Carol Wilkerson v. Grinnell Corporation 00-1395-II No. 00-1395-II _________________________________________ IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT __________________________________________ CAROL WILKERSON, Plaintiff-Appellant, v. GRINNELL CORPORATION, Defendant-Appellee. _______________________________________________________ On Appeal from the United States District Court for the Southern District of Georgia _______________________________________________________ BRIEF OF THE UNITED STATES EQUAL EMPLOYMENT OPPORTUNITY COMMISSION AS AMICUS CURIAE _______________________________________________________ GWENDOLYN YOUNG REAMS EQUAL EMPLOYMENT OPPORTUNITY Associate General Counsel COMMISSION Office of General Counsel PHILIP B. SKLOVER 1801 L Street, N.W., Room 7030 Associate General Counsel Washington, D.C. 20507 (202) 663-4724 CAROLYN L. WHEELER Assistant General Counsel ANNE NOEL OCCHIALINO Attorney CERTIFICATE OF INTERESTED PERSONS Carol Wilkerson v. Grinnell Corp. No. 00-1395-II Counsel hereby certifies that the following persons or entities have an interest in the outcome of this case: 1. Charles H. Brown - Counsel for Defendant-Appellee. Kelly O. Coogan - Counsel for Defendant-Appellee. B. Avant Edenfield - District Judge, United States District Court for the Southern District of Georgia. Equal Employment Opportunity Commission, Amicus Curiae. David L. Gordon - Counsel for Defendant-Appellee. Grinnell Corporation - Defendant-Appellee. Becky D. Livingston - Counsel for Defendant-Appellee. Julie S. Northup - Counsel for Plaintiff-Appellant. Anne Noel Occhialino, Attorney for Amicus Curiae, EEOC. Gwendolyn Young Reams, Associate General Counsel, EEOC. Debra E. Schwartz - Counsel for Plaintiff-Appellant. Philip B. Sklover, Associate General Counsel, EEOC. G. R. Smith - Magistrate Judge, United States District Court for the Southern District of Georgia. C1 of 2 CERTIFICATE OF SERVICE (con't) Carolyn L. Wheeler, Assistant General Counsel, EEOC. Carol Wilkerson - Plaintiff-Appellant. _____________________________ Anne Noel Occhialino C1 of 2 TABLE OF CONTENTS PAGE CERTIFICATE OF INTERESTED PERSONS . . . . . . . . . . . . . . . . C1 of 2 TABLE OF CONTENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i TABLE OF AUTHORITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii STATEMENT OF INTEREST . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 STATEMENT OF THE ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 STATEMENT OF THE CASE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Nature of the Case and Course of Proceedings . . . . . . . 3 Statement of Facts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 District Court Decision. . . . . . . . . . . . . . . . . . . . . 8 SUMMARY OF ARGUMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 ARGUMENT . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . 11 I. THIS COURT SHOULD REVERSE THE DISTRICT COURT'S ENTRY OF SUMMARY JUDGMENT IN FAVOR OF GRINNELL BECAUSE WILKERSON'S INTAKE QUESTIONNAIRE, WHICH WAS SIGNED UNDER PENALTY OF PERJURY, WAS VERIFIED AND SATISFIES TITLE VII'S CHARGE-FILING REQUIREMENTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Wilkerson's intake questionnaire was verified . . . . . . . 12 TABLE OF CONTENTS (cont'd) PAGES B. Wilkerson's verified intake questionnaire constitutes a charge of discrimination under Title VII . . . . . . . . . . . 15 II. EVEN IF WILKERSON'S INTAKE QUESTIONNAIRE WAS UNVERIFIED, THIS COURT SHOULD REVERSE THE DISTRICT COURT BECAUSE UNVERIFIED INTAKE QUESTIONNAIRES SUBSEQUENTLY AMENDED SATISFY TITLE VII'S CHARGE-FILING REQUIREMENTS. . . . . . . . . . . . . . . . 20 CONCLUSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 CERTIFICATE OF COMPLIANCE CERTIFICATE OF SERVICE TABLE OF AUTHORITIES CASES PAGE(S) Blue Bell Boots, Inc. v. E.E.O.C., 418 F.2d 355 (6th Cir. 1969) . . . 12,14, 23, 24, 26 Bonner v. City of Prichard, 661 F.2d 1206. . . . . . . . . . . . . . . . . . . 19 (11th Cir. 1982) (en banc) Buffington v. General Time Corp., 677 F. Supp. 1186 (M.D. Ga. 1988) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Casavantes v. California State Univ., 732 F.2d 1441 (9th Cir. 1984) 26 *Chevron, U.S.A., Inc. v. Natural Resources Defense Council, Inc., 467 U.S. 837 (1984) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Choate v. Caterpillar Tractor Co., 402 F.2d 357 (7th Cir. 1968) . . . .23 *Clark v. Coats & Clark, Inc., 865 F.2d 1237 (11th Cir. 1989) . . . . .12, 19, 21 E.E.O.C. v. Associated Dry Goods Corp., 449 U.S. 590 (1981) . . . . . 22,23 E.E.O.C. v. Commercial Office Prods., 486 U.S. 107 (1988) . . . . . . .21 E.E.O.C. v. Mississippi College, 626 F.2d 477 (5th Cir. 1980) . . . . .15 E.E.O.C. v. Sears, Roebuck & Co., 650 F.2d 14 (2d Cir. 1981) . . . . 26 E.E.O.C. v. Shell Oil Co., 466 U.S. 54 (1984) . . . . . . . . . . . . . . . 18, 23 Edelman v. Lynchburg College, 228 F.3d 503 (4th Cir. 2000), petition for cert. filed, - S. Ct. - , 69 USLW 3481 (U.S. Apr. 02, 2001) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 TABLE OF AUTHORITIES (con't) CASES PAGE(S) *Georgia Power Co. v. E.E.O.C., 412 F.2d 462 (5th Cir. 1969) . . . .15, 18, 19, 21, 25 Harper v. Plumbmaster Inc., 77 FEP 1058 (E.D. Penn. 1998) . . . . . . . 13 Lane v. Wal-Mart Stores East, Inc., 69 F. Supp. 2d 749 (D. Md. 1999) . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . 13 Lawrence v. Cooper Communities, Inc., 132 F.3d 447 (8th Cir. 1998) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8, 13 Malone v. K-Mart Corp., 51 F. Supp. 2d 1287 (M.D. Ala. 1999) . . . . 25 Peterson v. City of Wichita, 888 F.2d 1307 (10th Cir. 1989) . . . . . . .26 Philbin v. General Elec. Capital Auto Lease, Inc., 929 F.2d 321 (7th Cir. 1991) . . . . . . . . . . . . . . . . . . . .. . . . . . . 24, 26 Pijnenburg v. West Georgia Health System, Inc., No. Civ.A 4:98-187JRE, 2000 WL 555987 (M.D. Ga. March 20, 2000) . . . . . . . . . . . . . . . . . . . . . . . . . . 8 *Price v. Southwestern Bell Tel. Co., 687 F.2d 74 (5th Cir. 1982) . