Lead Opinion
Opinion for the Court filed by Circuit Judge ROGERS.
Opinion dissenting in part filed by Circuit Judge RANDOLPH.
Kenneth M. Burke appeals the grant of summary judgment to the National Labor Relations Board in his reverse discrimination and retaliation case, on the principal ground that the district court failed to draw all reasonable inferences in his favor and instead made factual findings on disputed issues. In suing the Board for violations of Title VII, 42 U.S.C. § 2000e et seq., as well as § 1981, Burke challenged his performance evaluations for 1996 and 1997, the removal of his supervisory responsibilities in January 1997, and his non-selection for the position of Deputy Chief of the Information Technology Branch in November 1997. We affirm the grant of summary judgment on Burke’s discrimination claims and reverse the grant of summary judgment on two of his retaliation claims.
I.
Burke began working for the Board in 1974 as a computer systems analyst at the GS-12 compensation level. As the result
This litigation arose out of the Board’s decision to award its Fiscal Year 1996 computer maintenance contract to Dyna-tech Integrated Systems (“Dynatech”). In 1995, Burke had recommended Dynatech, a minority-owned company, for a short-term contract to test its capabilities. Based on Dynatech’s impressive performance, Burke recommended that Dyna-tech be awarded the computer maintenance contract. Burke served as the agency’s contracting officer technical representative (“COTR”) to Dynatech. As the result of Burke’s performance as COTR, Joseph, Battle, and Adams took various personnel actions affecting Burke. Although at all times he retained his GS-15 compensation level, Burke’s performance evaluation for the 1996 (covering the period July 1, 1995 to June 30, 1996) was downgraded from his usual “Outstanding” rating to “Commendable,” and his performance evaluation for the 1997 (covering the period July 1, 1996 to June 30, 1997) was downgraded to “Fully Successful,” one level below “Commendable.” After Burke voluntarily surrendered his COTR responsibilities in June 1996 (before learning that Joseph had instructed Mark-man to relieve him of these responsibilities), Burke was denied direct access to the network password in July 1996. Then, in February 1997, with the concurrence of the Board’s General Counsel, Burke was relieved of his supervisory responsibilities as section chief and assigned to unspecified duties. Burke was passed over in October 1997 for the newly-created position of Deputy Chief to Adams; an independent panel rated Burke lowest of the four best-qualified applicants, while Thompson (whom Adams selected) ranked highest.
The personnel actions were based on events that followed Dynatech’s decision in March 1996, on advice of counsel, to replace its on-site program manager, Dwight Whitted, who had developed a close personal friendship with Burke, in order to avoid potential violation of federal contracting requirements. Thereafter, in the view of Burke’s supervisors and others, including Dynatech officials, Burke grew increasingly critical and unprofessional in his dealings with Dynatech. On April 29, 1996, Burke sent an agency-wide e-mail survey soliciting feedback from regional office managers on Dynatech’s performance that Joseph and Sunderlin viewed as biased and intended to encourage negative feedback. On May 3, 1996, during a meeting with Joseph, Markman, Battle, and Frankl, Burke described Dynatech as being “screamingly out of compliance” with its contractual obligations. According to Joseph, this was the first time she had heard Burke express such a negative assessment of Dynatech’s performance and represented a dramatic departure from his
On August 16, 1996, Burke filed an anonymous request for the Board’s Inspector General to review Dynatech’s performance. After Burke’s name was revealed to the General Counsel on August 22, Joseph, on August 27, asked the Inspector General to investigate whether Burke’s personal friendship with Whitted, Dyna-tech’s former project manager, was unethical and influenced Burke’s performance of his official duties. In November 1996, Burke filed an informal complaint with the Equal Opportunity Office (“EEO”); Joseph learned of this complaint on November 26, 1996. Burke filed a formal EEO complaint on February 12, 1997. On February 28, 1997, he filed a second request for the Inspector General to investigate alleged reprisals taken against him by Joseph because of his prior complaint to the Inspector General and his efforts to obtain contractual compliance by Dynateeh.
