Lead Opinion
OPINION
Plaintiff-Appellant Henry DiCarlo (“Di-Carlo”) appeals the district court’s grant of summary judgment in favor of Defendant-Appellee John Potter,
Because there are genuine issues of material fact as to DiCarlo’s claims of national origin discrimination, age discrimination, and retaliation, we REVERSE the district court’s grant of summary judgment on these claims, and REMAND for further proceedings consistent with this opinion. Additionally, because DiCarlo cannot establish a disability, we AFFIRM the district court’s grant of summary judgment on DiCarlo’s disability discrimination claim.
I. BACKGROUND
A. Factual Background
DiCarlo applied for and obtained a part-time flexible (“PTF”) mail processor position with the United States Postal Service on September 25, 1999. The employment had been contingent on DiCarlo passing a drug screening and medical evaluation. As part of the evaluation, DiCarlo was provided a document, which he signed, outlining the “functional requirements” the mail processor position would entail. It included walking for two hours, standing for eight hours, and repeated bending, and it stressed that both legs were required for the job. Additionally, DiCarlo confirmed in writing that he had no medical condition for which he was currently receiving treatment and further attested to the fact that “[t]o the best of [his] knowledge, [he] d[id] not have any medical condition.” Joint Appendix; (“J.A.”) at 84. After a complete medical assessment conducted by the Postal Service, it was concluded that DiCarlo had no medical limitations or restrictions, and that he was “medically qualified to perform the functions of the position.”
As a new employee, the first ninety days of DiCarlo’s employment were deemed a “probationary period.” Under this agreement, the Postal Service reserved the right to terminate DiCarlo’s employment at any point during the probationary period, which termination would not be subject to the grievance procedure. DiCarlo commenced his employment on January 15, 2000, and was placed under the direct supervision of Timothy Bailey (“Bailey”). Bailey would remain DiCarlo’s supervisor until DiCarlo’s termination on March 30, 2000. Bailey evaluated DiCarlo throughout his probationary period and generated contemporaneous notes of his work performance. These notes demonstrate that Bailey viewed DiCarlo’s on-the-job performance as below standard.
Pursuant to DiCarlo’s probationary employee status, he, like others during this period, received three performance evaluations — the first after thirty days, the second after sixty days, and the third after eighty days. In DiCarlo’s first evaluation, dated February 14, 2000, out of the six categories evaluated, he received two “unacceptable” ratings and four “satisfactory” ratings.
During the course of his employment, on March 9, 2000, DiCarlo requested an appointment with an EEO counselor to discuss alleged discriminatory actions taken by Bailey against DiCarlo on the basis of the latter’s national origin, age, and disability.
After meeting with an EEO counselor, both DiCarlo and the Postal Service agreed to mediate the dispute.
On April 13, 2000, DiCarlo withdrew the discrimination complaint he had filed on March 9, 2000. On April 25, 2000, DiCarlo filed a new complaint with the EEO office, alleging discrimination based upon national origin, age, and disability as well as retaliation, and naming Bailey as the alleged responsible discriminating official. The Postal Service proceeded to conduct an investigation into the complaint, and informed DiCarlo of his right to demand a hearing before an administrative judge of the EEO Commission.
B. Procedural background
On May 3, 2001, DiCarlo filed suit
The district court had jurisdiction over DiCarlo’s federal claims pursuant to 28 U.S.C. § 1331. We have appellate jurisdiction over the district court’s final order pursuant to 28 U.S.C. § 1291.
