Coleman v. B.G. Sulzle, Inc.Coleman v. B.G. Sulzle, Inc.
MEMORANDUM-DECISION AND ORDER
Introduction
After being employed for almost thirty years by the defendant Company, B.G. Sulzle, Inc., on February 12, 2001, plaintiff Thomas R. Coleman was terminated. During his nearly 30 years with the Company, plaintiff held several different titles. When he was terminated, by defendant Robert E. Pietrafesa II, plaintiff was Vice President of Human Resources. The Company maintains that plaintiff was terminated because “of on-going and cumulative performance problems.” Affidavit of Robert E. Pietrafesa II (Feb. 3, 2005) at 6, ¶ 41.
1
The plaintiff views his termination
On February 9, 2005, almost exactly four years after his termination, plaintiff filed the present action alleging two causes of action pursuant to
Currently before the court are defendants’ motions to dismiss for failure to state a claim upon which relief may be granted pursuant to
Background
To place this lawsuit and the defense motions in particular in context, a brief history of the consolidated actions is necessary. Almost exactly two years after his termination, on February 11, 2003, plaintiff filed a complaint alleging that the defendants terminated him in retaliation for his “continued opposition to FMLA [Family Medical Leave Act] related policies and practices, which he had a reasonable good-faith belief were unlawful.” Co. (03-CV-178) at 2, ¶ 7. Less than a month later, on March 7, 2003, plaintiff filed two more federal court actions. In the first (03-CV-0279), plaintiff alleged that the Company terminated him, failed to promote him and retaliated against him, all in violation of the Age Discrimination in Employment Act (“ADEA”). In the second action (03-CV-0280), plaintiff alleged that he is disabled within the meaning of the Americans with Disabilities Act (“ADA”) because he has Attention Deficit Disorder, and that defendants terminated him, retaliated against him and failed to provide him a reasonable accommodation, all in violation of that Act.
In March 2005, the court granted summary judgment dismissing plaintiffs ADEA claims based upon the removal of his Vice President title and the Company’s failure to promote him to Human Resources Vice President. However, the court denied defendants’ summary judgment motion as to plaintiffs remaining ADEA claims — that he was terminated because of his age and that he was terminated in retaliation for complaining of age discrimination. Finding genuine issues of material fact, the court also denied the defendants’ summary judgment motions as to plaintiffs FMLA claim for retaliatory termination.
In their initial memorandum, defendants confine their analysis to plaintiffs retaliatory discharge claim. They argue for dismissal of that claim on several grounds. First, defendants assert that plaintiff has impermissibly split his claims between this action and the consolidated actions. Alternatively, defendants argue that this claim is time-barred; and, in any event plaintiff has not sufficiently alleged “the necessary causal connection to prove a
prima facie
case of’ retaliatory discharge.
See
Defendant B.G. Sulzle, Inc.’s Memorandum in Support of its Motion to Dismiss and/or Motion for Judgment on the Pleadings on Plaintiff Thomas R. Coleman’s
Discussion
I. Governing Legal Standard
“The same standards apply to a
The “issue is not whether a plaintiff will ultimately prevail but whether the claimant is entitled to offer evidence to support the claims.”
Williams,
II.
The thrust of plaintiffs
According to plaintiff, beginning in 1994, he was criticized for advocating on behalf of and continuing to hire refugees, and this criticism continued up until his February 12, 2001 termination. Likewise, plaintiff alleges that from mid-1998 through his termination, he was continually criticized for advocating on behalf of women as just described. The culmination of defendants’ actions, plaintiff alleges, was “ongoing retaliation,” which in turn “created a hostile work environment under which he was forced to work.” Id. at 3, ¶ 30.
A. Scope of
1. Non-Minority Enforcement of Minority Rights
Defendants did not address two preliminary issues. The first is whether plaintiff, a Caucasian, may seek relief under
2. Women
The second preliminary issue is whether plaintiff has properly alleged a
For a different reason, plaintiff also has failed to state a
In light of that ruling, hereinafter the court will confíne its analysis to the retaliatory termination and hostile work environment claims predicated upon plaintiffs advocating for and “continued hiring of refugees.” See Co. at 3, ¶ 26. There is a substantial overlap between the Company’s and Pietrafesa’s arguments in this regard, but Pietrafesa makes two arguments which are unique to him. The court will address the arguments common to both defendants first.
