Court Opinion

ID: 9464776
Source: CourtListenerOpinion
Date Created: 2023-08-04 23:42:06.212074+00
Date Added: 2024-06-11T17:38:48.475148
License: Public Domain

FEINBERG, Circuit Judge
(dissenting):
The majority concludes that summary judgment was warranted here because appellant failed to comply with two procedural requirements of the Age Discrimination in Employment Act of 1967 (ADEA), 29 U.S.C. § 621 et seq. I respectfully dissent. I would hold, first, that unequivocal oral notice of intent to sue, which has the effect of initiating the Department of Labor’s mediation function under the Act, can satisfy section 626(d), and second, that section 633(b) does not, as a matter of law, bar appellant’s suit. Accepting appellant’s averments as true, summary judgment was improper here, and this case should be remanded for determination of crucial issues of fact, particularly whether sufficient oral notice was actually given.
I
Reich was fired by defendant Dow in June 1973. In December of that year, within the 180-day period of section 626(d)(1), appellant apparently went to the New York City office of the Department of Labor and told an official there that “I would sue when I could find a lawyer.”1 Shortly thereafter, the official with whom appellant spoke confirmed receipt of information concerning the alleged age discrimination, and indicated that the Department’s conciliation function had been initiated. This letter, which was accompanied by an informational pamphlet, also warned appellant that “there are certain requirements with specific time limits governing the circumstances under which an employee may file his own suit under this Act.” Four months later, another Department of Labor official from an office in Newark, New Jersey, arguably unaware of appellant’s oral notice of intent to sue, sent Reich á second letter specifically informing him that while an investigation of defendant “has been scheduled,” Reich’s submission of “information concerning an alleged unlawful practice has not been considered a notice to the Secretary of Labor of intent to file suit.”
In August 1974, the second official wrote appellant again, this time informing him that conciliation had failed, but that the investigation was continuing. The general warning about the time limits regarding private suits was reiterated, although the second official did not specifically state again that no intent to sue had been received. It is also apparent from this correspondence and from Reich’s affidavit that there were ongoing oral communications between him and the Department at this time. Finally, in January 1975, the Department notified Reich that it would not sue on his behalf.
*375Meanwhile, after an extended search, appellant obtained his present counsel. After sending the Department written notices of intent to sue in February and March 1976, appellant lodged a complaint with the New York State Division of Human Rights2 and also instituted suit in the federal district court in June 1976. In December 1976, Judge Wyatt granted summary judgment in the federal suit on the sole ground that plaintiff did not give the Department of Labor notice of intent to sue within the time limit of section 626(d). This appeal followed.
II
While not precluding the possibility that oral notice in some circumstances might satisfy the requirements of section 626(d), the majority holds that the oral notice allegedly given here “had neither the content nor the clarity of expressed purpose needed to fulfill its statutory office.” If an oral notice can ever satisfy the statute, it is difficult to imagine one that would more clearly express the required intent than the statement appellant allegedly made here. In any event, I submit that the majority’s holding is both factually and legally incorrect.
Section 626(d) provides that a civil action may not be commenced until the complainant “has given the Secretary not less than sixty days’ notice of an intent to file such action.” The section then states that “[s]uch notice shall be filed . . . within one hundred and eighty days after the alleged unlawful practice occurred . . . 3 It must be conceded at the outset that use of the word “filed” implies that the notice should be in writing. But the section does not make that requirement explicit and there are compelling reasons for not reading it into the statute. The ADEA is remedial legislation whose enforcement in large part depends upon the efforts of laymen. The. terms of this statute should be liberally construed as so as to avoid frustrating potentially meritorious claims on hypertechnical grounds. See Bonham v. Dresser Industries, Inc., 569 F.2d 187, 193 (3d Cir. 1977); Moses v. Falstaff Brewing Corp., 525 F.2d 92, 93-94 (8th Cir. 1973); cf. Love v. Pullman Co., 404 U.S. 522, 527, 92 S.Ct. 616, 30 L.Ed.2d 679 (1972) (Title VII case). Moreover, the sparse legislative history on this point indicates that unequivocal oral notice should be sufficient. The Act as a whole reflects “a congressional desire to avoid some of the administrative logjams experienced under Title VII” and to simplify enforcement mechanisms. Comment, Procedural Prerequisites to Private Suit Under the Age Discrimination in Employment Act, 44 U.Chi.L.Rev. 457, 467 (1977) (hereinafter referred to as “Comment, Procedural Prerequisites”). See also 113 Cong. Rec. 7076 (1967) (testimony of Sen. Javits before the Labor Subcommittee of the Senate Labor and Public Welfare Committee regarding the ADEA). Thus, in enacting the ADEA, Congress declined to require that notice “shall be in writing under oath or affirmation . . .,” as was done in Title VII, 42 U.S.C. § 2000e-5(b). Additionally, the Department of Labor, the agency charged with administering the ADEA, has urged that oral notice can satisfy section 626(d). See Brief for the United States as Amicus Curiae, Shell Oil Co. v. Dartt, 434 U.S. 99, 98 S.Ct. 600, 54 L.Ed.2d 270 (1977) (leave to file denied). In light of the strong policy favoring a simplified construction of procedural requirements under the ADEA, the pertinent legislative history and the Department of Labor’s administrative interpretation, I would hold that unequivocal oral notice can satisfy section 626(d). See, e. g., Woodford v. Kinney Shoe Corp., 369 F.Supp. 911, 914 (N.D. Ga.1973); Bishop v. Jelleff Assoc., 398 F.Supp. 579, 593 (D.D.C.1974); and Suther*376land v. SKF Industries, Inc., 419 F.Supp. 610, 615-16 (E.D.Pa.1976).4
