United States Court of Appeals
FOR THE DISTRICT OF COLUMBIA CIRCUIT
Argued October 13, 2006 Decided December 15, 2006
No. 05-5330
VENITA COLBERT,
APPELLANT
v.
JOHN E. POTTER, POSTMASTER GENERAL
UNITED STATES POSTAL SERVICE,
APPELLEE
Appeal from the United States District Court
for the District of Columbia
(No. 04cv00996)
Judith L. Walter argued the cause and filed the briefs for
appellant.
Peter S. Smith, Assistant U.S. Attorney, argued the cause
for appellee. With him on the brief were Kenneth L. Wainstein,
U.S. Attorney at the time the brief was filed, and R. Craig
Lawrence, Assistant U.S. Attorney. Michael J. Ryan, Assistant
U.S. Attorney, entered an appearance.
Before: SENTELLE, Circuit Judge, and EDWARDS and
WILLIAMS, Senior Circuit Judges.
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Opinion for the Court filed by Senior Circuit Judge
EDWARDS.
Concurring opinion filed by Circuit Judge SENTELLE.
EDWARDS, Senior Circuit Judge: Appellant Venita Colbert
seeks review of the District Court’s dismissal of her complaint
against appellee John E. Potter in his official capacity as
Postmaster General of the United States Postal Service
(“USPS”). The complaint alleges that appellant’s supervisor
discriminated against her on the basis of her race, sex, age, and
disability and also improperly retaliated against her for initiating
a discrimination complaint, in violation of Title VII of the Civil
Rights Act of 1964, 42 U.S.C. §§ 2000e-2000e-17 (2000), the
Age Discrimination in Employment Act of 1967 (“ADEA”), 29
U.S.C. §§ 621-634 (2000), and the Rehabilitation Act of 1973,
29 U.S.C. §§ 701-796l (2000).
Under Title VII, USPS employees are required to file
lawsuits seeking relief for employment discrimination within 90
days of receipt of notice of final administrative action. 42
U.S.C. § 2000e-16(c). Equal Employment Opportunity
Commission (“EEOC”) regulations also require a claimant
“under title VII, the ADEA and the Rehabilitation Act to file a
civil action in an appropriate United States District Court . . .
[w]ithin 90 days of receipt of the final action on an individual or
class complaint.” 29 C.F.R. § 1614.407(a) (2006). There is no
dispute here that appellant’s counsel received a copy of USPS’s
Final Agency Decision (“Final Decision”) against Colbert. Nor
do the parties dispute the filing date of appellant’s complaint.
The question at issue here concerns the date when appellant
received notice of the Final Decision denying her administrative
claims. The District Court, relying on the date stamped on the
back of a USPS Form 3811 (the “Domestic Return Receipt”),
found that “the name and signature of Colbert’s counsel clearly
appears, just above a postmark of ‘Mar 18 2004.’” Colbert v.
Potter, Civ. A. No. 04-996, 2005 WL 3273571, at *4 (D.D.C.
3
July 28, 2005). On the basis of this evidence, the District Court
agreed with USPS “that Colbert’s counsel received the Final
Agency Decision on March 18, 2004 – 92 days before Colbert
filed suit, which would render her action untimely.” Id.
Before both the District Court and this court, appellant
“challenges the March 18, 2004 postmark on the return receipt
card, arguing that ‘the postmark showing the date of mailing
would appear on the reverse side of the card in the area where
the postage is to be affixed,’ and that because USPS ‘has not
provided an image of the reverse side of the card,’ it should be
presumed that the reverse of the card bears a postmark with a
later date.” Id. (quoting Plaintiff’s Memorandum of Points and
Authorities in Support of Opposition (“Opposition
Memorandum”), reprinted in App. 53-73). The District Court
rejected this argument, noting that appellant “neither dispute[d]
that the return receipt card bears her attorney’s signature nor
challenge[d] the legitimacy of the postmark on the card.” Id.
Because appellant offered no “affidavit or other evidence that
would contravene the return receipt postmark,” the District
Court granted USPS’s motion to dismiss or in the alternative for
summary judgment. Id.