III. Statute of Limitations
Even though defendants raise their statute of limitations defense in the alternative, the court will address this argument first because if defendants prevail, their other arguments would become moot.
A. Continuing Violation Doctrine
Prior to
Nat’l R.R. Passenger Corp. v. Morgan,
Hostile work environment claims are different from discrete acts though. The
Morgan
Court held that such claims are distinguishable because by their very nature those claims are “composed of a series of separate acts that collectively constitute one ‘unlawful employment practice.’,”
Id.
at 111,
The Second Circuit has held that “[t]o assert a continuing violation, Plaintiff must establish both (1) a policy or practice which caused the alleged discrimination, and (2) that the timely claim is continuous in time with the untimely claims.”
Tiffany v. KDF Company, LLC,
No. 3:04-CV-0677,
It should be noted that the Second Circuit generally disfavors the continuing violation doctrine.
Remigio,
Mindful of the parameters of the continuing violation doctrine as just outlined, the court will consider its applicability
visa-vis
plaintiffs
1. Applicability to
Defendants acknowledge that the Second Circuit has yet to expressly rule on that issue.
See Jenkins v. Arcade Building Maintenance,
Given the Second Circuit’s “broad view of the application of the continuing violation doctrine to statutory remedies other than Title VII[,]” such as section 1983 and 1985,
Oteri-Harkins v. City of New York,
No. 97-CV-2309,
2. Retaliatory Discharge
The Supreme Court in
Jones v. R.R. Donnelley & Sons Co.,
Nonetheless, defendants argue that such claim is time-barred because it is based in its entirety on “discrete alleged acts occurring under prior ownership[,]” such as “prior management’s criticism, holding a salary increase and instituting a [reading] test[.]” Reply Brief in Support of Defendant Robert E. Pietrafesa II’s Motion to Dismiss and/or Motion for Judgment on the Pleadings (“Pietrafesa Reply”) at 6 (emphasis added) and 7; Reply Brief in Support of Defendant B.G. Sulzle, Inc.’s Motion to Dismiss and/or Motion for Judgment on the Pleadings (“Sulzle Reply”) at 7 and 8. As defendants read the complaint, these actions occurred prior to February 9, 2001, and thus plaintiff cannot save this otherwise time-barred discharge claim by invoking the continuing violation doctrine. Plaintiff Coleman responds that he is not seeking to. recover for these acts which he implicitly concedes are discrete. See PI. Memo, at 11 (Plaintiff “does not seek to recover for any ‘discrete acts’ besides his termination.”) Rather, the only discrete act for which he is seeking to recover is termination and that claim was timely filed.
Morgan
makes clear that a termination claim is based upon a discrete act, which gives rise to a separate cause of action. Given that plaintiff was terminated on February 12, 2001, and filed this complaint on February 9, 2005, “[n]o timeliness concerns arise with respect to [that] termination claim because it is based on a single event, ..., which falls ... within the limitations period.”
Petrosino v. Bell Atlantic,
To the extent that this retaliatory discharge claim is premised upon conduct extending beyond the limitations period, such as placing a hold on plaintiffs salary in 1995, the court emphasizes that after
Morgan
such discrete conduct is
not
actionable in and of itself.
See Jute v. Hamilton Sundstrand Corp.,
3. Hostile Work Environment
As with the retaliatory discharge claim, defendants contend that plaintiffs hostile work environment claim is time barred because it is “based entirely on conduct occurring well outside the limitations period[.]” Sulzle Reply at 7; see also Pietrafe-sa Reply at 6. Viewing his February 12, 2001, termination as the “conclusion of the hostile environment” claim, plaintiff retorts that because he filed this action within four years of his termination date, based upon the continuing violation doctrine the court “can consider acts occurring more than four years before [his] termination in ruling on ... [such] claim.” PI. Memo, at 12.