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . 25, 26 Shempert v. Harwick Chem. Corp., 151 F.3d 793 (8th Cir. 1998) . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . 27 Tillman v. City of Boaz, 548 F.2d 592 (5th Cir. 1977). . . . . . . . . . . 19 Vason v. City of Montgomery, 240 F.3d 905 (11th Cir. 2001) . . . . . . 19 TABLE OF AUTHORITIES (con't) CASES PAGE(S) *Weeks v. Southern Bell Tel. & Tel. Co., 408 F.2d 228 (5th Cir. 1969) . . . . . . . . . . . . . . . . . . . . . . .. . . . 12, 14, 21, 23, 24, 25 Whitmore v. O'Connor Management, Inc., 156 F.3d 796 (8th Cir. 1998) . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . 8 FEDERAL STATUTES 42 U.S.C. § 2000e-5(b). . . . . . . . . . . . . . . . . . . . . . . . . 9, 10, 12, 15, 27 42 U.S.C. §§ 2000e, et. seq. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1, 3 FEDERAL REGULATIONS 29 C.F.R. § 1601.11 (1966) . . . . . . . . . . . . . . . . . . . . . . . . . . 29, 22 29 C.F.R. § 1601.12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15, 19 29 C.F.R. § 1601.12(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .passim 29 C.F.R. § 1601.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 29 C.F.R. § 1601.3(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9, 11, 12, 13 29 C.F.R. § 1601.9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9, 12, 13 29 C.F.R. § 1626.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 29 C.F.R. § 1626.8 . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . 19 TABLE OF AUTHORITIES (con't) MISCELLANEOUS PAGE(S) EEOC Compliance Manual, Vol. I, Ex. 1-B to § 1.7 at 1:0007 (BNA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 31 Fed. Reg. 10269 (1966) . . . . . . . . . . . . . . . . . . . . . . . . . . 22 No. 00-1395-II _________________________________________ IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT __________________________________________ CAROL WILKERSON, Plaintiff-Appellant, v. GRINNELL CORPORATION, Defendant-Appellee. _______________________________________________________ On Appeal from the United States District Court for the Southern District of Georgia _______________________________________________________ BRIEF OF THE UNITED STATES EQUAL EMPLOYMENT OPPORTUNITY COMMISSION AS AMICUS CURIAE _______________________________________________________ STATEMENT OF INTEREST The Equal Employment Opportunity Commission ("EEOC") is the agency charged with the enforcement of Title VII of the Civil Rights Act of 1964, 42 U.S.C. §§ 2000e et seq. ("Title VII"). This case raises important issues concerning when an EEOC intake questionnaire satisfies Title VII's charge-filing requirements. Specifically, this appeal raises the issue of whether the district court erred in holding that, although the plaintiff, Carol Wilkerson, signed her timely filed EEOC intake questionnaire under penalty of perjury, the questionnaire was unverified and therefore did not qualify as a Title VII charge of discrimination. Assuming, arguendo, that the questionnaire was unverified and that Wilkerson later filed an untimely formal charge, this case also raises the issue of whether an unverified intake questionnaire that is later amended under 29 C.F.R. § 1601.12(b) through the filing of a formal charge satisfies Title VII's charge-filing requirements. STATEMENT OF THE ISSUES 1. Whether the district court erred in granting summary judgment for the defendant on the ground that the plaintiff's EEOC intake questionnaire was unverified and therefore did not constitute a charge of discrimination under Title VII, even though the plaintiff signed her intake questionnaire under penalty of perjury. 2. Assuming that the intake questionnaire was unverified and that plaintiff filed a charge of discrimination outside the charge-filing period, whether under 29 C.F.R. § 1601.12(b) the plaintiff's charge of discrimination relates back to the date she filed her intake questionnaire and cures its verification defect, therefore satisfying Title VII's charge-filing requirements. STATEMENT OF THE CASE Nature of the Case and Course of Proceedings On August 11, 1999, Wilkerson filed this action alleging that defendant Grinnell Corporation ("Grinnell") violated Title VII, 42 U.S.C. §§ 2000e et seq., by subjecting her to a hostile work environment, by retaliating against her for complaining about discrimination, and by terminating her on August 19, 1997, because of her sex and race. Doc. 1.<1> On March 9, 2000, Grinnell filed a motion for summary judgment. Doc. 15. The district court referred the case to a magistrate judge, and on June 21, 2000, the magistrate judge issued a report and recommendation ("R & R") recommending that Grinnell's motion for summary judgment be granted. Doc. 24. By order and judgment entered July 17, 2000, the district court adopted the R & R, entered judgment in favor of Grinnell, and dismissed this case with prejudice. Docs. 27, 28. On July 26, 2000, Wilkerson filed a timely notice of appeal. Doc. 29. On September 6, 2000, Wilkerson filed a brief with this Court. On October 10, 2000, Grinnell filed a response brief. By order dated February 26, 2001, this Court appointed counsel to represent Wilkerson and requested the filing of a supplemental brief and participation in oral argument on the issue of whether a timely filed but unverified intake questionnaire constitutes a charge of discrimination under Title VII. Statement of Facts In July 1995, Wilkerson, a black female, began working for Grinnell as a machine operator. Doc. 24, Pg. 1. During her employment, Wilkerson received one three-day suspension and four employee warning notices for substandard work and inappropriate conduct. Doc. 17-Pgs. 2-3. On August 19, 1997, Grinnell terminated Wilkerson's employment. Id. at ¶ 11. Either that day or the next, Wilkerson called the Savannah Local Office of the EEOC and said she believed she had been wrongfully terminated. Doc. 18-Pgs. 132-33. The EEOC immediately sent Wilkerson an intake questionnaire. Id. at 133. On August 21, 1997, Wilkerson filled out the intake questionnaire