district court. The record disclosed that Timothy Smith, an attorney in Mathes' firm, had drafted the complaint that initiated her federal lawsuit, for which Graham-Humphreys had paid $500. Two lawyers from Mathes' firm continued to advise Graham-Humphreys following the filing of her complaint, for which services she paid an additional $700 fee. On July 3, 1996, via Mathes' office, the plaintiff lodged an amendment to her complaint in which she requested $100,000 in compensatory damages and demanded a jury trial. The plaintiff has acknowledged that she knew that her court case had to be instituted within a legally prescribed period, although she "just relied on [her] attorneys to kind of guide [her] along on that."Mathes and Graham-Humphreys did not memorialize their attorney-client relationship in writing. At some point after the filing of the July 3, 1996 amended complaint, the Mathes firm stopped performing legal services for Graham-Humphreys. Subsequently, during September or October 1996, the plaintiff consultedDeborah Pagan, another counselor, who determined that service of the summons and amended complaint upon the museum had not yet been accomplished. Pagan furnished Graham-Humphreys with a completed original summons and several photocopies, and directed her to file the summons with the district court clerk's office for processing, and then to provide copies of all documents to a professional process server, Theresa Moses, for service upon a museum representative. At deposition, Graham-Humphreys did not relate Pagan's precise instructions, nor did she recall exactly what actions she (the plaintiff) had taken in the court clerk's office or which paper(s) she subsequently deposited in Moses' courthouse message box; she simply attested that she presented the documents at the courthouse and then "gave [Moses] whatever I was told I was supposed to give her." In any event, the summons which Moses served upon Director Carmean on October 18, 1996 (119 days following the complaint's filing)3 had not been properly conformed by the court clerk's office.4On November 7, 1996, Brooks, pursuant to Fed. R. Civ. P. 12(b)(4), moved to quash the summons for insufficiency and dismiss the action for failure to serve valid process within 120 days of the complaint's filing. After receiving the defendant's moving papers, the plaintiff telephoned Pagan, who referred her to a specialist in employment law identified simply as "Kathleen." Graham-Humphreys consulted Kathleen on several occasions. Subsequently, during a December 30, 1996 status conference, the plaintiff, represented by yet another attorney, Hite McLean, Jr.,5 moved to amend the summons to correct its fatal defects. Fed. R. Civ. P. 4(a). On January 13, 1997, the trial court granted the plaintiff's motion to amend the summons and concurrently overruled the defendant's motions to quash the summons and dismiss the case.6Thereafter, on January 30, 1998, the defendant moved, under Fed. R. Civ. P. 56, for summary judgment, charging that the plaintiff had commenced her action more than ninety days following the RTS notification, in violation of limitations. 42 U.S.C. § 2000e-5(f)(1). On April 29, 1998, the lower court sustained that motion, and dismissed the case with prejudice7. OnMay 5, 1998, the plaintiff moved, under Fed. R. Civ. P. 59(e) & 60(b), to alter or amend the final judgment. On July 8, 1998, the district judge overruled those motions. The plaintiff noticed a timely appeal from the judgment. The defendant instituted a seasonable cross-appeal, by which it contested (1) the trial forum's January 13, 1997 denial of its motions (A) to quash the defective summons and (B) to dismiss the case for insufficient process, and (2) the initial court's associated allowance of the retroactive curative amendment of the summons.This reviewing court shall initially consider the district court's summary dismissal of the action as initiated outside limitations.8 The Civil Rights Act of 1964, Title VII, posits that, if the EEOC has elected not to prosecute a citizen's employment discrimination charge, it shall notify the petitioner of his or her right to initiate a private enforcement lawsuit. " [W]ithin ninety days after the giving of such notice a civil action may be brought against the respondent named in the charge." 