2007 D e c i sion s O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit 4-26-2007 

# C l a y v . D ept Arm y P r e c e de nt i al or N on-P r e c e de nt i al : N on-P r e c e de nt i al D ocke t N o . 06-2515

F o llow thi s and a dd it ion al work s at : http://d i git alc ommon s .l a w . vi ll anova . e du/thir dc ir c uit_2007

Thi s de c i sion i s br ou ght t o you for f r e e and ope n a c c e s s b y the O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit at V i ll anova U nive r sity S choo l of L a

w Di git al Reposit ory

. It h as be e n a c c ept e d for inclusion in 2007 D e c i sion s b y an author i z e d a dmini s tr at or of V i ll anova U nive r sity S choo l of L a

w Di git al Reposit ory

. F or mor e inform at ion, p le as e c ont a ct Be n j amin . C arl s on@l a

w . vi ll anova . e du . Re c omme nde d C it at ion
" C l a y v . D ept Arm

y " (2007). 2007 D e cisio n s . P ape r 1204. http://d i git alc ommon s .l a

w . vi ll anova . e du/thir dc ir c uit_2007/1204NOT P RE CE DE NT I AL UN I TED STATES CO UR T OF A PP EALS F O R T H E T H IR D C IR C U IT N O . 06- 2515

________________ W IL L IA M C L A Y , J R ., A ppel l ant

v. DE P AR T M E NT OF T HE AR M Y; THE P ENT AGO N; DEP ARTM ENT OF VE TE RAN AFF AI RS

____________________________________ O n A p p ea l Fro m the U n it ed S tat es D istri ct C o u rt F o r th e E a ste rn D istric t o f P e n n sy lv a n ia ( D . C . C i v. N o. 05- cv- 3432 ) D i s t r i ctJ udge: H onor abl e Paul S. D i amond

_______________________________________ Subm i t t ed U nderT hi r d C i r cui tL A R 34. 1( a)

A pr i l 25, 2007 B efore: R end el l , G arth an d C ow en, C i rcui tJudg es.

( Fi l ed: A pr i l 26, 2007 )

_______________________

OP I NI ON

_______________________ P E R C UR I AM A ppel l ant , W i l l i am C l ay , J r . , appea l s the j udgm entof the U ni t ed St at es D i s t r i ct C our tfort he East ern D i s t r i ctof Penns y l vani a di s m i s s i ng hi s amended compl ai ntand

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deny i ng hi s m ot i on forr econs i der at i on. Forthe r eas ons thatfol l ow , w e w i l l vaca t e and r emand. I n J une 2005, A ppel l antfi l ed a c om pl ai ntagai ns tA ppel l ees , w hi ch the D i s t r i ct C o u rt d ism iss e d w ith o u t p re ju d ice f o r f a ilu re to c o m p lyw ith F e d e ra l R u le o f C iv il Pr ocedur e 8( a) . T he D i s t r i ctC our tgave A ppel l antunt i l N ovember25, 2005, t o fi l e a compl ai ntt hats etfor t h a cogni zabl e ca us e of a ct i on. A ppel l antfi l ed a s econd c om pl ai nt o n O c to b e r 2 0 , 2 0 0 5 , in w h ic h h e a lle g e d v io la tio n s o f 5 U .S .C . § 5 5 2 a n d 5 U .S .C . § 5 5 2 a , the F re e d o m o f

In f o rm a tio n A c t an d th e P riv a c yA c t. A p p e llee s f iled a m o tio n to d ism iss , o r a ltern a tiv e ly , fo r su m m a ryju d g m e n t. T h e D istric t C o u rt o rd e re d A p p e llan t to r es pond t o t he mot i on, w hi ch he di d. T her eaf t er , the D i s t r i ctC our tent er ed an or der gr ant i ng defe ndant s ’ “mot i on t o di s m i s s , oral t ernat i vel y , fors um m aryj udgm ent . ” A p p e llan t f