At this pleading stage the focus is on whether plaintiff has sufficiently pled a continuing violation so as to extend the statute of limitations. “A continuing violation may be found to exist, ..., where a plaintiff - can prove that the employer has permitted 1) related and 2) repeated instances of discrimination to continue unremedied so as to amount to a discriminatory policy or practice, and 3) the circumstances are such that the plaintiff was not obligated to have sued earlier.’;’
Kendall v. Fisse,
No. 00 CV 5154SJ,
By the same token, the court stresses that it is
not
finding that plaintiffs Coleman’s claims are
not
time-
In this regard, plaintiff should bear in mind the following. “Multiple and even similar discriminatory acts that are not the result of a discriminatory policy do not amount to a continuing violation.”
Kendall,
IV. Causation
Having found no merit to defendants’ statute of limitations argument, the next issue facing the court is whether plaintiff has pled “the necessary casual connection” for a retaliatory discharge claim. See Sul-zle Memo, at 13; Pietrafesa Memo, at 16; and Pietrafesa Reply at 8. The defendants believe that plaintiff has not and thus they are entitled to dismissal of such claim.
A. Pietrafesa
“In order to make out a claim for individual liability under
There are two flaws with Pietrafesa’s argument. The first is that plaintiff Coleman is not relying upon the temporal proximity between his discharge and his advocating on behalf of refugees as a basis for causation. Plaintiff Coleman concedes that Pietrafesa’s argument might carry some weight if he were relying upon the temporal proximity to establish an inference of discrimination, but he is not. See PI. Memo, at 13. Rather, plaintiff is relying upon allegations of direct evidence of causation, ie. “Defendants told him he was terminated in part because he opposed [their] policy of screening out job applicants who were refugees.” Id. As detailed earlier, from April 28, 1998 through his February 12, 2001, termination, supposedly defendant Pietrafesa “continually cited ... Plaintiffs continued hiring of refugees[ ]” as part of plaintiffs alleged “longstanding poor performanee[.]” Co. at 1, ¶¶ 5 and 8; and at 3, ¶¶ 24 and 26.
These allegations are not quite as definitive as plaintiff would have this court believe in terms of direct evidence of causation. Nonetheless, when coupled with the allegation that plaintiffs “efforts ... to advocate on behalf of employees based upon race was a determining factor in ... Defendant’s [sic] decision to terminate” him,
id.
at 3, ¶ 29, they suffice to defeat defendant Pietrafesa’s motion to dismiss for failure to plead the “necessary causal connection to prove a
prima facie
case of retaliation.” Sulzle Memo, at 13; and Pietrafesa Memo, at 16.
Cf. Sabis Educational Systems,
The second flaw in Pietrafesa’s causation argument is due to his selective reading of the complaint. Pietrafesa attempts to avoid individual liability by claiming that it was the prior owners and not he who criticized plaintiff for advocating on behalf of refugees. Plaintiffs complaint is broader than that, however. As mentioned above, plaintiff alleges that both the prior owners/management and defendant Pietrafesa criticized plaintiff (criticism which ultimately lead to his discharge) because he continued to hire and advocate on behalf of refugees. Given these allegations, plaintiff cannot hide behind prior owners and management as a way to avoid personal liability. In light of the foregoing, the court finds that defendant Pietrafesa’s causation argument is unavailing.
B. Defendant Sulzle
A corporation such as defendant Sulzle may also be held liable under
V. “Claim Splitting”
The last argument common to both defendants is that the retaliatory discharge claim is duplicative of claims made in plaintiffs consolidated actions. Characterizing plaintiffs pleadings as impermissible claim splitting, defendants assert that instead of alleging
Plaintiffs response is two-fold. First he contends that because his
A. Matters Outside the. Pleadings
Turning first to the procedural argument, to be sure, a court is limited in terms of the facts which it may consider in deciding a
Here, as
Defendants are right on all three counts. A court “considering a
res judicata
defense” ... “may judicially notice prior pleadings, orders, judgment, and other items appearing in the court records of prior litigation that are related to the case before” it.