Following oral argument before this court, USPS filed a
motion, pursuant to Federal Rule of Appellate Procedure
10(e)(2)(C), for leave to submit a complete copy of the
Domestic Return Receipt. On the same day, on its own motion,
the court directed USPS to submit a copy of the front half of the
Domestic Return Receipt. Appellant then filed a response to
USPS’s submission, after which the court ordered USPS to file
the original Domestic Return Receipt. Upon examination, the
front half of the receipt positively confirms that appellant’s
counsel received USPS’s Final Decision on or before March 18,
2004, making this action untimely. Accordingly, we affirm the
judgment of the District Court.
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I. BACKGROUND
The background facts in this case are carefully set forth in
the District Court’s unpublished Memorandum Opinion.
Because there is nothing to add to the District Court’s statement,
we have incorporated it as a part of our Background section:
Colbert is an African-American woman over 40 years
old who suffers from degenerative disk disease, “a painful
back ailment which is aggravated by certain types of
physical activity.” Compl. ¶ 5. She began her employment
with the United States Postal Service on June 10, 1985. By
1992, Colbert had been promoted to Supervisor of the
Telephone Operators, at an EAS-15 grade and pay level,
within USPS’ national headquarters at L’Enfant Plaza in
Washington, D.C. Id. ¶ 7. In this position, she received
favorable performance reviews, promotions and increases
in pay until 1995. Id. ¶ 8. In 1994, USPS hired Billy
Wesson as Manger of Headquarters Facility Services. His
responsibilities included telephone operations, placing
Colbert under his supervision. Id. ¶ 9. Shortly after
Wesson arrived, Colbert allegedly began experiencing
discriminatory treatment at his hands.
According to Colbert, Wesson “favored and handed out
promotional opportunities to males, who like himself, had
a military background,” while treating Colbert and other
African-American women under his management
unfavorably. Id. ¶ 11. Colbert further alleges that Wesson
was hypercritical of her work, consistently made demeaning
comments, questioned her use of leave, praised others but
not her for good performance, and imposed conditions on
her that were not imposed on other employees. Id. ¶ 12.
Colbert perceived that Wesson was either trying to
harass her into resigning or setting her up for termination,
so she began to explore opportunities to be “detailed” to
5
other departments at USPS headquarters. Id. ¶ 14. When
Colbert discussed her desire for a work detail and its
associated promotional and training opportunities with
Wesson, he responded that “he could demote her to a
custodial position on the night shift” at a lower grade and
pay level. Id. ¶ 15. Colbert persisted in her efforts, and in
early 1998 she found a detail to the Employment
Development office as a training development specialist.
Colbert needed to get Wesson’s approval in order to take
the detail. Wesson, however, bristled at this idea, and
ordered Colbert not to contact the manager in Employee
Development. A few days later, on April 7, 1998, Wesson
gave Colbert a “developmental assignment” to the mail
room as “Supervisor, Mail Messenger,” telling Colbert that
she would have to take this assignment before she could be
considered for the Employee Development detail. At the
same time as he assigned Colbert to the mail room, Wesson
appointed four African-American men, younger than
Colbert and with military backgrounds, to “higher positions
at higher pay levels.” Id. ¶¶ 16-20.
After completing the mail room assignment, mostly
consisting of physical labor which aggravated her
degenerative disk disease, Colbert obtained her detail to
Employee Development in August 1998. She received
higher pay at the EAS-21 level, and acquired job duties in
line with her education, experience, and desires. Wesson,
however, interfered with Colbert’s prospects for permanent
employment with Employee Development, and in February
1999 demanded that she return to his department. Id. ¶¶ 22-
23. Upon Colbert’s return, Wesson immediately sent her
out on a detail to the purchasing department, recalled her
once more, and then assigned her to work in Operating
Services, “the manual labor-custodial-maintenance section
of Headquarters Facility Services.” Id. ¶¶ 23-25. Colbert’s
responsibilities there included restocking first aid kits and
6
cleaning supplies, taking walking tours of the building, and
checking the expiration date on fire extinguishers. Id.