and returned it to the EEOC. Doc. 18, Ex. 10-Pg. 3. On the first page of the intake questionnaire Wilkerson wrote her name and address, Grinnell's name and address, the date Grinnell hired her, and the names and positions of the officials she worked with. Id. at 1. On the second page of the questionnaire, Wilkerson indicated that she had been discharged and laid-off and stated that she believed these actions were taken against her because of her race and sex. Id. at 2. She also stated that the most recent date of discriminatory action taken against her was August 19, 1997, and that this action was taken by two white males, Jimmy Harris and Tommy Alderman. Id. In response to questions on pages two and three of the intake questionnaire concerning the actions taken against her and her reasons for believing they were discriminatory, Wilkerson attached eight handwritten pages detailing events leading up to her termination. Id. at 2-3 & attachment. On page three of the intake questionnaire, Wilkerson signed her name and put the date under the statement, "I swear or affirm under penalty of perjury that the provided information is truthful and correct, to the best of my knowledge." Id. at 3. In September, 1997, Wilkerson called the EEOC and inquired about her charge. Doc. 18, Pg. 139. She was told that "there was a lot of people before me and they take them as they come." Id. Since Wilkerson knew that the EEOC was aware of her discharge date, Wilkerson replied, "okay." Id. Wilkerson did not have any other contact with the EEOC until June, 1998, when she called again and spoke with investigator Martin Frazier. Id. at 139, 263. Frazier told her that the EEOC had sent out "a set of questions in October that's supposed to have been back the 1st of December," and that because she had not returned the questions, her charge was not timely. Id. at 139, 263. When Wilkerson denied having received the questions,<2> Frazier said, "'Okay. Then we'll just go ahead and go with your questionnaire thing. We'll go ahead and send you your charge and we'll contact Grinnell.'" Id. at 139. Wilkerson "just let it go at that." Id. On June 24, 1998, Frazier signed a Notice of Charge of Discrimination that the EEOC sent to Grinnell. Doc. 18, Ex. 18; Appellee's Br. at 3, n.2. The notice states that Wilkerson "alleges that she was discharged from her employment, disciplined and intimidated in her employment because of her race, Black, and sex, female." Doc. 18, Ex. 18. The charge number written on the notice is "115980472," which appears to be the same number written on Wilkerson's intake questionnaire. Id.; Doc. 18, Ex. 10. The box next to "Enclosure: Copy of Charge" is not marked. Id. On April, 30, 1999, the EEOC sent Wilkerson a Dismissal and Notice of Rights stating that it could not investigate her charge because it had not been filed within the applicable time limit. Doc. 18, Ex. 19. Wilkerson, who was upset, called the EEOC and left a message but did not hear anything back. Doc. 18, Pg. 140. Wilkerson's prepaid legal services company referred her to Michael Edwards, an attorney. Id. at 140-41. Edwards told Wilkerson that something was wrong and advised her to return to the EEOC and ask for a copy of her file. Id. at 141, 265. Wilkerson went to the EEOC office and eventually talked with Lynn Jordan, the Director of the Savannah Local Office, who told her, "'Well, we just noticed in your file that you did file on time and we're going to issue a revocation or something and reopen up your case.'" Id. at 144-45. Although Wilkerson expressed concern that the statute of limitations was running out, Ms. Jordan said it was not. Id. On July 2, 1999, the EEOC sent Wilkerson a Revocation of Notice of Right to Sue stating that it revoked the April 30, 1999, Dismissal and Notice of Rights. Doc. 18, Ex. 20. After Wilkerson received the revocation letter, Edwards told her to return to the EEOC and ask it to issue a right-to-sue letter. Doc. 18, Pgs. 145-46. Wilkerson requested a right-to-sue letter, which the EEOC issued on July 8, 1999. Id. at 146; Doc. 18, Ex. 21. On August 11, 1999, Wilkerson filed this lawsuit pro se.<3> District Court Decision In a July 17, 2000 order, the district court adopted the magistrate judge's seven-page report and recommendation finding that Grinnell's motion for summary judgment should be granted. In the R & R, the court concluded that "[b]ecause plaintiff's intake questionnaire was not made under oath or affirmation, it cannot be considered a charge for Title VII statute of limitations purposes." Doc. 24, Pg. 6. In reaching this conclusion the court relied on cases from the Eighth Circuit Court of Appeals and from district courts within the Eleventh Circuit holding that unverified intake questionnaires do not constitute charges of discrimination because they do not satisfy Title VII's oath or affirmation requirement. Id. at 5 (citing Whitmore v. O'Connor Management, Inc., 156 F.3d 796, 799 (8th Cir. 1998); Lawrence v. Cooper Communities, Inc., 132 F.3d 447, 450 (8th Cir. 1998); Pijnenburg v. West Georgia Health System, Inc., No. Civ.A 4:98-187JRE, 2000 WL 555987at *5 (M.D. Ga. March 20, 2000); Buffington v. General Time Corp., 677 F. Supp. 1186, 1193 (M.D. Ga. 1988)). In the R & R, the court went on to state, "[b]ecause plaintiff's intake questionnaire does not constitute a charge, her actual charge, filed June 24, 1998, was untimely by more than 120 days." Doc. 24, Pg. 6. Although the court acknowledged that Wilkerson had filed a formal charge outside the charge-filing period, the court failed to include any legal analysis of the possible significance of this later filing. Instead, the court concluded that Wilkerson's case should be dismissed. Id. SUMMARY OF ARGUMENT The district court made a factual error in concluding that Wilkerson's EEOC intake affidavit was unverified. Title VII requires that charges be made under "oath or affirmation." 42 U.S.C. § 2000e-5(b). The Commission's implementing regulations require that charges be verified. 