See Patrowicz v. Transamerica HomeFirst, Inc.,
An additional basis for taking judicial notice of plaintiffs affidavit in opposition to the summary judgment motion in the consolidated cases is that he “heavily relied upon” it in drafting the complaint herein.
See Mangiafico,
As the foregoing demonstrates, clearly the plaintiff had notice of the extraneous documents of which the defendants are asking this court to take judicial notice. Thus, there is no harm to plaintiff if the court takes judicial notice of such documents.
Cf. Mangiafico,
B. “Same Transaction or Connected Series of Transactions”
The rule against claim splitting, upon which defendants are relying as
“Whether a claim ... could have been raised [ ]in [a prior action] depends in part on whether the same transaction or connected series of transactions is at issue, and whether the same evidence is needed to support both claims.”
Id.
(internal quotation marks and citation omitted). Under the “same transaction” test, “the question is whether the claim was sufficiently related-to the claims that were asserted in the first proceeding that it
should have been
asserted in that proceeding.”
Id.
(citation omitted). There are three factors relevant to the “same transaction” inquiry: (1) “whether the underlying facts are related in time, space, origin, or motivation[;]” (2) “whether they form a convenient trial unit[;]” and (3) “whether their treatment as a unit conforms to the parties’ expectations or business understanding or usage.”
Id.
(internal quotation marks and citation omitted). Consideration of these factors does not involve a rigid, mechanical exercise. Rather, “[t]he notion of a ‘transaction is prismatic in the sense that it takes coloration from its surroundings.”
Interoceanica Corporation v. Sound Pilots, Inc.,
Defendants assert that each of the above enumerated factors is present here. They believe that the facts upon which plaintiffs
Additionally, focusing on the three criteria identified above which are relevant to' the “same transaction” test, demonstrates that plaintiffs
In this respect, the present case stands in sharp contrast to
N.L.R.B. v. United Technologies Corp.,
Second, this
Third, “treating the various overlapping facts as a single transaction or series of related transactions would have
C. Consolidation?
The court is well aware, as defendants are quick to point out, that “[i]f claim-splitting is involved, simple dismissal is ... appropriate because plaintiffs have no right to maintain two actions on the same subject in the same court, against the same defendant at the same time.”
Salib,
There is some merit to defendants’ position. However, the fact that until recently plaintiff was acting
pro se,
combined with the court’s “general power to administer its docket,”
see Curtis,
VI. Defendant Pietrafesa
Defendant Pietrafesa contends that he is entitled to dismissal of the complaint as against him because the allegations therein are insufficient to support a claim of individual liability under
A. Personal Involvement
It stands to reason that “personal liability under
As it must on this motion to dismiss, the court “construe[s] [the complaint] broadly and interpret[s][it] to raise the strongest arguments that [it] suggests].”
Weixel v. Board of Educ. City of New York,
The court is fully aware of
Wyatt v. Zuckerman,
No. 93 Civ. 8027LTSHBP,
Try as he might to distance himself from the decision to fire plaintiff, and thus place himself squarely within the
Wyatt
court’s holding, defendant Pietrafesa is unable to do that. Not only was he responsible for terminating plaintiff, but allegedly Pietrafesa was involved in the decision making process leading up to that termination. This is not a situation where Pietrafesa came in at the eleventh hour and wholesale adopted the prior management’s assessment of plaintiffs work. Rather, allegedly Pietrafesa himself “conducted an unannounced Performance Appraisal” and also met with plaintiff on other occasions. Co. at 2, ¶ 22; and 3, ¶¶ 23-24. Plaintiff claims that during those times Pietrafesa “continually cited ... [p]laintiff s continued hiring of refugees[ ]” as a basis for “[his] alleged long-standing poor performance^]”
See
Co. at 3 at ¶¶ 24 and 26. These allegations belie Pietrafesa’s contention that he was, in effect, “just the messenger,”
ie.
delivering the termination decision based solely upon criticism from prior owners. Thus the court finds that the foregoing allegations of Pietrafesa’s role in the termination process suffice to show his personal involvement, at least at this pleading stage.