¶¶ 26-27. Once again, the job involved physical exertion
which inflamed Colbert’s back condition. This shuffling of
work assignments was “designed and intended . . . to harass
her into quitting,” id. ¶ 28, and effectively “divested
[Colbert] of her supervisory responsibilities,” id. ¶ 24.
During July and August 1999, Weston subjected
Colbert to a higher level of scrutiny and discipline than he
applied to her co-workers, and which “had no basis in
official Postal Service personnel policies.” Id. ¶ 29.
Wesson obtained Colbert’s work telephone records and
accused her of making excessive personal calls while on the
job. For this offense, on September 3, 1999 Wesson issued
Colbert a proposed Letter of Warning in lieu of a seven day
time off suspension. Id. ¶¶ 29-33. When Colbert appealed
this disciplinary action on September 15, 1999, Wesson
“became angry and loud,” id. ¶ 33. On September 23, 1999
he sustained the Letter of Warning and threatened Colbert
with further discipline if she “continued to use Postal
property for personal reasons.” Id. ¶ 34.
On September 7, 1999, Colbert initiated precomplaint
counseling with the Postal Service’s [Equal Employment
Opportunity (“EEO”)] office. Id. ¶¶ 35. When the EEO
counselor sent questions to Wesson as part of the
investigation into Colbert’s filing, Wesson called Colbert
into his office and handed her a memorandum stating that
she was now assigned to the position of Purchasing
Assistant. Id. ¶ 36. The effect of this “retaliatory”
reassignment was to deprive Colbert of the supervisory
duties of her previous job and “the benefits that inure to
such positions.” Id. ¶¶ 37-38. On November 5, 1999,
Colbert initiated a second round of precomplaint counseling
for her forced move to the Purchasing Department. On
7
November 16, 1999, USPS’ EEO office notified Colbert of
“the unsuccessful results of the precomplaint counseling
process” and advised her that she could file a formal
complaint. Colbert did so on December 22, 1999, raising
both her initial discrimination complaint and her subsequent
charge of retaliation. The Postal Service issued its Final
Agency Decision, denying Colbert’s claims, in March 2004,
and notified her of her right to seek judicial review in
federal district court. Id. ¶ 39.
Colbert, 2005 WL 3273571, at *1-2.
On June 18, 2004 appellant filed a lawsuit in the District
Court. USPS responded with a Motion to Dismiss or, in the
Alternative, for Summary Judgment, arguing that appellant’s
claims should be dismissed for failure to state a claim for which
relief could be granted. In a memorandum supporting its
motion, USPS argued that appellant had failed to exhaust her
administrative remedies before filing suit in District Court,
failed to timely file her complaints with the USPS EEO office,
failed to allege facts sufficient to make out a prima facie case of
discrimination and, most relevant to this appeal, failed to file a
timely complaint in the District Court. USPS attached to the
memorandum a black-and-white copy of the back half of a
Domestic Return Receipt that was sent with the Final Decision
to elicit confirmation from appellant that she had received a
copy of the Final Decision. The copy of the receipt showed the
printed name and signature of Judith L. Walter, appellant’s
attorney, and the imprint of a round stamp with the words
“USPS . . . Silver Spring . . . Takoma Park” and “Mar 18 2004.”
On the basis of this evidence, USPS argued to the District Court
that “Colbert’s counsel received the Final Agency Decision on
March 18, 2004 – 92 days before Colbert filed suit, which would
render her action untimely.” Id. at *4.