29 C.F.R. § 1601.9. The Commission has defined "verified" to mean a "sworn declaration in writing under penalty of perjury." 29 C.F.R. § 1601.3(a). Because Wilkerson signed her intake questionnaire under the statement, "I swear or affirm under penalty of perjury that the provided information is truthful and correct to the best of my knowledge," it was verified within the meaning of section 1601.3(a), and the court erred in concluding otherwise. In addition to satisfying Title VII's "under oath or affirmation" requirements, Wilkerson's intake questionnaire satisfies Title VII's requirement that a charge be in writing and contain "such information and be in such form as the Commission requires." 42 U.S.C. § 2000e-5(b). As required by the Commission's regulations, the questionnaire identifies the parties and "describe[s] generally the action or practices complained of," which include Wilkerson's claims of race and sex discrimination and her claim that her August 19, 1997, termination was discriminatory. Once Wilkerson made it clear that she wanted to file a charge of discrimination, the evidence suggests that the EEOC treated the intake questionnaire as a charge by assigning it a charge number and by sending to Grinnell on June 24, 1998, a notice of charge of discrimination. Because Wilkerson's timely filed intake questionnaire fulfills the charge-filing requirements set forth by Title VII and in the Commission's regulations, and because the EEOC treated it as a charge, the EEOC intake questionnaire constitutes a charge of discrimination under Title VII. Assuming, arguendo, that the district court correctly concluded that the intake questionnaire was unverified and that Wilkerson actually filed a formal charge of discrimination on June 24, 1998, this Court should still reverse and remand this case. Under the Commission's regulations, to which this Court must defer, Wilkerson's formal charge of discrimination relates back to the date of her timely filed intake questionnaire and cures its verification defect. See 29 C.F.R. § 1601.12(b) (stating that a "charge may be amended to cure technical defects or omissions . . . including failure to verify the charge" and that the amendments "will relate back to the date the charge was first received"). It is in keeping with precedent from this Court, and with the majority of the courts of appeals that have considered the issue, to hold that under 29 C.F.R. § 1601.12(b) an unverified intake questionnaire amended by the filing of a formal charge outside the statute of limitations period satisfies Title VII's charge-filing requirements. ARGUMENT THIS COURT SHOULD REVERSE THE DISTRICT COURT'S ENTRY OF SUMMARY JUDGMENT IN FAVOR OF GRINNELL BECAUSE WILKERSON'S INTAKE QUESTIONNAIRE, WHICH WAS SIGNED UNDER PENALTY OF PERJURY, WAS VERIFIED AND SATISFIES TITLE VII'S CHARGE-FILING REQUIREMENTS. The district court's finding that Wilkerson's intake questionnaire was not made under oath or affirmation is contrary to the record and to the Commission's regulations, which define "verified" as signed under penalty of perjury. See Doc. 24, Pg. 6; 29 C.F.R. § 1601.3(a). Because the district court erroneously found that the questionnaire was unverified, the court inadvertently asked and answered the wrong question. Instead of considering whether Wilkerson's verified intake questionnaire satisfies Title VII's charge-filing requirements, the court asked whether Wilkerson's unverified intake questionnaire qualifies as a Title VII charge. Since the questionnaire was verified and satisfies Title VII's other charge-filing requirements, an issue the district court never reached, this Court should reverse the district court's entry of summary judgment in favor of Grinnell. A. Wilkerson's intake questionnaire was verified Title VII requires that charges "be in writing under oath or affirmation." 42 U.S.C. § 2000e-5(b). The purpose of this requirement is to protect employers from having to defend themselves against frivolous charges. See Weeks v. Southern Bell Tel. & Tel. Co., 408 F.2d 228, 231 (5th Cir. 1969) ("the purpose of certain of the procedural requirements of Section 2000e-5 is to protect employers from unfounded charges and harassment"); Blue Bell Boots, Inc. v. E.E.O.C., 418 F.2d 355, 357 (6th Cir. 1969) ("Congressional intent in requiring an oath is to prevent the harassment of respondents by reckless charges."). The Commission has promulgated regulations interpreting Title VII's "under oath or affirmation" requirement. See 29 C.F.R. §§ 1601.9 & 1601.3(a). Under these regulations, a charge must be "verified," which means "supported by an unsworn declaration in writing under penalty of perjury." 29 C.F.R. §§ 1601.9 & 1601.3(a). "The EEOC's interpretation of statutes which it is charged with enforcing is entitled to great deference." Clark v. Coats & Clark, Inc., 865 F.2d 1237, 1240 (11th Cir. 1989) (citations omitted). The district court erred in concluding that Wilkerson's intake questionnaire "was not made under oath or affirmation."<4> Doc. 24, Pg. 6. In reaching this conclusion, the court apparently overlooked the fact that Wilkerson signed her intake questionnaire under the line, "I swear or affirm under penalty of perjury that the provided information is truthful and correct to the best of my knowledge." Doc. 18, Ex. 10-Pg. 3. Since the questionnaire was "supported by an unsworn declaration in writing under penalty of perjury," it clearly satisfies the Commission's regulations governing the verification of charges. See 29 C.F.R. §§ 1601.9 & 1601.3(a); Lane v. Wal-Mart Stores East, Inc., 69 F. Supp. 2d 749, 753-54 (D. Md. 1999) (citing 29 C.F.R. § 1601.3 and holding that the plaintiff's charge of discrimination was verified where the plaintiff signed her name under a statement reading, "I declare under penalty of perjury that the foregoing is true and correct"); Harper v. Plumbmaster Inc., 77 FEP 1058, 1059 (E.D. Penn. 1998) (citing 29 C.F.R. § 1601.3 and holding that the plaintiff's charge of discrimination was verified where