Cf. Franchitti v. Bloomberg, L.P.,
No. 03 Civ. 7496 LAKJCF,
B. Intent
In addition to alleging personal involvement, a plaintiff asserting a
In the present case, plaintiff alleges that although defendant Pietrafesa “continually cited” plaintiffs “alleged long-standing poor performance” as the basis for terminating him, supposedly that “criticism” was “unwarranted” and “retaliatory[ ]” in that it was partially based upon “[p]lain-tiffs continued hiring of refugees[.]” Co. at 3, ¶¶ 24; 25; and 26. In a similar vein, plaintiff alleges, among other things, that his “efforts ... to advocate on behalf of employees based upon race was a determining factor in Defendant’s [sic] decision to terminate [him.]” Id. at 3, ¶ 29. Again, affording this pro se complaint a liberal reading, the court finds that plaintiff Coleman has satisfied the minimum pleading requirement with respect to intent.
Evans-Gadsden,
a case upon which defendant Pietrafesa relies to support his assertion that plaintiff has not met that burden, is distinguishable. Hence,
Evans-Gadsden
does not mandate a contrary finding here. There the plaintiff alleged “sabotage and a litany of conspiracy theories against the [individual [d]efen-dants[,]” the claimed purpose of which “was to make her look inept and incompe-tente.]”
See Evans,
To summarize, the court HEREBY:
(1) DISMISSES plaintiffs
(2) DENIES defendants’ motion to dis
(3) DENIES defendants’ motion to dismiss the hostile work environment claim for failure to adequately plead causation and for lack of notice;
(4) DENIES defendants’ motion to dismiss the retaliatory discharge claim for failure to adequately plead causation;
(5) DENIES defendants’ motion to dismiss the retaliatory discharge claim based upon claim splitting;
(6) DENIES defendants’ motion for a stay;
(7) SUA SPONTE consolidates this action with the consolidated actions scheduled for trial on January 17, 2006 (03-CV-178; and 03-CV-279); and
(8) DENIES defendant Robert E. Piet-rafesa II’s motion to dismiss the claims against him for failure to adequately alleged personal involvement and/or intent.
To the extent there has not been discovery as to the claims raised in this
IT IS SO ORDERED.
Notes
. This affidavit was submitted in support of defendants’ summary judgment motion in the consolidated actions.
.
All persons within the jurisdiction of the United States shall have the same right in every State and Territory to make and enforce contracts, to sue, be parties, give evidence, and to the full and equal benefit of all laws and proceedings for the security of persons and property as is enjoyed by white citizens, and shall be subject to like punishment, pains, penalties, taxes, licenses, and exactions of every kind, and to no other.
42 U.S.
.
See Stephens
v.
Hofstra University School of Law,
No. 01-CV-5388(DRH)(MLO),
. Almost as an afterthought, in their reply memoranda for the first time, defendants specifically address the hostile work environment claim. Defendants maintain that they are entitled to dismissal of that claim because it is based upon "conclusory allegations!,]” and they were not given "fair notice” of same. Sulzle Reply at 2 and 3;
see also
Pietrafesa Reply at 3. These arguments are baseless at this point. Once again, the court is giving plaintiff the benefit of his
pro se
status when he drafted the complaint. And once again, the court has serious reservations about the viability of this claim at trial given the type of proof which is necessary to prevail under a theory of a hostile work environment.
See Lewis v. State of Connecticut Department of Corrections,
As an aside, the court observes that defendants' suggestion that plaintiff should not be "given any.special treatment because he is no longer appearing pro se” is disingenuous at best. The court is being asked to review the legal sufficiency of pleadings drafted by a pro se plaintiff. It matters not that he is now represented by counsel, especially given the speed with which defendants’ filed these motions to dismiss. Plaintiff’s recently retained attorney did not even have an opportunity to move to amend the complaint before he was required to oppose these motions.
. As will be discussed below, there is a close relationship between claim splitting and res judicata. Thus, even though Patrowicz does not specifically mention claim splitting, nonetheless, that rule applies' with equal force here.
. Although plaintiff now is represented by counsel, he was not at the filing of this complaint.
. In this summary, motion to dismiss shall be read as including defendants' alternative motion for judgment on the pleadings.