Appellant responded with the Opposition Memorandum, in
which she argued that a grant of summary judgment would be
8
premature and improper, because numerous material facts were
in dispute. Appellant claimed further that she received USPS’s
Final Decision, through her attorney, on March 20, 2004, not on
March 18, 2004, and, therefore, that her lawsuit was timely
filed. In support of this claim, appellant submitted a copy of the
Final Decision date stamped “Received – Mar 20 2004.” No
affidavit accompanied this submission. Rather, appellant merely
claimed that her attorney, “[p]er her practice,” stamped the date
on the first page of the document upon receiving USPS’s Final
Decision. App. 64. Appellant also challenged the significance
of the date stamp imprint on the copy of the reverse side of the
Domestic Return Receipt proffered by USPS, arguing that a date
stamp imprint “showing the date of mailing would appear on the
[front side] of the card in the area where the postage is to be
affixed.” Id. at 65.
The District Court, having considered materials outside of
the pleadings, treated USPS’s motion as one for summary
judgment, in accordance with Federal Rule of Civil Procedure
12(b). Colbert, 2005 WL 3273571, at *3. The parties did not
dispute that the Final Decision was issued in March 2004 and
that appellant received a copy of the decision that month. The
only question at issue before the District Court was the precise
date in March when appellant’s counsel received the Final
Decision. The District Court concluded that there were no
material facts in dispute concerning this question and that the
evidence before the court made it clear that appellant had
received the Final Decision on March 18, 2004. In rejecting
appellant’s claims, the District Court said:
Colbert challenges the March 18, 2004 postmark on the
return receipt card, arguing that the postmark showing the
date of mailing would appear on the reverse side of the card
in the area where the postage is to be affixed, and that
because USPS has not provided an image of the reverse
9
side of the card, it should be presumed that the reverse of
the card bears a postmark with a later date.
Colbert’s argument is unpersuasive. She neither
disputes that the return receipt card bears her attorney’s
signature nor challenges the legitimacy of the postmark on
the card. Instead, she relies only on her attorney’s practice
of date-stamping mail upon receipt to support her assertion
that the complaint is timely. In the absence of any affidavit
or other evidence that would contravene the return receipt
postmark, the court deems Colbert’s counsel to have
received the Final Agency Decision on March 18, 2004,
making this action untimely. Colbert presents no argument
to support equitable tolling of the 90-day statute of
limitations, so her complaint must be dismissed.
Id. at *4 (footnote and internal quotation marks omitted). The
District Court accordingly granted summary judgment in favor
of USPS and dismissed appellant’s complaint as untimely.
Appellant then filed a timely notice of appeal.
During the course of oral argument before this court,
USPS’s counsel was asked why appellee had neglected to
submit a copy of the front half of the Domestic Return Receipt
in support of its motion for summary judgment. Counsel
responded, without explanation, that “time constraints”
prevented USPS from filing both sides of the Domestic Return
Receipt. Recording of Oral Argument at 12:59. On October
13, 2006, following oral argument, USPS filed a motion,
pursuant to Federal Rule of Appellate Procedure 10(e)(2)(C), for
leave to file a complete copy of the Domestic Return Receipt.
On the same day, on its own motion, the court directed USPS
to submit a copy of the front half of the Domestic Return
Receipt, and to furnish appellant’s counsel with a copy of same.
Colbert v. Potter, No. 05-5330 (D.C. Cir. Oct. 13, 2006). On
October 27, 2006, pursuant to an order of the court allowing a
reply, appellant filed a response to USPS’s submission.
10
Appellant’s Response to Appellee’s Post-Argument Submission,
Colbert v. Potter, No. 05-5330 (D.C. Cir. filed Oct. 27, 2006).
In her response, appellant noted that “the original of the return
receipt ha[d] never been provided.” Id. at 3. On October 31,
again on its own motion, the court ordered USPS to submit “the
original Return Receipt form at issue in this case.” Colbert v.
Potter, No. 05-5330 (D.C. Cir. Oct. 31, 2006). On November 1,
2006, USPS filed the original Form 3811 Domestic Return
Receipt. Review of the original Domestic Return Receipt
reveals that the front side of the form bears a cancellation
postmark. This cancellation postmark, like the date stamp
imprint appearing on the reverse of the form, bears the date “18
Mar 2004.”