the last sentence of the plaintiff's charge stated, "I swear or affirm under penalty of perjury that I have read the above charge and that it is true to the best of my knowledge, information, and belief"); cf. Lawrence v. Cooper Communities, Inc., 132 F.3d 447, 449 (8th Cir. 1998) (concluding that the plaintiff's intake form "was not verified, or in other words, was not signed . . . under penalty of perjury"). The purpose of Title VII's "oath or affirmation" requirement, to prevent employers from having to defend against frivolous charges, was also clearly fulfilled in this case. Wilkerson verified the intake questionnaire when she signed it on August 21, 1997, well before Grinnell received notice of her claims of discrimination. Doc. 18, Ex. 18. Because Grinnell never had to defend itself against a reckless charge, the purpose of Title VII's oath or affirmation requirement was served. See Weeks, 408 F.2d at 231 (stating that the purpose of Title VII's procedural requirements, which is to "protect employers from unfounded charges and harassment," is served as long as the Commission does not serve the charges on the employer until the charge has been sworn); see also Blue Bell Boots, 418 F.2d at 357 (stating that the purpose of the oath requirement "can be served by requiring verification before action is taken by the Commission"). Since Wilkerson's intake questionnaire was verified, the district court's reasoning that Wilkerson's intake questionnaire does not satisfy Title VII's charge-filing requirements because it was unverified does not address the legal issue presented by this case. That issue-whether Wilkerson's timely filed verified intake questionnaire satisfies Title VII's charge-filing requirements-is one the district court never reached, but which is readily answered through a review of the contents of the questionnaire. B. Wilkerson's verified intake questionnaire constitutes a charge of discrimination under Title VII Section 706(b) of Title VII requires that charges be filed in writing under oath and that they "contain such information and be in such form as the Commission requires." 42 U.S.C. § 2000e-5(b). The Commission's regulations "establish very minimal requirements for the sufficiency of charges." E.E.O.C. v. Mississippi College, 626 F.2d 477, 483 (5th Cir. 1980). Under these regulations, a charge is sufficient when the Commission receives "a written statement sufficiently precise to identify the parties, and to describe generally the action or practices complained of." 29 C.F.R. § 1601.12(b). Thus, "[a]ll that is required is that [the charge] give sufficient information to enable EEOC to see what the grievance is all about." Georgia Power Co. v. E.E.O.C., 412 F.2d 462, 466 (5th Cir. 1969) (footnote and citation omitted). Because Wilkerson's intake questionnaire provided more than enough information to enable the EEOC to determine the nature of her complaint, the questionnaire satisfies the minimal requirements of a Title VII charge as set forth in 29 C.F.R. § 1601.12(b).<5> On the first page of the intake questionnaire Wilkerson wrote her name and address, Grinnell's name and address, the date Grinnell hired her, and the names and positions of the officials she worked with. Id. at 1. On the second page of the questionnaire, Wilkerson indicated that she had been discharged and laid-off and stated that she believed these actions were taken against her because of her race and sex. Id. at 2. She also stated that the most recent date of discriminatory action taken against her was August 19, 1997, and that this action was taken by two white males, Jimmy Harris and Tommy Alderman. Id. In response to questions on pages two and three of the intake questionnaire concerning the actions taken against her and her reasons for believing they were discriminatory, Wilkerson attached eight handwritten pages detailing events leading up to her termination. Id. at 2-3 & attachment. Thus, the information contained in Wilkerson's timely filed intake questionnaire is more than sufficient to satisfy the liberal charge requirements of 29 C.F.R. § 1601.12(b). The EEOC's policy is that, "consistent with 29 C.F.R. 1601.12(b)," it will consider an intake questionnaire to be a Title VII charge of discrimination when the questionnaire "constitutes the only timely written statement of allegations of employment discrimination." EEOC Compliance Manual, Vol. I, Ex. 1-B to § 1.7 at 1:0007 (BNA). In this case, the evidence in the record establishes that the EEOC treated Wilkerson's timely filed intake questionnaire as a charge of discrimination. Wilkerson testified that in June of 1998 she called the EEOC and spoke with investigator Martin Frazier. Doc. 18, Pg. 139. After Wilkerson denied receiving the October 1, 1997, letter that the EEOC purportedly sent her, Frazier said, "'Okay. Then we'll just go ahead and go with your questionnaire thing. We'll go ahead and send you your charge and we'll contact Grinnell.'" Id. Frazier followed through on his statement by preparing a June 24, 1998, notice of charge of discrimination notifying Grinnell that a Title VII charge had been filed against it. Doc. 18, Ex. 18. Significantly, no charge is attached to the notice, and the box on the notice next to "Enclosure: Copy of Charge," is not marked. Id. The EEOC charge number written on the notice, "115980472," also appears to match the number written on the top right-hand corner of the first page of the intake questionnaire, which further indicates that the EEOC treated the intake questionnaire as a charge. See Doc. 18, Ex. 10, Pg. 1; Ex. 18, Pg. 1. Thus, contrary to the factual finding of the district court, Doc. 24, Pgs. 3 & 6, and to Grinnell's Statement of Material Facts,<6> Doc. 17, ¶ 13, the record indicates that Wilkerson never completed the filing of a formal charge of discrimination. The record clearly establishes, however, that the EEOC treated the intake questionnaire as a charge once Wilkerson made it clear that she had intended to file one. See Doc. 24, Pg. 6; Doc. 17, ¶ 13.