II. ANALYSIS
A. The Summary Judgment Standard
This court reviews de novo a grant of summary judgment. Buckeye Cmty. Hope Found. v. City of Cuyahoga Falls,
B. Title VII Standards
In Title VII actions, “a plaintiff may establish discrimination either by introducing direct evidence of discrimination or by proving inferential and circumstantial evidence which would support an inference of discrimination.” Kline v. Tenn. Valley Auth.,
The McDonnell Douglas burden-shifting framework for circumstantial-evidence cases has been applied in the context of claims brought under the Age Discrimination in Employment Act (“ADEA”), Grosjean v. First Energy Corp.,
C. National Origin Discrimination Claim
Title VII makes it unlawful for an employer “to ... discharge any individual, or otherwise to discriminate against any individual with respect to his compensation, terms, conditions, or privileges of employment, because of such individual's race, color, religion, sex, or national origin.” 42 U.S.C. § 2000e-2(a)(1). A plaintiff who alleges discrimination on the basis of national origin and wishes to prove a prima facie case through the use of circumstantial evidence must prove four elements: (1) he or she was a member of a protected class; (2) he or she suffered an adverse employment action; (3) he or she was qualified for the position; and (4) he or she was replaced by someone outside the protected class or was treated differently than similarly-situated, non-protected employees. Talley,
When proving a claim through the use of direct evidence, a plaintiff does not have to proceed under the McDonnell Douglas burden-shifting framework that applies to circumstantial evidence cases. Christopher v. Stouder Mem’l Hosp.,
DiCarlo asserts that the Postal Service discriminated against him on the basis of his Italian-American origin. Specifically, DiCarlo alleges that Bailey called him a “dirty wop” and complained of there being too many “dirty wops” working at the
In light of the well-established rule on summary judgment that, when viewing the factual evidence, we must draw all reasonable inferences in favor of DiCarlo, the nonmoving party, all contested facts must be assumed in his favor. Furthermore, although direct evidence generally cannot be based on isolated and ambiguous remarks, Weigel,
It is clear that Bailey was an individual with decision-making authority with respect to the decision to terminate DiCarlo. It was Bailey who recommended that DiCarlo be terminated. After thorough discussion with Bailey’s manager, Gary Andriotti, who agreed with the recommendation, the decision was made to terminate DiCarlo. This shows that Bailey had decision-making authority with regard to Di-Carlo’s future at the Postal Service. Hence, Bailey’s remarks constitute direct evidence of the requisite discriminatory animus.
After concluding that DiCarlo has pointed to direct evidence of Bailey’s discriminatory comments on DiCarlo’s national origin, we must next determine whether Bailey terminated DiCarlo because of his predisposition to discriminate on the basis of national origin. Hein,
In assessing this evidence under the direct-evidence analytical framework, we concluded that it “failed to establish a pri-ma facie case of intentional age or weight discrimination because the evidence was
We believe the instant case is distinguishable from Hein such that the evidence presented successfully demonstrates a genuine issue of material fact whether Bailey’s decision to terminate DiCarlo was based on his predisposition to discriminate on the basis of national origin. In particular, the fact that the comments were made by Bailey, DiCarlo’s immediate supervisor and a decision-maker, that they specifically negatively and derogatorily referenced Di-Carlo’s Italian-American heritage, and that the hate-speech occurred three weeks prior to DiCarlo’s termination, all culminate in the conclusion that DiCarlo has presented sufficient evidence of causation to withstand summary judgment. Unlike Hein, the temporal proximity between the discriminatory act and the termination creates a far different scenario, such that causation may be demonstrated with a lesser quantum of evidence than in other cases not involving such a tight time line of events.
Because we conclude that DiCarlo has presented evidence that Bailey had discriminatory animus against DiCarlo, and that this predisposition to discriminate played a role in the decision to -terminate DiCarlo, the plaintiff has successfully established a prima facie case of discrimination on the basis of national origin through the use of direct evidence. Therefore, we need not decide whether DiCarlo could have proven his case through the use of circumstantial evidence. Accordingly, because DiCarlo has created a genuine issue of material fact as to whether he was terminated on the basis of his national origin, we reverse the district court’s grant of summary judgment on this claim.
D. Age Discrimination Claim
The ADEA prohibits employers from discriminating “against any individual with respect to his compensation, terms, conditions, or privileges of employment, because of such individual’s age.” 29 U.S.C. § 623(a). Where a plaintiff fails to present direct evidence of discrimination, they must prove by a preponderance of the evidence the following four elements: (1) he or she was forty years old or older at the time of their dismissal; (2) he or she was subjected to an adverse employment action;. (3) he or she was qualified for the position; and (4) he or she was replaced by a younger person. McDonald v. Union Camp Corp.,
DiCarlo asserts that the Postal Service discriminated against him on the basis of his age because of statements that he claims were made to him by Bailey. Specifically, Bailey allegedly told DiCarlo that the latter was “no spring chicken” and that he would never be a supervisor at the postal facility because of his age. J.A. at 122. Bailey denies ever having made such statements.