iled a tim e lym o tio n f

o r re c o n sid e ra tio n , w h ich w a s d e n ied . A p p e llan t ti m e ly appea l ed. W e have j ur i s di ct i on overt hi s appea l pur s uantt o 28 U . S. C . § 1291. T h e D istri ct C o u rt ’s ord er g ran ted A p p ell ee s’ m o ti o n b u t did n o t spe cifyw h ethe r, ort o whate xt e nt , t he mot i on w a s gr a nt e d u nd e rFe d. R. Ci v. P. 12 ( b) orFe d. R. Ci v. P. 56. R ul e 12( b) pr ovi des t hati f “mat t er s out s i de the pl eadi ngs ar e pr es ent ed t o and not excl uded byt he court , t he mot i on s hal l be tr eat ed as one fors um m aryj udgm entand d isp o se d o f

a s p ro v id e d b yR u le 5 6 , an d a ll p a rties sh a ll b e g iv e n re a so n a b le o p p o rtu n ity t o pr es ental l m at er i al s m ade pe r t i nentt o s uch a mot i on byR ul e 56. ” The pr oces s of

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t reat i ng a m oti on t o d i sm i ss as a m oti on for sum m aryj ud gm ent i s kno w n as a “conve r s i on. ” See Rose v. B ar t l e, 871 F. 2d 331, 340 ( 3d C i r . 1989) . B eca us e the D i s tr i ct C o u rt c o n sid e re d a f

f id a v its f ro m A p p e llee s, o r d id n o t sp e c if ica llye x c lu d e su c h a f

f id a v its f ro m c o n sid e ra tio n , the D istric t C o u rt w a s re q u ire d to c o n v e rt d e f e n d a n ts’ “ m o tio n to d is m is s , o r a lte rn a tiv e ly, f o r s u m m a ry ju d g m e n t” to a m o tio n f o r s u m m a ry ju d g m e n t. R o s e , 8 7 1 F .2 d a t 3 4 0 n .3 . W hen a mot i on t o di s m i s s i s convert ed i nt o a mot i on fors um m aryj udgm ent , t he p a rties m u st b e g iv e n n o tice o f th e c o n v e rsio n a n d a n o p p o rtu n ityto p re se n t m a ter ial to t he court . R os e, 871 F. 2d at340. R ul e 56( c) r equi r es thatthe part i es have a tl eas tt en day s ’ not i ce be for e the courtm aycons i derthe mot i on fors um m aryj udgm ent , and an oppor tuni t yt o s ubm i tpl eadi ngs , depos i t i ons , ans w er s t o i nt err ogat or i es , admi s s i ons on fi l e, and af

fi davi t s . A ft erdefe ndant s fi l ed thei rm ot i on, the D i s t r i ctC our tent er ed an or der , w hi ch p r o v i d e d , “ AN D N OW , th i s 2 1 d a yo f Dec e mbe r , 2 0 0 6 , i ti s OR DER ED st t h a tP l a i n t i f

f w i l l r e s p o n d t o t h e M o t i o n o f th e U n i t e d S t a t e s t o D i s m i s s , o rA l t e r n a t i v e l y, forSum m aryJ udgm ent( D oc. N o. 10) no l at erthan February3, 2006. ” “W e have pr evi ous l yhel d t hatw hen no hea r i ng i s conduct ed, the court ’ s or der convert i ng R ul e 12( b) ( 6) . . . m ot i ons i nt o s um m aryj udgm entm ot i ons m us tbe u n am b igu o u s. ” R o se su p ra, 87 1 F . 2 d at 34 1 . If the re is no h ea ri n g , itis un d esirab le fo r a di s t r i ctcour tt o ent ers um m aryj udgm entunl es s i n i t s or der“i ti s m ade c l earbey ond doubt t hatt he part i es m us tpr es entt hei raff i davi t s and count er - aff

i davi t s i n addi t i on t o w hat ever fac t s appea ri n t he pl eadi ngs , depos i t i ons , ans w er s t o i nt err ogat or i es , and admi s s i ons on