Burke filed his lawsuit on July 20, 1998, alleging that the Board’s personnel actions constituted unlawful discrimination and retaliation under Title VII and 42 U.S.C. § 1981. (His complaint included a claim under the Privacy Act, 5 U.S.C. § 552a(b), which was dismissed and is not at issue on appeal.) The Board filed a motion for summary judgment, attaching a Statement of Material Facts Not In Genuine Dispute (“Statement”) referring to declarations and affidavits from Joseph, Battle, Sunderlin, and Adams, as well as Burke’s deposition. The Board also attached exhibits, including three memoranda written by Burke (including the e-mail survey), agency letters to Dynateeh, and the declarations of Joseph, Battle, Sunderlin, and Adams. In response, Burke filed a memorandum in opposition to summary judgment, attaching his affidavit (with attachments) and a redacted report of the Inspector General. His opposition memorandum contained a twenty-five page section titled “Facts” that included some references to the record. Burke also filed two “Statement of Material Facts Which Are Genuinely in Dispute” (“Statement”), the first admitting or denying the facts alleged by the Board in its Statement and containing one reference to the record, and the second making factual assertions without any references to the record. The Board responded to Burke’s opposition, arguing that: (1) several of Burke’s claims were not “adverse employment actions” and were therefore barred under the recently-issued decision in Brown v. Brody,
The district court granted summary judgment to the Board on all of Burke’s claims. Not invoking the requirements of Local Rule 56.1, the district court reviewed the exhibits provided by the parties, and found that Burke failed to meet his burden of showing under Brown,
II.
Rule 56(c) of the Federal Rule of Civil Procedure provides, in relevant part, that upon the filing of a motion for summary judgment:
The judgment sought shall be rendered forthwith if the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law. (emphasis added)
The Supreme Court has observed that “it is from this list that one would normally expect the nonmoving party to make the showing [to avoid summary judgment].” Celotex Corp. v. Catrett,
Presumably in the interests of further simplifying matters, Local Rule 56.1 of the United States District Court for the District of Columbia (previously Local Rule 108(h), and before that Local Rule 1 — 9(h)), provides, in relevant part, that:
An opposition to such motion shall be accompanied by a separate concise statement of genuine issues setting forth all material facts as to which it is contended there exists a genuine issue necessary to be litigated, which shall include references to the parts of the record relied upon to support the statement. * * * In determining a motion for summary judgment, the court may assume the facts identified by the moving party in its statement of material facts are admitted, unless such a fact is controverted in the statement of genuine issues filed in opposition to the motion, (emphases added)
This circuit has long upheld strict compliance with the district court’s local rules on summary judgment when invoked by the district court. Thus, in addressing the moving party’s failure to comply with the local rule, the court explained in Gardels v. Central Intelligence Agency,
On the other hand, the court has cautioned, in view of the severity of dismissal of a potentially meritorious claim, that treating an issue as conceded for failure to respond fully to a motion for summary judgment “should only be applied to egregious conduct.” Robbins v. Reagan,
The plain language of Local Rule 56.1 does not require the district court to enter judgment because of the nonmoving party’s default in complying with the local rule. It provides that the district court “may assume the facts identified by the moving party in its statement of material facts are admitted” (emphasis added) in the absence of a statement of genuine issues filed in opposition to the motion for summary judgment. Consequently, this court has long recognized that the district court does not abuse its discretion by declining to invoke the requirements of the local rule in ruling on a motion for summary judgment. For example, in Cleveland County Assoc. for Gov’t by the People v. Cleveland County Bd. of Comm’rs,
Nothing in Frito-Lay, Inc. v. Willoughby,
In granting summary judgment for the Board, the district court here did not rely on the local rule. Rather, as its opinion makes clear, the district court exercised its discretion to consider Burke’s claims on the merits in light of the evidence presented by the parties. The Board alerted the district court to the implications of Burke’s noncompliance with the local rule, but the district court expressly stated that it had reviewed the parties’ exhibits. On appeal, the Board does not contend that the district court abused its discretion in failing to hold Burke to the requirements of the local rule, and we see no basis on which we could so hold. By its terms, Local Rule 56.1 leaves it to the district court to decide whether to “assume that facts identified by the moving party ... are admitted, unless such a fact is controverted in the statement of genuine issues filed in opposition to the motion.” Local Rule 56.1. Unlike Gardels, where this court, in reversing the grant of summary judgment, focused on the fact that the moving party’s failure to comply with the local rule handicapped the plaintiffs effort to oppose summary judgment,
Furthermore, because the Local Rules “supplement” and “shall be construed in harmony” with the Federal Rules of Civil and Criminal Procedure, see Local Rule 1.1(a); see Frazier v. Heebe,
A.