Again, taking all inferences in the light most favorable -to DiCarlo, we assume for the purpose of this appeal that Bailey made the age-based comments. Additionally, as was established under the national-
With regard to causation, our discussion above of the Hein case and its distinction from this case applies here. Because of the close proximity between the age-related remarks and DiCarlo’s termination, and because the remarks were made by Bailey, someone with decision-making authority, and the comments referenced DiCarlo’s age and stated that he would never become a supervisor, Di-Carlo has presented sufficient evidence to establish a genuine issue of material fact regarding causation. Therefore, because DiCarlo has demonstrated through direct evidence a prima facie case of age discrimination, a genuine issue of material fact exists, and the district court’s grant of summary judgment on this claim was erroneous. We therefore reverse the grant of summary judgment on this claim. As a result, we need not assess whether DiCarlo could have established a prima facie case of age discrimination through circumstantial evidence.
E. Disability Discrimination Claim
The Rehabilitation Act prohibits the United States Postal Service from discriminating against their employees on the basis of a disability. 29 U.S.C. § 794(a). “[I]f the plaintiff has direct evidence that the employer relied on his or her disability in making an adverse employment decision,” the plaintiff must prove that he or she is “disabled.” Monette v. Elec. Data Sys. Corp.,
“To be ‘disabled’ for the ... Rehabilitation Act, an individual must (1) have a physical or mental impairment which ‘substantially limits’ him or her in at least one ‘major life activity,’ (2) have a record of such an impairment, or (3) be regarded as having such an impairment.” Mahon v. Crowell,
DiCarlo asserts that the Postal Service discriminated against him on the basis of his disability by discharging him. However, DiCarlo cannot establish a prima facie case through either direct or circumstantial evidence, because even though he suffered from a knee injury which arguably can be classified as an “impairment,” he submits no evidence establishing that this physical impairment substantially limits him in a major life activity, as is required by the Rehabilitation Act. Hence, he cannot demonstrate that he is disabled within the meaning of the Act.
DiCarlo injured his knee in 1984 while in the Army, and as a result, he had to undergo surgery. When evaluated by the Department of Veterans Affairs in June 1996, DiCarlo was noted as having mild osteoarthritis and a twenty-percent leg disability. However, this evidence, by itself, is insufficient to demonstrate that Di-
Indeed, the record indicates that at the time he commenced his Postal Service employment, DiCarlo was perfectly capable of performing his job duties, and that he suffered from no medical conditions at all. Although he indicated on the Postal Service Authorization for Medical Report form that he had had knee surgery, the ultimate outcome of the medical evaluation that was completed before DiCarlo was hired concluded that he had no medical limitations or restrictions, and deemed him “medically qualified to perform the functions of the position.” J.A. at 85. In addition, DiCarlo was given a document detailing the functional requirements of the position for which he was applying, which included daily activities of walking for two hours, standing for eight hours, repeated bending for eight hours, and which stressed that both legs were required for the position. He signed this document, attesting that he had no “medical disorder or physical impairment which could interfere in any way with the full performance of duties of the position for which [he was] applying!.]” J-A. at 83.
DiCarlo also signed another document attesting that he had no medical condition for which he was presently being treated (including the past year), and that to the best of his knowledge, he did not have any medical conditions. All of this demonstrates that, by DiCarlo’s own admission, he represented to the Postal Service that he did not have any physical or mental impairment that could affect his job performance. Hence, because there is no evidence to support the notion that DiCarlo’s knee injury prevents him from engaging in any major life activities, he cannot be found disabled under the Rehabilitation Act. Accordingly, we affirm the district court’s grant of summary judgment on this claim.
DiCarlo also asserts that the Postal Service violated the Rehabilitation Act by failing to accommodate his disability.
In order for a plaintiff to prevail on an allegation of handicap discrimination based on failure to accommodate, he must first establish a prima facie case by showing that: (1) he is an individual with a handicap ...; (2) he is qualified for the position ...; (3) the agency was aware of his disability; (4) an accommodation was needed, i.e., a causal relationship existed between the disability and the request for accommodation; and (5) the agency failed to provide the necessary accommodation. Once the plaintiff has presented a prima facie case, the burden shifts to the employer to demonstrate that the employee cannot reasonably be accommodated, because the accommodation would impose an undue hardship on the operation of its programs.
Gaines v. Runyon,
DiCarlo argues that the Postal Service discriminated against him on the basis of his disability by its failure to accommo
Once again, DiCarlo’s claim must fail, as successful establishment of a prima facie case of disability discrimination based on a failure to accommodate hinges on the plaintiffs proving that he is disabled under the Act’s definition. Because there is no evidence to support the claim that DiCar-lo’s knee injury prevents him from engaging in any major life activities, he cannot be found disabled under the Rehabilitation Act. Accordingly, we affirm the district court’s grant of summary judgment on this claim.
