MEMORANDUM OPINION AND ORDER
Leslie Fay, a women’s clothing manufacturer, is a debtor-in-possession in bankruptcy proceedings in this District. Five former managerial employees sue four current employees of Leslie Fay and Leslie Fay’s outside counsel for age discrimination in their “individual capacities” under federal, New York State, Pennsylvania, and New York City law. Jurisdiction is based on a federal question, 28 U.S.C. § 1331, and diversity of citizenship. 28 U.S.C. § 1332.
Defendants move to dismiss the complaints on the ground that only the employer is suable and that they are not subject to personal liability under the Age Discrimination in Employment Act (“ADEA”), 29 U.S.C. §§ 621 et seq., the New York State Human Rights Law, N.Y.Exee.Law §§ 290 et seq. (McKinney 1993) (“NYHRL”), and the Pennsylvania Human Relations Act (“PHRA”), Pa. Stat.Ann. tit. 43, §§ 951 et seq. (1991 & Supp. 1994). In addition, defendants move to dismiss plaintiffs’ claims under the PHRA and the New York City Civil Rights Law (“NYCCRL”), Admin.Code of New York City § 8-101 et seq. (1986 & Supp.1994), for failure to exhaust administrative remedies.
The complaints also assert claims of legal malpractice and breach of fiduciary duty against Herman Gordon, Leslie Fay’s general counsel, and B. Michael Thrope, Leslie Fay’s outside counsel. At oral argument, I granted defendants’ motion to dismiss the claims against Gordon and Thrope but reserved decision on the balance of defendants’ motion. (Tr. Feb. 2, 1995 at 34.) For the reasons that follow, defendants’ motion to dismiss is granted in part and denied in part.
Background
Plaintiff Jacob V. Falbaum was Director of Physical Distribution for the Dress Division of Leslie Fay; Anthony E. Gill was Production Manager; Emile Lewkowiez was Director of Quality Control; Raymond J. Ter-williger was Vice President of Human Resources; and Lee L. Kishbaugh was Factory Manager for the Dress Division. Defendants are the Chairman of the Board of Directors and Chief Executive Officer of Leslie Fay, a Senior Vice President, the President, and the General Counsel, who is also a Senior Vice President. Leslie Fay is not named as a defendant in either complaint. Defendants are alleged to be “agents of Leslie Fay who in their supervisory positions instigated, authorized, required, caused, and aided and abetted” age discrimination. (Falbaum Amend.Compl. at ¶7; Kishbaugh Compl. at ¶ 6.) Specifically, defendants are alleged to have “conceived, devised and conspired” to implement a discriminatory “reduction-in-foree” program, pursuant to which plaintiffs were terminated. (Falbaum Amend.Compl. at ¶ 30; Kishbaugh Compl. at ¶ 28.) In addition, defendants are alleged to have “conspired among themselves and with others to retaliate against those individuals, including plaintiffs, who opposed or protested against defendants’ willful and deliberate discrimina
Discussion
I. Age Discrimination in Employment Act
The ADEA makes it unlawful for an “employer,” inter alia, to discharge an individual on the basis of age. 29 U.S.C. § 623(a)(1). An employer is defined as “a person engaged in an industry affecting commerce who has twenty or more employees.” 29 U.S.C. § 630(b). The statute further defines an employer to include “any agent of such a person.” Id. Defendants move to dismiss the ADEA claims on the ground that the statutory reference to “agent” authorizes only employer liability for the conduct of employees acting within the scope of their employment, but does not provide an independent cause of action against such employees personally. This question — whether supervisory personnel may be personally hable under the ADEA for acts undertaken in their capacities as agents — has sharply divided courts in recent years.
The ADEA’s definition of employer, including the term “agent,” is very similar to that found in other civil rights laws such as Title VII of the Civil Rights Act of 1964 (“Title VII”), 42 U.S.C. § 2000e(b) and the Americans with Disabilities Act (“ADA”), 42 U.S.C. § 12111(5)(A). The issue of the personal liability of agents has also been addressed in cases arising under those statutes, and courts have relied on those eases to interpret the ADEA.
See, e.g., Birkbeck v. Marvel Lighting Corp.,
The Second Circuit has not been presented with the question, and the decisions in this district have divided.
See, e.g., Coraggio v. Time Inc. Magazine Co.,
No. 94 Civ. 5429 (MBM),
Consideration of this issue must begin with the plain language of the statute, which is ordinarily dispositive.
Connecticut Nat'l Bank v. Germain,
The language of the statute suggests that agents might be liable for their conduct under the ADEA, particularly since under general principles of agency law, liability of a principal under the doctrine of
respondeat
The unique relationship between the Fair Labor Standards Act (“FLSA”) and the ADEA does not change this conclusion. Unlike Title VII or the ADA, the ADEA selectively incorporates certain remedies and procedures of the Fair Labor Standards Act (“FLSA”), 29 U.S.C. §§ 201
et seq. See
29 U.S.C. § 626(b). Because courts have held that “the term employer [under the FLSA] includes individuals with managerial responsibilities and ‘substantial control over the terms and conditions of the [employee’s] work,’ ”
Lee v. Coahoma County,
Plaintiffs contend that the ADEA should provide for individual liability because it advances the remedial goals of the statute. The ADEA is one of a series of federal civil rights statutes broadly designed to eradicate invidious discrimination in the workplace.