<7> In this case, the intake questionnaire clearly fulfilled the primary purpose of a charge, which is to put the EEOC on notice that the respondent may have engaged in conduct that violates Title VII. See, e.g., E.E.O.C. v. Shell Oil Co., 466 U.S. 54, 68 (1984) ("The function of a Title VII charge [ ] is to place the EEOC on notice that someone . . . believes that an employer has violated the title."); Georgia Power, 412 F.2d at 466 (stating that "'[a]ll that is required [of a charge] is that it give sufficient information to enable EEOC to see what the grievance is all about'") (citation and footnote omitted). Finally, precedent from this Court dictates the conclusion that Wilkerson's verified intake questionnaire constitutes a Title VII charge of discrimination.<8> See Clark, 865 F.2d at 1240-41; Georgia Power, 412 F.2d at 466. In Clark, this Court held that a plaintiff's intake questionnaire sufficed as an ADEA charge of discrimination under the Commission's regulations, 29 C.F.R. §§ 1626.6 & 1626.8, which are substantially similar to the Commission's regulations governing Title VII charges of discrimination.<9> See Clark, 865 F.2d at 1240-41; 29 C.F.R. § 1601.12. In Georgia Power, this Court's predecessor held that a charging party's letter was an effective Title VII charge where it was "'sufficiently precise to identify the parties and to describe generally the action or practices complained of.'" Georgia Power, 412 F.2d at 466 (quoting 29 C.F.R. § 1601.11(b) (1966)). A finding that Wilkerson's verified intake questionnaire constitutes a charge of discrimination under Title VII is also in keeping with the well-established principle that EEOC charges should be liberally construed. See, e.g., Tillman v. City of Boaz, 548 F.2d 592, 593 (5th Cir. 1977) ("Charges filed with the EEOC must be liberally construed because they are made by persons who are unfamiliar with the technicalities of formal pleadings and who usually do not have the assistance of an attorney.") (citations and footnote omitted). II. EVEN IF WILKERSON'S INTAKE QUESTIONNAIRE WAS UNVERIFIED, THIS COURT SHOULD REVERSE THE DISTRICT COURT BECAUSE UNVERIFIED INTAKE QUESTIONNAIRES SUBSEQUENTLY AMENDED SATISFY TITLE VII'S CHARGE-FILING REQUIREMENTS. Even if the district court correctly found that Wilkerson's intake questionnaire was unverified, and assuming, arguendo, that Wilkerson did file a formal verified charge of discrimination on June 24, 1998, this Court should hold that the unverified intake questionnaire satisfies Title VII's charge-filing requirements.<10> See 29 C.F.R. § 1601.12(b) (permitting charges to be amended to cure verification defects and stating that such amendments "will relate back to the date the charge was first received"). The issue of whether an unverified intake questionnaire can be subsequently amended to cure a verification defect is an issue of first impression in this Circuit, see Vason v. City of Montgomery, 240 F.3d 905, 907 n.3 (11th Cir. 2001) (noting the circuit split regarding the validity of the Commission's regulation permitting amendment of charges to cure verification defects, but not reaching the issue), although this Court's predecessor has upheld the Commission's relation-back regulation with respect to unverified charges and letters that were subsequently amended to cure verification defects. See Weeks, 408 F.2d at 231 (holding that an unsworn charge that is later sworn is an effective charge under Title VII); Georgia Power, 412 F.2d at 465-67 (holding that unsworn timely filed letter was amended through the filing of an untimely sworn EEOC charge). Title VII does not expressly speak to the question of when a charge must be verified. Where a statute is silent or ambiguous on a particular issue and where the agency charged with its enforcement fills the gap by regulation, the question for the court is whether the regulation is based on a permissible construction of the statute. See, e.g., Chevron, U.S.A., Inc. v. Natural Resources Defense Council, Inc., 467 U.S. 837, 842-45 (1984). If so, it is entitled to deference. See id. at 845; E.E.O.C. v. Commercial Office Prods., 486 U.S. 107, 115 (1988); Clark, 865 F.2d at 1240. With respect to Title VII, the Supreme Court has typically deferred to the Commission's interpretation of ambiguous statutory language where, as here, the issue concerns a procedural matter. See Commercial Office Prods., 486 U.S. at 125 (O'Connor, J., concurring) (deference is "particularly appropriate" where regulation involves a "technical issue of agency procedure"). Deference is also particularly appropriate where the Commission's interpretation is set forth in a regulation that was adopted soon after the passage of Title VII and has remained consistent thereafter. See E.E.O.C. v. Associated Dry Goods Corp., 449 U.S. 590, 600 n.17 (1981) ("contemporaneous construction" of Title VII procedural issue "deserves special deference when it has remained consistent over a long period of time") (citation omitted). Here, Section 1601.12(b) represents the EEOC's long-standing, consistently-held interpretation of Title VII's verification requirement. The charge and relation-back provisions now found in 29 C.F.R. § 1601.12(b) were initially promulgated in 1966, just two years after Title VII was passed. See 31 Fed. Reg. 10269 (1966) (announcing that charge requirements in § 1601.11 would include amendment and relation back language). Despite minor changes in the citation and wording, the substance of the regulation has remained essentially the same. Compare 29 C.F.R. § 1601.12(b) (2000) ("A charge may be amended to cure technical defects or omissions, including the failure to verify the charge . . . . Such amendments . . . will relate back to the date the charge was first received.") with 29 C.F.R. § 1601.11 (1966) ("A charge may be amended to cure technical defects or omissions, including failure to swear to the charge . . . and such amendments relate back to the original filing date"). Significantly, although Congress has amended Title VII several times, including amendments to § 706(b) in 1972, it has not overridden the regulation by adding a limitations requirement in § 706(b) or by adding a verification requirement in § 706(e). See Associated Dry Goods, 449 U.S. at 600 n.17 (Congress's silence and failure to disapprove expressly EEOC regulation "suggests its consent to the Commission's practice") (citation omitted).