II. ANALYSIS
A. Standard of Review
We review the District Court’s grant of summary judgment
de novo. See DynaQuest Corp. v. U.S. Postal Serv., 12 F.3d
1144, 1146 (D.C. Cir. 1994). Summary judgment is warranted
only where “there is no genuine issue as to any material fact and
. . . the moving party is entitled to a judgment as a matter of
law.” FED. R. CIV. P. 56(c). See also Anderson v. Liberty
Lobby, Inc., 477 U.S. 242, 247 (1986). A dispute is genuine “if
the evidence is such that a reasonable jury could return a verdict
for the nonmoving party.” Id. at 248. “[S]ubstantive law will
identify which facts are material. Only disputes over facts that
might affect the outcome of the suit under the governing law
will properly preclude the entry of summary judgment.” Id.
If, in considering a motion to dismiss for failure of the
complaint to state a claim upon which relief can be granted,
“matters outside the pleading are presented to and not excluded
by the court, the motion shall be treated as one for summary
judgment and disposed of as provided in Rule 56, and all parties
shall be given reasonable opportunity to present all material
11
made pertinent to such a motion by Rule 56.” FED. R. CIV. P.
12(b). We review a district court’s alleged failure to comply
with these requirements of Rule 12(b) for an abuse of discretion.
See Holy Land Found. for Relief & Dev. v. Ashcroft, 333 F.3d
156, 165 (D.C. Cir. 2003). However, if the District Court errs
in applying the requirements of Rule 12(b), we will not reverse
if the complaining party has suffered no prejudice and the error
is determined to be harmless. Id. at 165-66.
B. Appellant’s Complaint Was Not Timely Filed in District
Court
The dispute in this case is straightforward and simple. If
appellant received USPS’s Final Decision on March 20, 2004,
as she contends, her complaint is timely. If, on the other hand,
as USPS claims and the District Court found, appellant received
the Final Decision on March 18, 2004, then her complaint is
untimely.
“[A] statute of limitations defense under Title VII is an
affirmative defense.” Smith-Haynie v. District of Columbia, 155
F.3d 575, 577 (D.C. Cir. 1998). Therefore, USPS “bears the
burden of pleading and proving it.” Bowden v. United States,
106 F.3d 433, 437 (D.C. Cir. 1997). In support of its motion to
dismiss or for summary judgment, USPS submitted a photocopy
of the back half of the Domestic Return Receipt, bearing the
printed name and signature of appellant’s attorney and stamped
“Mar 18 2004.” App. 51. Appellant does not dispute the
authenticity of the name and signature on the Domestic Return
Receipt. Rather, raising the same arguments that she raised
before the District Court, appellant claims that the date stamp
imprint relied upon by USPS establishes neither the date on
which she received the Final Decision nor the date that the
Domestic Return Receipt was mailed back to the USPS EEO
office. Appellant argues both that the document “does not have
any date of delivery indicated in [the] space where the date is to
be inserted,” Appellant’s Br. at 7, and that, per USPS mailing
12
standards, the postmark indicating the date that the return receipt
was mailed appears on the front of a Domestic Return Receipt,
not the reverse, id. at 8-9. The District Court rejected
appellant’s arguments, because she “neither dispute[d] that the
return receipt card bears her attorney’s signature nor
challenge[d] the legitimacy of the postmark on the card.”
Colbert, 2005 WL 3273571, at *4.
It is hard to fathom why USPS failed to submit the original
Domestic Return Receipt, with both the front and back sides of
the form showing, in support of its motion before the District
Court. This would have avoided any confusion over precisely
when appellant’s counsel received USPS’s Final Decision.
Counsel’s explanation to this court – that “time constraints”
prevented USPS from filing both sides of the Domestic Return
Receipt – did little to address the questions raised by appellant.
After argument, however, USPS moved to supplement the
record pursuant to Federal Rule of Appellate Procedure
10(e)(2)(C), seeking leave to file a complete copy of the
Domestic Return Receipt. Without addressing this motion, the
court, on its own motion, ordered USPS to submit the original
Domestic Return Receipt.