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f ile .” R o s e s u p ra , 8 7 1 F .2 d a t 3 4 1 . T h e D istri ct C o u rt ’s ord er n o ti fy ing the p arti es o f th e c o n v ersion is am b igu o u s. It i s uncl earfr om t he l anguage of the or derw hetherthe D i s t r i ctC our tw as tr eat i ng the defe ndant s ’ m ot i on as a mot i on t o di s m i s s underR ul e 12( b) ( 6) , oras a mot i on for s um m aryj udgm entunderR ul e 56. Fur t herm or e, the or derdoes notm ake i t“cl earbey ond d o u b t” th at th e p arti es w ere req u ir ed to p rese n t atthat ti m e the iraf fid av it s an d co u n teraff i davi t s forcons i der at i on. A ccor di ngl y , the part i es di d notr ece i ve pr opernot i ce of t he D is tr ic t C o u rt ’s c o n v e rs io n o f th e m o tio n . W e have hel d t hati ti s r ever s i bl e err orfora di s t r i ctcour tt o converta mot i on underR ul e 12( b) ( 6) i nt o a mot i on fors um m aryj udgm entw i t houtpr opernot i ce t o t he p a rties . S e e C a stle v . C o h e n , 8 4 0 F . 2 d . 1 7 3 , 1 7 9 -1 8 0 (3 d C ir. 1 9 8 8 ); D a v is E lli o tt In t’l, I n c . v . P a n Am e r i c a n Co n t a i n e rCo rp . , 7 0 5 F . 2 d 7 0 5 , 7 0 6 - 0 8 ( 3 d Ci r . 1 9 8 3 ) ; Cr o wn C entr al Pet r ol eum C orp. v. W al dm an, 634 F. 2d 127, 129 ( 3d C i r . 1980) ; B r y s on v. B r and I ns ul at i ons , I nc. , 621 F. 2d 556, 559 ( 3d C i r . 1980) . “The fai l ur e t o gi ve ade quat e not i ce do es not, ho w ever, requi re aut om at i c revers al ; i tm aybe ex cused if the fa i l ure w as a

‘ harm l es s err or . ’ ” R os e, 871 F. 2d at342. A ccor di ngl y , the j udgm entof the D i s t r i ct C o u rt m a yb e a f

f irm e d if it ap p e a rs th a t th e re is n o se t o f f a c ts o n w h ich A p p e llan t co u ld p o s s ib ly re c o v e r. I d . T he D i s t r i ctC our tgr ant ed A ppel l ees ’ m ot i on aft erconcl udi ng thatA ppel l anthad fai l ed t o exhaus thi s admi ni s t r at i ve r emedi es . B eca us e A ppel l antw as notgi ven s uffi ci ent n o t i c e o f t h e c o n v e r s i o n o f

t h e m o t i o n , h o w e v e r , th e r e c o r d i s i n c o m p l e t e . A c c o r d i n g l y,

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w e c a n n o t s a yth a t th e D is tr ic t C o u rt ’s f a ilu re to g iv e a d e q u a te n o tic e w a s h a rm le s s . Fur t herm or e, A ppel l ant , i n hi s m ot i on forr econs i der at i on, s ubm i t t ed document at i on s h o w in g th a t h e d id e x h a u s t h is a d m in is tr a tiv e re m e d ie s u n d e r t h e P ri v a c yA c t. A p p e llee s a rg u e , h o w e v e r, th a t th is d o c u m e n tatio n sh o w s th a t A p p e llan t d id n o t f ile h is compl ai ntw i t h t he D i s t r i ctC our tw i t hi n t he Pr i vacyA ct ’ s tw o y earl i m i t at i on per i od, and, t hus , A ppel l antw as barr ed fr om fi l i ng the ac t i on. A l t hough i tappea r s thatA ppel l ees m ay b e c o r r e c t , a n d Ap p e l l a n tma yb e b a r r e d u n d e rth e P r i v a c yAc t ’ s l i mi t a t i o n p e r i o d , we cannotconcl ude thatt her e i s no s etof fa ct s on w hi ch A ppel l antcoul d pos s i bl yr ecove r beca us e A ppel l antw as notgi ven s uffi ci entnot i ce t o s ubm i tal l of hi s document at i on re g a rd in g th is is s u e , in c lu d in g d o c u m e n ta tio n o f o th e r a d m in is tr a tiv e p ro c e e d in g s . B eca us e the D i s t r i ctC our tdi d notgi ve A ppel l antadequa t e not i ce of the conve r s i on of A p p ell ee s’ m o ti o n to a m o ti o n fo r sum m aryjud g m en t, w e w il l vac ate the D istri ct C o u rt ’s o rd e rs a n d re m a n d f

o r f u rt h e r p ro c e e d in g s .