<11> Moreover, the EEOC's interpretation of the verification requirement -- that an otherwise valid, unverified charge may be verified outside the limitations period and still be timely -- is a reasonable construction of § 706(b) and is consistent with the purposes of both the charge and the verification requirements. See Philbin v. General Elec. Capital Auto Lease, Inc., 929 F.2d 321, 324 (7th Cir. 1991) ("The EEOC's interpretation of the statute as allowing technical amendments to relate back to the date of filing is not unreasonable."). The purpose of a charge is, principally, to put the EEOC on notice that the respondent may have engaged in conduct that violates Title VII and/or other federal employment discrimination laws. See, e.g., Shell Oil, 466 U.S. at 68 ("The function of a Title VII charge [ ] is to place the EEOC on notice that someone . . . believes that an employer has violated the title."). That purpose is fulfilled where, as in this case, the charge is "sufficiently precise to identify the parties, and to describe generally the action or practices complained of," as required by 29 C.F.R. § 1601.12(b). As discussed, supra, the purpose of the verification requirement is to ensure that employers are not required to answer to frivolous charges. See Blue Bell Boots, 418 F.2d at 357 ("Congressional intent in requiring an oath is to prevent the harassment of respondents by reckless charges."). That purpose is satisfied as long as the charge is sworn to or affirmed before the employer is required to cooperate in the investigation, which is what happened in this case since Grinnell did not receive notice of Wilkerson's charge until after it was verified through the filing of a formal charge on June 24, 1998. See Appellee's Br. at 3 n.2; Weeks, 406 F.2d at 231 (stating that the "purpose of certain of the procedural requirements of Section 2000e-5 is to protect employers from unfounded charges and harassment," and noting that the Commission does not investigate charges or serve them on employers until they are sworn). Since Congress did not specify that Title VII charges must be verified within the charge-filing period, and since the Commission's interpretation of Title VII's charge-filing requirements fulfills their purpose, it is eminently reasonable for the Commission to permit timely filed but unverified charges to be amended after the expiration of the statute of limitations for filing charges. The conclusion that 29 C.F.R. § 1601.12(b) permits Wilkerson's unverified intake questionnaire to be amended after the charge-filing period expires is also dictated by precedent from this Court upholding the validity of the Commission's regulations allowing amendment of charges to cure verification defects. See Weeks, 408 F.2d at 231 (holding that an unsworn timely charge that is later sworn is an effective charge under Title VII); Georgia Power, 412 F.2d at 466-67 (holding that an employee's unsworn letter constitutes a charge of discrimination for purposes of Title VII when the employee later files a formal sworn charge); see also Malone v. K-Mart Corp., 51 F. Supp. 2d 1287, 1300 (M.D. Ala. 1999) (holding that under 29 C.F.R. § 1601.12(b) plaintiff's verified charge related back to her timely filed EEOC letter).<12> Finally, this conclusion is consistent with decisions from the majority of appellate courts that have addressed this issue. See Philbin v. General Elec. Capital Auto Lease, Inc., 929 F.2d 321, 324 (7th Cir. 1991) (holding that an intake questionnaire subsequently verified was a charge of discrimination for purposes of Title VII where the EEOC assigned a charge number to the claim and notified the employer, and where the plaintiff signed the intake questionnaire); Peterson v. City of Wichita, 888 F.2d 1307, 1308-09 (10th Cir. 1989) (upholding validity of § 1601.12(b) and holding that the plaintiff satisfied Title VII's charge requirements where the plaintiff timely filed an unsworn discrimination complaint and later filed a formal charge); Casavantes v. California State Univ., 732 F.2d 1441, 1443 (9th Cir. 1984) (finding that the plaintiff's filing of an intake questionnaire satisfied the Title VII charge requirement where the plaintiff later filed a formal charge); Blue Bell Boots v. E.E.O.C., 418 F.2d 355, 357 (6th Cir. 1969) (holding that Title VII charges of discrimination may be sworn after charge-filing period expires). Cf. Price v. Southwestern Bell Tel. Co., 687 F.2d 74, 78-79 (5th Cir. 1982) (suggesting that unverified intake questionnaire may constitute charge if EEOC waives verification requirement); E.E.O.C. v. Sears, Roebuck & Co., 650 F.2d 14, 18 (2d Cir. 1981) (upholding validity of Commissioner's charge verified by Commissioner after term had expired). But see Edelman v. Lynchburg College, 228 F.3d 503 (4th Cir. 2000) (holding that the EEOC's regulation permitting a charge of discrimination to be verified after the expiration of the applicable limitations period is contrary to the plain language of Title VII and is therefore invalid), petition for cert. filed, - S. Ct. - , 69 USLW 3481 (U.S. Apr. 02, 2001); Shempert v. Harwick Chem. Corp., 151 F.3d 793, 796-97 (8th Cir. 1998) (EEOC regulation does not apply to permit untimely, verified charge to relate back to date plaintiff filed unverified intake questionnaire since latter is not "a charge"). CONCLUSION Contrary to the district court's conclusion, Wilkerson's timely filed intake questionnaire, which was signed under penalty of perjury, complied with Title VII's "under oath or affirmation requirement." See 42 U.S.C. § 2000e-5(b). Because the intake