Furthermore, the majority errs in its conclusion that appellant’s oral notice did not in fact “fulfill its statutory office.” The purpose of section 626(d) is to force an aggrieved party to promptly notify the Department of Labor of an intent to seek redress, so that the Department can (1) inform the employer of a possible lawsuit based on the alleged discrimination; (2) simultaneously seek an early and informal reconciliation of the parties; and (3) decide whether to sue on behalf of the aggrieved ■ party.5 See Dartt v. Shell Oil Co., 539 F.2d 1256, 1261 (10th Cir. 1976), aff’d mem., 98 S.Ct. 600 (1977) (equally divided Court); Moses v. Falstaff Brewing Corp., supra, 525 F.2d at 94; Cowlishaw v. Armstrong Rubber Co., 425 F.Supp. 802, 807 (E.D.N.Y. 1977); Comment, Procedural Prerequisites, supra, at 469-70. Since Dow was contacted and conciliation was attempted as a result of Reich’s specific oral notice, his actions here amply satisfied the spirit and, I believe, the letter of section 626(d). See Dartt v. Shell Oil Co., supra, 539 F.2d at 1261; Cowlishaw v. Armstrong Rubber Co., supra; Smith v. Jos. Schlitz Brewing Co., 419 F.Supp. 770, 776-77 (D.N.J.1976). Moreover, once given, such notice could not be retroactively invalidated months later by a letter from a Labor Department official, who was quite possibly unaware of the earlier oral notice.6 Indeed, since it appears that conciliation is not attempted until the Department receives notice of intent to sue, see Smith v. Jos. Schlitz Brewing Co., supra, 419 F.Supp. at 776, appellant might well have believed that at least part of the Department of Labor deemed his oral notice to be operative.7
Ill
The majority also holds that Reich’s “failure to comply with section 633(b) is a bar to maintenance of the action.” 8 Here again, I disagree with both the legal and factual premises of the majority’s conclusion.
As an initial matter, it seems that section 633(b) does not require a victim of age discrimination to first file a suit with the applicable state agency. Rather, this section ensures that once an aggrieved person invokes state administrative remedies, the state agency will have sixty days in which to effect informal compliance. Thereafter, a separate federal action may be commenced. See, e. g., Comment, Procedural Prerequisites, supra, at 475-80; Vazquez v. Eastern Air Lines, Inc., 405 F.Supp. 1353 (D.P.R.1975). Thus, Congress viewed section 633 as “provid[ing] for concurrent Federal and State actions . . . .” H.R. *377Rep.No.805, 90th Cong., 1st Sess. 5 (1967), reprinted in [1967] U.S.Code Cong. & Admin.News 2213, 2218 (emphasis supplied). Moreover, the Secretary of Labor has asserted that the limitations of this state-federal provision apply “only if proceedings have already been initiated under existing State law.” See Goger v. H. K. Porter Co., 492 F.2d 13, 17 (3d Cir. 1974) (Garth, J., concurring). And such a reasonable construction of an ambiguous statute by the agency charged with its administration is entitled to great deference, see Udall v. Tallman, 380 U.S. 1, 16, 85 S.Ct. 792, 13 L.Ed.2d 616 (1965).9
In addition, the majority’s reliance on Title VII cases in construing section 633(b) is also questionable. Cf. Lorillard v. Pons, -U.S.-, -& n. 14, 98 S.Ct. 866, 55 L.Ed.2d 40 (1978). A careful comparison of Title VII with the ADEA supports the conclusion that section 633(b) does not require prior resort to state administrative procedures. See Goger v. H. K. Porter, supra, 492 F.2d at 17; Vazquez v. Eastern Air Lines, Inc., supra, 405 F.Supp. at 1355— 57. The legislative history indicates that Congress generally intended different remedial and procedural approaches for the ADEA than had been employed in Title VII, despite the similarity in substantive goals of the two statutes. See, e. g., 113 Cong.Rec. 7076 (1967) (Sen. Javits); Loril-lard v. Pons, supra. Further, the state-federal provision of Title VII, 42 U.S.C. § 2000e-5(c), appears in the same section as other provisions concerned with procedural prerequisites to suit, whereas section 633(b) is part of a section involved solely with state-federal relationships. More importantly, there is no equivalent in Title VII to section 633(a) of the ADEA, which provides that even if a state proceeding is pending, it is superseded by a federal action. Thus, the ADEA reflects less deference to state mechanisms than does Title VII. See also H.R.Rep.No.805, 90th Cong., 1st Sess. 2-3 (1967), reprinted in [1967] U.S.Code Cong. & Admin.News 2213, 2215 (indicating congressional doubt as to effectiveness of existing state agencies in curbing age discrimination). I therefore agree with Judge Garth’s statement in Goger v. H. K. Porter, supra, 492 F.2d at 18, that it was not “the intent of Congress to require, prior to the institution of a Federal action, the commencement of a State proceeding which, under § 633(b), need not be concluded and which in. any event would be superseded by the filing of the Federal action under § 633(a).”
Even if, arguendo, section 633(b) generally requires a complainant to first commence a state proceeding, summary judgment was erroneously granted here. Those courts which have held that resort to state administrative remedies is a prerequisite to suit have, nevertheless, almost uniformly subjected section 633(b) to equitable doctrines. See, e. g., Hadfield v. Mitre Corp., supra, 562 F.2d at 88; Rogers v. Exxon Research & Engineering Co., 550 F.2d 834, 844 (3d Cir. 1977), cert. denied, 434 U.S. 1022, 98 S.Ct. 749, 54 L.Ed.2d 770 (1978). Appellant claims to have had a telephone conversation with a New York state official who stated that since the home office of the defendant was out of state, appellant should invoke his federal remedies. Reich then steadily, albeit slowly, pursued his rights under the ADEA. When a lawyer was finally obtained, a grievance was unsuccessfully lodged with the appropriate state agency. In order to avoid the running of the three-year statute of limitations on his ADEA claim,10 *378appellant filed this action in federal court only five days later. If appellant’s allegations are true, then certainly equity might excuse the belated resort to the state remedial mechanism in light of appellant’s reliance on the state official’s advice, see Ma-galotti v. Ford Motor Co., 418 F.Supp. 430 (E.D.Mich.1976), which in turn forced appellant to file his federal action less than sixty days after the state proceedings were commenced. Cf. Skoglund v. Singer Co., supra, 403 F.Supp. at 802-03 (untimely resort to state remedy excused). In any case, an appellate court should not decide this equitable issue in the first instance, and I would remand for a determination by the district court. See Hadfield v. Mitre Corp., supra.
For all of these reasons, I dissent.