Appellate courts do not ordinarily consider evidence not
contained in the record developed at trial. In re AOV Indus.,
Inc., 797 F.2d 1004, 1012 (D.C. Cir. 1986) (citing Singleton v.
Wulff, 428 U.S. 106 (1976)). “It is within the discretion of the
court of appeals, however, to make limited exceptions to this
rule when ‘injustice might otherwise result.’” Id. (quoting
Singleton, 428 U.S. at 121). See also CSX Transp., Inc. v.
Garden City, 235 F.3d 1325, 1330 (11th Cir. 2000) (“[Courts of
appeals] have the inherent equitable power to allow
supplementation of the appellate record if it is in the interests of
justice.”). In this case, appellant (1) clearly challenged the
sufficiency and significance of USPS’s evidence in the trial
court, and (2) made a compelling argument that dispositive
13
evidence appeared on the front side of the Domestic Return
Receipt, which was in the possession and control of USPS.
Appellant’s concerns were well-founded. Therefore, we
concluded that, as the entire Domestic Return Receipt “go[es] to
the heart of the contested issue, it would be inconsistent with
this court’s own equitable obligations . . . to pretend that [it
does] not exist.” In re AOV Indus., Inc., 797 F.2d at 1013.
There is no real dispute between the parties over the fact
that “acceptance of the proffered material into the record would
establish beyond any doubt the proper resolution of the pending
issues.” CSX Transp., Inc., 235 F.3d at 1330. Indeed, after oral
argument before this court, in response to appellant’s concerns,
USPS moved to submit the Domestic Return Receipt for review
by this court. We agreed with the parties that the record should
be supplemented to include the original receipt and therefore
ordered USPS to file the original Domestic Return Receipt with
the court.
Normally, supplementation of the record is effected by
remanding the case to the District Court to allow that court to
order the introduction of new evidence. See, e.g., Trans-Pacific
Policing Agreement v. U.S. Customs Serv., 177 F.3d 1022, 1028
(D.C. Cir. 1999) (“[I]t makes sense to remand so that the District
Court–which is already familiar with the record in this case–can
supplement the record and make factual findings in the first
instance on appellants’ claims.”). Certainly, we could have
remanded this case to the District Court with instructions to
obtain and review the front side of the original Domestic Return
Receipt. However, remand for such a ministerial task, which
this court easily can perform itself, would serve no good purpose
and would ultimately amount to a waste of judicial resources.
See Dickerson v. Alabama, 667 F.2d 1364, 1367 (11th Cir.
1982) (“[A] decision to remand this case for the sole purpose of
allowing the district court to review the several additional
significant facts contained in the transcript would be contrary to
14
both the interests of justice and the efficient use of judicial
resources.”).
It is also worth noting that this is not a situation in which a
party that failed to offer evidence is relieved from the
consequences of its neglect. Even assuming that USPS was
neglectful, the worst consequence of that neglect would have
been a remand to the District Court that necessarily would have
led to the result we reach here.
Our review of the original Domestic Return Receipt reveals
that the front side of the form does in fact bear a cancellation
postmark in the area where the postage is affixed. This
cancellation postmark, like the date stamp imprint appearing on
the reverse side of the receipt, bears the date March 18, 2004.
The receipt offers conclusive evidence that appellant’s attorney
signed the domestic return receipt no later than March 18, 2004.
And appellant does not challenge the authenticity of the original
receipt.
Appellant proffered a copy of the Final Decision bearing the
imprint “Received – Mar 20 2004,” suggesting that this is the
date when counsel received USPS’s decision. This proffer was
attached to the Opposition Memorandum, but with no
accompanying affidavit. Appellant offered nothing else, save
argument, to support her claim that the Final Decision was
received on March 20, 2004. This was not enough to create a
genuine issue of material fact sufficient to avoid summary
judgment. Appellant correctly reminds us that, on review of
summary judgment, we must “view the evidence in the light
most favorable to the nonmoving party and draw all reasonable
inferences in its favor.” Mastro v. Potomac Elec. Power Co.,
447 F.3d 843, 850 (D.C. Cir. 2006) (citing Reeves v. Sanderson
Plumbing Prods., 530 U.S. 133, 150 (2000)). However, even in
the most favorable light, it would be patently unreasonable for
this court to infer that appellant’s attorney received the Final
Decision on March 20, 2004, when the Domestic Return Receipt
15
document, indisputably associated with the Final Decision and
bearing the attorney’s signature, was mailed back to the USPS
EEO office on March 18, 2004. Counsel submitted no affidavit
to suggest otherwise.