See McKennon v. Nashville Banner Publishing Co.,
— U.S.-,-,
[t]he prospect of individual liability is essential if the antidiscrimination statutes are to have their full deterrent effect.... This court cannot conclude that Congress intended to accomplish Title VU’s deterrence function through indirect reliance upon the marketplace assumptions concerning the actions of rational economic aetors/employers after incurring a civil penalty based on the discriminatory conduct of one of their employees.
Jendusa,
Plaintiffs also contend that two cases in this district hold that the bankruptcy of an employer or its inability to satisfy a judgment warrants the imposition of personal liability on individual employees acting as agents of the employer.
See Elias v. Sitomer,
No. 91 Civ. 8010 (MBM),
Other courts have held that the remedial goals of the ADEA are sufficiently advanced by employer liability, since vicarious liability of the sort envisioned by
respondeat superior
provides employers with ample incentives to control discriminatory conduct.
See, e.g., Miller,
II. New York Human Rights Law
The NYHRL prohibits an “employer” from discriminating on the basis of age.
Plaintiffs point to the “aiding and abetting” and “retaliation” provisions of the statute, which they contend impose liability upon individuals. The NYHRL makes it unlawful for “any person to aid, abet,/incite, compel or coerce the doing of any of
thej
acts forbidden under this article, or attemptuo do so,”
id.
at § 296(6), or for “any person engaged in any activity to which this section applies to retaliate or discriminate against any person because he has opposed any practice forbidden under this article.”
Id.
at § 296(7). A “person” is defined as “one or more individuals” or “corporations.”
Id.
at § 292(1). Defendants argue persuasively that the term “person” should be interpreted to exclude individuals in situations in which the parties stand within the scope of a common employment relationship — otherwise, they argue, the limitation embodied in the statutory definition of “employer” and in
Patrowich
could be easily evaded by alleging claims either under an aiding and abetting or retaliation theory.
Cf. Bridges v. Eastman Kodak, Co.,
III. Pennsylvania Human Relations Act
The PHRA prohibits “any employer” from “discharging] from employment” an individual because of “race, color, religious creed, ancestry, age, sex, or non-job related handicap.” Pa.Stat.Ann. tit. 43, § 955(a) (1991 & Supp.1994). An employer under the Act is defined as “any person employing four or more persons within the Commonwealth” of Pennsylvania. Id. at § 954(b). Like the NYHRL, the PHRA does not use the term “agent,” but it does make it unlawful for “any person” to discriminate because an individual “has opposed any practice forbidden by this act,” id. at § 955(d), or to “aid, abet, incite, compel or coerce the doing of any act” prohibited by the statute. Id. at § 955(e). A “person” is defined in the statute as “one or more individuals, partnerships, associations, organizations, legal representatives, trustees in bankruptcy or receivers.” Id. at § 954(a).
Neither side has identified any Pennsylvania state court decision that addresses whether the PHRA permits individual liability for employees. A Pennsylvania federal district court has held that individual liability is not available under either the ADEA or the PHRA.
Violanti v. Emery Worldwide A-CF Co.,
Section 8-107(l)(a) of the Administrative Code of the City of New York makes it an unlawful discriminatory practice for “an employer or an employee or agent thereof, because of the actual or perceived age ... of any person ... to discharge from employment such person.” Admin.Code of City of New York § 8-502(c) (1986 & Supp.1994) (emphasis added). Section 8-102(5) defines an “employer” as excluding “any employer with fewer than four persons in his or her employ.” Nevertheless, in view of the plain language of the statute, defendants do not argue that they may not be liable as “employees” under the statute. However, they contend that plaintiffs failed to comply with Section 8-502(e), which requires that “[pjrior to commencing a civil action [for unlawful discriminatory practices] ... the plaintiff shall serve a copy of the complaint upon the city commission on human rights and the corporation counsel.” Plaintiffs have submitted an affidavit and documentation which demonstrate that they did comply with this requirement. (Aff. of Michael Prince at ¶ 3 and Exhs. A-H.)
Defendants also assert without further elaboration that to the extent that plaintiffs state a claim under the NYCCRL, it would interfere with federal and state law and should therefore be dismissed. The case upon which they rely,
Chambers v. Capital Cities/ABC,
Conclusion
For the foregoing reasons, defendants’ motion to dismiss the claims under the ADEA, NYHRL and PHRA is granted, but the motion to dismiss the claims under the NYCCRL is denied.
SO ORDERED.
Notes
.
Hamilton
is of questionable vitality. In
Grant v. Lone Star Co.,
.
Compare Coraggio v. Time Inc. Magazine Co.,
No. 94 Civ. 5429 (MBM),
. In
David v. Apfel, Levy, Zlotnick & Co.,
No. 91 Civ. 3384 (MGC),
. Unlike this diversity case, jurisdiction in Chambers was based only on a federal question. The NYHRL and NYCCRL claims were included as pendent claims.