. Reich’s affidavit states that “I spoke with Mr. Norman Bromberg of the . . Department of Labor, at 26 Federal Plaza, New York, N.Y.” It is therefore unclear whether appellant alleges he spoke in person with Mr. Bromberg, or whether he spoke over the phone with Mr. Bromberg, who was at 26 Federal Plaza.

. Recourse to the state procedure was subsequently rejected as untimely.

. Section 626(d)(2) also extends the filing time to 300 days under certain circumstances. It is not necessary to consider whether this section applies here. Cf. Skoglund v. Singer Co., 403 F.Supp. 797, 803 (D.N.H.1975).

. The majority cites Hays v. Republic Steel Corp., 531 F.2d 1307, 1312 (5th Cir. 1976), as requiring a different result. But that case is distinguishable since the oral statement involved there was equivocal, and the Department of Labor official to whom the oral complaint was given immediately told appellant that a specific written notice of intent to sue was required. Similarly, the tax cases relied on by the majority are inapposite because they involve, as the majority recognizes, “other and more complex considerations.”

. The section imposes two time limits on the discriminatee. The complainant first must file a timely notice of intent to sue, and then, after filing the notice, must wait sixty days before commencing suit.

. The oral notice was allegedly given to an official in the New York office, whereas the second official was in the New Jersey office of the Department of Labor.

. Since I would hold that the timely oral notice satisfied section 626(d), I do not reach the question whether these circumstances justify tolling the time limit of that section. I do, however, agree with the majority’s implied conclusion that the time periods of section 626(d)(1) and (2) may be tolled in appropriate, circumstances. See Dartt v. Shell Oil Co., supra; Eklund v. Lubrizol Corp., 529 F.2d 247, 250 (6th Cir. 1976) (McCree, J., dissenting).

. Section 633(b) provides in relevant part;
(b) In the case of an alleged unlawful practice occurring in a State which has a law prohibiting discrimination in employment because of age and establishing or authorizing a State authority to grant or seek relief from such discriminatory practice, no suit may be brought under section 626 of this title before the expiration of sixty days after proceedings have been commenced under the State law, unless such proceedings have been earlier terminated ....

. Note also that it is incongruous to say that the failure to file a complaint with the New York Division of Human Rights bars a federal action, when New York law itself allows a grievant to bypass agency relief and sue directly “in any court of appropriate jurisdiction.” N.Y.Exec.Law § 297(9). Indeed, the First Circuit has held that a jurisdiction with such a law did not qualify as a “deferral state” within the meaning of section 633(b). See Lugo Garces v. Sagner International, Inc., 534 F.2d 987, 989-90 (1st Cir. 1976), limited by Hadfield v. Mitre Corp., 562 F.2d 84, 86-87 (1st Cir. 1977).

. Since this complaint alleged a wilful discriminatory firing, 29 U.S.C. §§ 626(e) and 255 yield a three-year statute of limitations, which apparently would have expired the day after this action was filed.