The filing time limit imposed by Title VII, 42 U.S.C.
§ 2000e-16(c), “is not a jurisdictional requirement but rather is
similar to a statute of limitations.” In re James, 444 F.3d 643,
647 (D.C. Cir. 2006) (citing Irwin v. Dep’t of Veterans Affairs,
498 U.S. 89 (1990)); see also Zipes v. Trans World Airlines,
Inc., 455 U.S. 385, 393 (1982) (recognizing that Title VII’s
jurisdictional statutes do not limit jurisdiction to timely filed
complaints). Therefore, “like a statute of limitations, [the
statutory time requirement] is subject to waiver, estoppel, and
equitable tolling.” Zipes, 455 U.S. at 393. “‘Federal courts have
typically extended equitable relief only sparingly,’” Commc’ns
Vending Corp. of Ariz. v. FCC, 365 F.3d 1064, 1075 (D.C. Cir.
2004) (quoting Irwin, 498 U.S. at 96), and appellant has
articulated no sound reason for this court to consider equitable
tolling of the 90-day filing time limit. Indeed, in her brief,
appellant merely says that “[t]he ninety-day limitation period for
filing suit under Title VII is subject to equitable tolling,
however, as Ms. Colbert filed her suit ninety days after her
attorney received the notice of right to sue embodied in the
[Final Decision], there is no argument available to her for
equitable tolling in this case.” Appellant’s Br. at 13. Appellant
does not suggest that there are grounds for equitable tolling in
the current posture of the case, i.e., with the court’s rejection of
her claim that her suit was timely filed. And we can discern no
grounds.
In light of the foregoing considerations and on the basis of
the record before us, we conclude that appellant received the
Final Decision no later than March 18, 2004 and that her
complaint, filed at least 92 days following receipt of the Final
Decision, was untimely.
16
C. The District Court’s Treatment of USPS’s Motion As One
for Summary Judgment Does Not Constitute Reversible
Error
Rule 12(b) provides:
If, on a motion . . . to dismiss for failure of the pleading to
state a claim upon which relief can be granted, matters
outside the pleading are presented to and not excluded by
the court, the motion shall be treated as one for summary
judgment and disposed of as provided in Rule 56, and all
parties shall be given reasonable opportunity to present all
material made pertinent to such a motion by Rule 56.
FED. R. CIV. P. 12(b). Appellant contends that the District Court
erred when it converted USPS’s motion to dismiss into a motion
for summary judgment without first allowing her reasonable
time to present evidence in opposition to the alternative motion.
Appellant’s Reply Br. at 7. USPS responds that, because its
motion was filed in the alternative (as a “Motion To Dismiss or,
in the Alternative, for Summary Judgment”) and USPS asked
the District Court to dispose of the case pursuant to summary
judgment, appellant had adequate notice and could have
presented evidence in opposition to the motion for summary
judgment. Appellee’s Br. at 16-17. USPS has the better of this
disagreement.
We have previously held that a trial court abuses its
discretion when it “fail[s] to comply with the procedures set
forth in the Federal Rules of Civil Procedure” by considering
materials outside of the pleadings “without converting the
proceeding to a Rule 56 proceeding and permitting [the
nonmoving party] to either conduct discovery or come forward
with additional evidence.” Holy Land Found., 333 F.3d at 165.
We find no such error here. Appellant had notice that USPS’s
motion was, at least potentially, one for summary judgment.