On the allegations of race discrimination, none of Burke’s Rule 56(c) materials provide a basis on which to reverse the grant of summary judgment. As the Supreme Court stated in St. Mary’s Honor Ctr. v. Hicks,
Burke’s Statement summarily asserts that each of the challenged personnel decisions was “motivated by discriminatory and retaliatory illegal motivations.” When asked during his deposition what evidence he had of racial discrimination, Burke’s typical answers were: “I think that [Joseph] was attacking me because I was trying to call to account a black owned firm;” “[w]hen I put all the characters down in a row [on a chart] I discovered that they were all black on one side and all white on the other, so that led me to believe there was a racial component;” and “I would guess they [Joseph and Dy-natech] simply formed an alliance based on their racial [word[s] missing].” Similar statements appear in his affidavit. See Burke Affidavit at 10.
To the extent that other Rule 56(c) materials are mentioned in Burke’s opposition memorandum, none provide more than “merely colorable,” much less “significantly probative,” evidence of unlawful discrimination against Burke under 42 U.S.C. § 2000e-2(a)(l). Cf. Carpenter v. FNMA,
Therefore, even assuming that the personnel actions Burke challenges are adverse employment actions, Burke fails to show that the Board took the challenged actions because of his race and so summary judgment was appropriate on his discrimination claims.
We reach a different conclusion regarding the appropriateness of summary judgment with respect to two of Burke’s claims of retaliation as a result of the exercise of his protected rights.
In explaining the basis for the personnel actions affecting Burke, the Board relies in part on evidence of Burke’s unprofessional conduct towards Dynatech officials and in part on a decline in his job performance after June 1996. Regarding his conduct, the Board points to a memorandum that Burke wrote to Markman stating that in order to protect his reputation following the revelation of his friendship with Whit-ted, the Dynatech representative, he would have to “abort the Dynatech contract”; further, he threatened “to develop a line of evidence [against Dynatech] to cause [its] debarment.” Dynatech officials and Sun-derlin, the Chief of Procurement, advised Joseph of other unprofessional statements and conduct on Burke’s part. Burke does not deny that Dynatech could reasonably perceive that his attitude was related to emotions caused by the removal of his friend as Dynatech’s contract manager. Joseph and Sunderlin also considered Burke’s email survey to all nationwide offices to be an act unbecoming the COTR. They further questioned Burke’s failure to directly and timely notify Joseph, the agency’s contracting officer, that one of the agency’s largest contractor accounts was “screamingly out of compliance.” As the district court noted, however, Burke disputed in his declaration and affidavit the interpretation of his email survey and whether he was required to directly inform the contracting officer of any problems.