questionnaire also satisfied the minimal requirements of a charge, see 29 C.F.R. § 1601.12(b), it satisfies Title VII's charge-filing requirements. Assuming, arguendo, that the intake questionnaire was unverified and that Wilkerson did file a charge of discrimination on June 24, 1998, the intake questionnaire still qualifies as a Title VII charge of discrimination because the formal charge relates back to cure the intake questionnaire's verification defect. See 29 C.F.R. § 1601.12(b). Therefore, the Commission urges this Court to reverse the district court's judgment and remand the case for further proceedings. Respectfully submitted, GWENDOLYN YOUNG REAMS Associate General Counsel PHILIP B. SKLOVER Associate General Counsel CAROLYN L. WHEELER Assistant General Counsel ________________________ Anne Noel Occhialino Attorney U.S. EQUAL EMPLOYMENT COMMISSION Office of General Counsel 1801 L Street, N.W., Room 7030 Washington, D.C. 20507 (202) 663-4724 May 4, 2001 CERTIFICATE OF COMPLIANCE I, Anne Noel Occhialino, hereby certify that this brief complies with the type-volume limitations imposed under Fed. R. App. P. 32(a)(7)(B)(i) and 29(d). The brief contains 6,162 words. _______________________ Anne Noel Occhialino CERTIFICATE OF SERVICE I, Anne Noel Occhialino, hereby certify that I served two copies of the foregoing brief this 4th day of May, 2001 by first-class mail, postage pre-paid, to the following: Attorneys for Plaintiff-Appellant Carol Wilkerson: Julie S. Northup Debra E. Schwartz THOMPSON, ROLLINS, SCHWARTZ & BOROWSKI, LLC 750 Commerce Drive, Suite 100 Decatur, Georgia 30030 (404) 377-7717; fax (404) 377-5119 Attorneys for Defendant-Appellee Grinnell Corporation: Becky Livingston Kelly O. Coogan Charles H. Brown David L. Gordon Jackson Lewis Schnitzler & Krupman 1900 Marquis One Tower 245 Peachtree Center Avenue, N.E. Atlanta, GA 30303 _____________________ Anne Noel Occhialino Attorney U.S. EQUAL EMPLOYMENT COMMISSION Office of General Counsel 1801 L Street, N.W., Room 7030 Washington, D.C. 20507 1 All of the documents in the record are contained in volume 1. Citations to "Doc." refer to the record entry numbers listed on the district court docket sheet. 2 The record contains an unsigned letter dated October 1, 1997, with a notation that it was sent out on October 2, 1997. Doc. 18, Ex. 9. Wilkerson, however, has denied under oath that she received it. Doc. 18, Pg. 147. 3 Although Edwards prepared the complaint, he told Wilkerson that he was too busy to continue with the case. Doc. 18, Pg. 143. Wilkerson signed and filed the complaint. See id. 4 In reaching this cursory conclusion, the court failed to refer to the Commission's regulations at 29 C.F.R §§ 1601.9 & 1601.3(a). Doc. 24, Pg. 6. 5 The EEOC does not contend that Wilkerson's intake questionnaire constitutes a charge under 29 C.F.R. § 1601.12(a), which sets forth specific requirements for a charge of discrimination. 6 Grinnell's stipulation that Wilkerson filed a charge on June 24, 1998, Doc. 17, ¶ 13, may constitute a waiver of any argument to the contrary. Thus, this Court may simply assume that Wilkerson filed a formal verified charge on June 24, 1998, and consider the application of the relation-back provision in 29 C.F.R. § 1601.12(b). See infra at 20-27. 7 Although Grinnell's Statement of Material Facts states that Wilkerson filed a charge of discrimination on June 24, 1998, "alleging that 'she was 'discharged from her employment, disciplined, and intimidated in her employment because of her race, Black, and sex, female,'" Grinnell was quoting from the notice of charge of discrimination. Doc. 17, ¶ 13; Doc. 18, Ex. 18. During Wilkerson's deposition the parties referred to Exhibit 18 as "the EEOC charge of discrimination," but, as discussed above, Exhibit 18 consists only of the June 24, 1998, notice of charge of discrimination-no formal charge is attached. Doc. 18, Pg. 262; Doc. 18, Ex. 18. 8 Decisions of the former Fifth Circuit decided before October 1, 1981 are binding on the Eleventh Circuit. See Bonner v. City of Prichard, 661 F.2d 1206, 1209 (11th Cir. 1982) (en banc). 9 Unlike Title VII's charge-filing requirements, the ADEA permits charges to be filed over the phone and does not require charges to be verified. See 29 C.F.R. §§ 1626.6 & 1626.8. 10 Although the Commission does not believe that the facts of this case present the issue of whether an unverified intake questionnaire subsequently amended satisfies Title VII's charge-filing requirements, the Commission has addressed this issue because this Court requested that Wilkerson's appointed counsel brief the Court on this question. 11 Congress was also presumably aware that before 1972, courts of appeals had uniformly held that Title VII charges could be verified outside the charge-filing period. See Blue Bell Boots, 418 F.2d at 357; Weeks, 408 F.2d at 230-31; Choate v. Caterpillar Tractor Co., 402 F.2d 357, 360 (7th Cir. 1968). 12 Although this Court recently questioned whether cases decided before Congress' 1972 amendments to Title VII's oath requirements are still binding, see Vason v. City of Montgomery, 240 F.2d 905, 908 n. 2 (11th Cir. 2001), the Commission agrees with the Fifth Circuit that the holdings of Weeks and Georgia Power remain intact. See Price v. Southwestern Bell Tel. Co., 687 F.2d 74, 77 n.3 (5th Cir. 1982) ("Prior to passage of the 1972 amendments to Title VII of the 1964 Civil Rights Act, we rejected arguments that charges must be formal and sworn to within the applicable time period . . . and [we] freely permitted amendments of technically deficient charges [ ] pursuant to 29 C.F.R. § 1601.12(b)'s predecessor, 29 C.F.R. § 1601.11(b) . . . .Although 42 U.S.C. § 2000e-5(b), as amended in 1972, now requires the filing of charges in writing under oath or affirmation by both private parties and the EEOC, we are not persuaded the amended statute compels a different conclusion.") (citing Sanchez v. Standard Brands, Inc., 431 F.2d 455 (5th Cir. 1970); Georgia Power, 412 F.2d 462; Weeks, 408 F.2d 228).