The fact that she proffered her copy of the Final Decision
17
bearing a date stamp affixed by her attorney makes clear that she
had been afforded a reasonable opportunity to present pertinent
evidence as required by Rule 12(b). Had appellant needed time
to gather more supporting evidence, she could have moved,
under Federal Rule of Civil Procedure 56(f), for the trial court
to defer its ruling on summary judgment and allow her
additional time to take discovery. See Smith-Haynie, 155 F.3d
at 579.
Even assuming, arguendo, that the District Court abused its
discretion in failing to allow appellant a reasonable opportunity
to present pertinent material to refute USPS’s claim that the
complaint was untimely, the error would be harmless. Holy
Land Found., 333 F.3d at 165 (holding that when the failure
results in no prejudice to the nonmoving party, “we find [that]
error to be harmless.”). When a nonmoving party could not
have produced any “evidence sufficient to create a substantial
question of fact material to the governing issues of the case,” id.,
we have no basis upon which to reverse the judgment of the
District Court. That is the situation here.
In her Response to Appellee’s Post-Argument Submission,
appellant acknowledges that, “[n]ormally the Postal Service is
a neutral actor in producing and providing . . . [a] document
[like the Domestic Return Receipt].” Appellant’s Response to
Appellee’s Post-Argument Submission at 3. And then, with
commendable candor and forthrightness, the submission adds:
Appellant’s counsel is not accusing Appellee or its counsel
of fraudulently manipulating the images of the domestic
return receipt. Nor is it suggested that it is impossible for
Appellant’s counsel to have made a mistake with regard to
the date she received the [Final Decision]. If Appellant’s
counsel did make a mistake, however, she would accept that
and move on if it could be proven conclusively.
18
Id. at 3. Appellant’s principal concern in this case has been that
the original Domestic Return Receipt had never been produced.
That concern was addressed when this court ordered USPS to
file the original receipt. And, upon review of the original
Domestic Return Receipt, it has been proven conclusively that
appellant received USPS’s Final Decision on or before March
18, 2004.
We have no reason to suspect that the original Domestic
Return Receipt submitted by USPS is anything other than
genuine. Absent fraud, appellant can produce no evidence to
controvert the fact that a Domestic Return Receipt bearing the
signature of appellant’s attorney was mailed to the USPS EEO
office on March 18, 2004. Thus, if any error was committed by
the District Court in converting USPS’s motion to dismiss to a
motion for summary judgment, it was harmless.
III. CONCLUSION
For the reasons given above, the District Court’s grant of
summary judgment in favor of USPS is hereby affirmed.
So ordered.
SENTELLE, Circuit Judge, concurring: I concur in the
majority’s disposition and in most of the opinion which supports
it. I write separately only because I cannot join in that portion
of the opinion based on evidence not before the district court.
I do not think it was necessary or appropriate to accept the
evidence on appeal. The district court record included a copy of
the date-stamped Domestic Return Receipt, unrebutted by any
evidence or affidavit. The district court properly granted
summary judgment on the record evidence.
It is not the role of appellate courts to accept new evidence.
In stepping into that role, the majority relies on In re AOV
Industries, Inc., 797 F.2d 1004 (D.C. Cir. 1986). That case
involved extraordinary circumstances. Specifically, while the
case was on appeal, the appellant produced newly-discovered
evidence of a conflict of interest. As the case involved a fee
determination in a bankruptcy, the court, mindful that a fee
determination affects all creditors and is equitable in nature,
remanded the case for additional consideration. Id. at 1012-13.
Even in those unusual circumstances, one judge disagreed with
the panel majority. Id. at 1014-15 (Starr, J., dissenting in part).
And on the facts in this case, I would follow Judge Starr’s
recommendation: “This court should not carve out an exception
to the general rule that an appellate court cannot receive new
evidence from the parties.” Id. at 1015. I would further note
that Singleton v. Wulff, 428 U.S. 106, 121 (1976), relied upon by
the majority in AOV Industries, is not to the contrary, and indeed
is not on point. The quotation used by the AOV Industries
majority dealt with the ability of an appellate court to resolve an
issue not passed upon below, not with the question of the court
taking new evidence on appeal.