42 U.S.C. § 2000e-5(f)(1) (emphases added).The federal courts have strictly enforced Title VII's ninety-day statutory limit. In Baldwin County Welcome Center v. Brown, 466 U.S. 147 (1984) (per curiam), an opinion that dismissed a pro se Title VII complaint filed outside of limitations, the Supreme Court stated that "[p]rocedural requirements established by Congress for gaining access to the federal courts are not to be disregarded by courts out of a vague sympathy for particular litigants." Id. at 152. In Mohasco Corp. v. Silver, 447 U.S. 807 (1980), the Court further explained that "experience teaches that strict adherence to the procedural requirements specified by the legislature is the best guarantee of evenhanded administration of the law." Id. at 826. See also Zipes v. Trans World Airlines, Inc., 455 U.S. 385, 398 (1982).In the instant case, the EEOC issued, and posted, an RTS notice to Graham-Humphreys on March 7, 1996. The Sixth Circuit has resolved that notice is given, and hence the ninety-day limitations term begins running, on the fifth day following the EEOC's mailing of an RTS notification to the claimant's record residential address, by virtue of a presumption of actual delivery and receipt within that five-day duration,9 unless the plaintiff rebuts that presumption with proof that he or she did not receive notification within that period. Banks v. Rockwell Intern. N. Am. Aircraft Operations, 855 F.2d 324, 325-27 (6th Cir. 1988); Cook v. Providence Hospital, 820 F.2d 176, 179 & n.3 (6th Cir. 1987); Hunter v. Stephenson Roofing, Inc., 790 F.2d 472, 474-75 (6th Cir. 1986). See 29 C.F.R. § 1601.28(e) ("The notice of right to sue shall include (1) Authorization to the aggrieved person to bring a civil action under title VII... within 90 daysfrom receipt of such authorization.") (emphasis added). Accordingly, Graham-Humphreys' litigation initiation window closed on Monday, June 10, 1996 (ninety-five days after the EEOC's March 7, 1996 mailing of the RTS notice to her record residential address), which precluded her June 21, 1996 court action, unless she could prove that she did not "receive" the EEOC's March 7, 1996 alert within the five-day mailing period.10As developed above, the plaintiff took personal possession of her RTS notification at the EEOC's area office on March 28, 1996. Accordingly, she has contended that she "received" her RTS authorization on that date; thus her statutory filing period purportedly commenced to expire on March 29, 1996. See Fed. R. Civ. P. 6(a). Consequently, because her ninety-day term allegedly did not expire until June 26, 1996, she argues that her complaint filed on June 21, 1996 complaint was within rule.Nevertheless, even if the plaintiff did not physically attain actual "receipt" of her RTS notice until March 28, 1996, she had constructively "received" her RTS notification on March 8, 1996, the day that the letter carrier deposited the first of two official notifications at the plaintiff's last known official address which advised that a certified letter awaited her at the nearby postal station. Graham-Humphreys has conceded that she knew, or suspected, that the certified delivery contained her RTS notice. See generally Friedman v. Estate of Presser, 929 F.2d 1151 (6th Cir. 1991), which posited that "[a]ny fact that should excite the plaintiff's suspicion is the same as actual knowledge[.]" Id. at 1160 (citations and brackets omitted).Because Graham-Humphreys "received" imputed notice of her right to litigate during the five-day mailing period (March 8 through March 13, 1996), the ninety-day limitations countdown began on March 13, 1996, the fifth day following the EEOC's March 7, 1996 mailing. The Sixth Circuit has ruled that the EEOC's misdirection of a certified RTS notice caused by the claimant's failure to furnish the EEOC with an accurate address did not stay opening the ninety-day filing window five days following mailing, even though the post office ultimately returned the RTS letter to the EEOC undelivered. Banks, 855 F.2d at 326-27. This circuit has remarked that it has not been "inclined toward an inflexible rule requiring actual receipt of notice by a claimant before the time period begins to run," and has resolved that a claimant who neglected to inform the EEOC of his change of address had constructively received his RTS notification because it had been certified by mail to his record address, despite his denial of receipt of that mailing, allegedly because his nine-year-old nephew, who accepted the certified letter at the claimant's record address, misplaced it11. Hunter, 790 F.2d at 474-75.Accord, Johnson v. United States Postal Service, 64 F.3d 233, 237-38 (6th Cir. 1995); Johnson-Brown v. Wayne State University,Try vLex for FREE for 3 days
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