With regard to Burke’s removal as COTR, the district court granted summary judgment, finding in view of Fischbach,
On Burke’s claims as to the removal of his supervisory responsibilities and reassignment to unspecified duties, the district court granted summary judgment, relying on Furnco Contr. Corp. v. Waters,
In view of the sequence of events immediately prior to the time Burke was relieved of his supervisory responsibilities, the Rule 56(c) materials challenging the Board’s proffered reasons suffice to raise a genuine issue of disputed fact. Cf. Forman v. Small,
As to Burke’s claims that the Board acted out of retaliation in lowering his performance ratings, the district court ruled that Burke had failed to show that they were adverse employment actions under Brown,
C.
Finally, we affirm the grant of summary judgment on Burke’s claim that
Accordingly, we reverse and remand on Burke’s claims that the removal of his supervisory duties and reassignment to unclassified duties and his 1997 performance evaluation were in retaliation for protected activity; otherwise we affirm.
Dissenting Opinion
dissenting in part:
Counsel: “In the book of nature, my Lords, it is written — ”
Lord Chief Justice Ellenborough: “Will you have the goodness to mention the page, Sir, if you please?”
3 John Lord Campbell, The Lives of the Chief Justices of England 239 (1858).
Burke never mentioned the page, or any pages, of the record in his “Statement of Material Facts in Dispute,” filed in response to the NLRB’s motion for summary judgment. For that reason, I would affirm the judgment of the district court in its entirety. The decision of the majority disregards the governing rules, fills in the blanks for Burke, and thereby lays a trap not only for our district judges but also for all parties who move for summary judgment. The new and unprecedented course thus set for our circuit is a course other circuits have wisely shunned. Worse, it is a course directly at odds with the law of this circuit.
A rule of the district court requires non-moving parties to provide the district court and opposing counsel with “a separate concise statement of genuine issues setting forth all material facts as to which it is contended there exists a genuine issue necessary to be litigated, which shall include references to the parts of the record relied on to support the statement.” Rule 56.1, Rules of the United States District Court for the DistriCt of Columbia (italics added). This is a straightforward rule, easy to understand and easy to follow. Burke flagrantly violated it. He dumped nearly two hundred pages of material into the record, large portions of which contained information that would be inadmissible at trial and thus had no proper function in opposing summary judgment. See William W. SCHWARZER ET AL., THE ANALYSIS AND DECISION of Summary Judgment Motions 50 (1991). His “Statement of Material Facts in Dispute” consisted of seven short paragraphs generally repeating the allegations in his complaint and containing no references to any evidence on file with the court.
By proceeding in this manner, in violation of Local Rule 56.1, Burke also violated Rule 56 of the Federal Rules of Civil Procedure. Rule 56(e) requires the nonmov-ing party to “designate ‘specific facts showing that there is a genuine issue for trial.’ ” Celotex Corp. v. Catrett,
In Frito-Lay, Inc. v. Willoughby,
If we followed Frito-Lay, as every panel of the court must, see LaShawn A. v. Barry,
The majority excuses Burke’s failure to point to specific facts and his noncompliance with the local rule on the basis that the district judge could, and did, waive the local rule, by which the majority means that the court did not specifically invoke the rule against Burke. I have several responses. In the first place, the district court had no authority to waive Rule 56. In the second, I do not believe it had the authority to relieve Burke of the local rule. Neither rule is simply for the benefit of the district court, although that is certainly part of it. See, e.g., Twist v. Meese,
In any event, the fact that the district court attempted to search the record despite Burke’s noncomphance with Local Rule 56.1 should not obscure the reality of this case: it was Burke’s inadequate Rule 56.1 statement (not error on the part of the district court) that caused certain facts to go undiscovered. Burke bore the burden of pointing out any material facts to the district court. Having failed to do so, he should not be permitted to make another attempt. See Tarpley v. Greene,
The majority’s bewildering treatment of the local rule and Rule 56 will have consequences for litigants, for district court judges and for our court. The majority begins by proclaiming that we have “long upheld strict compliance.” In the next breath it propounds an exception, stating that only “egregious” violations of the rule matter. Maj. op. at 517-18. The two