F. Retaliation Claim
Title VII provides in pertinent part: “It shall be an unlawful employment practice for an employer to discriminate against any of his employees ... because [the employee] has opposed any practice made an unlawful employment practice by this subchapter, or because he has made a charge, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this subchapter.” 42 U.S.C. § 2000e-3(a).
Because DiCarlo presents no direct evidence of retaliation, he must prove his claim through the use of circumstantial evidence. “In order to find a prima facie case of retaliation under Title VII a plaintiff must prove by a preponderance of the evidence: 1) plaintiff engaged in activity protected by Title VII; 2) plaintiffs exercise of [such protected activity] was known by the defendant; 3) that, thereafter, the defendant took an employment action adverse to the plaintiff; and 4) that there was a causal connection between the protected activity and the adverse employment-action.” Equal Employment Opportunity Comm’n v. Avery Dennison Corp.,
DiCarlo asserts that he was terminated in retaliation for filing an EEO complaint against Bailey. He argues that Bailey was fully aware of DiCarlo’s having filed the complaint prior to making the recommendation that DiCarlo be terminated. However,, the Postal Service asserts that Di-Carlo cannot make out a prima facie case of retaliation because he has produced no evidence that Bailey knew of DiCarlo’s protected EEO activity when Bailey recommended DiCarlo’s termination, and because he presented, no evidence of a causal connection between any prior protected activity and his termination. It is clear that DiCarlo engaged in protected activity, and that he suffered an adverse employment action when he was fired by the Postal Service. Hence, only the second
With regard to the second element, it appears from the record that the Postal Service and Bailey in particular were aware that DiCarlo had engaged in protected activity by filing an EEO complaint. DiCarlo filed his EEO complaint on March 9, 2000, one day after the remarks allegedly made by Bailey on March 8. Subsequently, on March 22, Bailey submitted a memorandum to his manager requesting DiCarlo’s removal “for failure to meet satisfactory performance levels.... ” J.A. at 92. Although Bailey testified that he did not know that DiCarlo’s EEO complaint implicated Bailey personally, Bailey admitted that he knew prior to March 22 that DiCarlo had in fact filed an EEO complaint. See J.A. at 207 (Bailey Dep.). Contrary to the assertions of the dissent, Bailey conceded that as of March 11, 2000, he knew that DiCarlo had filed an EEO complaint. Therefore, it is clear that Bailey, as well as the Postal Service, was aware of an EEO complaint having been filed.
With regard to the last element, establishment of a “causal connection” between the protected activity and the adverse employment action, “[a]lthough no one factor is dispositive in establishing a causal connection, evidence ... that the adverse action was taken shortly after the plaintiffs exercise of protected rights is relevant to causation.” Nguyen,
Various of our sister circuits have also accepted this concept. See, e.g., Oliver v. Digital Equip. Corp.,
DiCarlo filed his EEO complaint on March 9, 2000. Bailey submitted the
III. CONCLUSION
For all of the reasons set forth above, we REVERSE the district court’s grant of summary judgment on DiCarlo’s claims of national origin discrimination, age discrimination, and retaliation, and REMAND for further proceedings consistent with this opinion. We AFFIRM the district court’s grant of summary judgment on DiCarlo’s disability discrimination claim.
Notes
. The original complaint was filed naming William J. Henderson, Postmaster General of the United States Postal Service, as the defendant. However, pursuant to Fed.R.Civ.P. 25(d), John E. Potter, the current Postmaster General, was substituted as the defendant in the present action.
. DiCarlo claims that in his job application, which was supplemented by two letters from the Department of Veterans Affairs, he informed the Postal Service about a physical disability he had involving his left leg. He further alleges that during his orientation for his position with the Postal Service, he informed the woman leading the orientation about his leg, telling her that he would need "to rest the leg at intervals and that the leg stiffening was unpredictable,” to which she informed him that he "could do the job and that [he] should let the supervisor on duty at the time [know] that [he] needed a rest.” Joint Appendix ("J.A.”) at 172A (DiCarlo Aff.).
. Bailey's general comments about DiCarlo were that he lacked enthusiasm about his job, and that his performance fell below the standard to which Bailey held the other employees. Bailey also noted that DiCarlo criticized Bailey about how he ran his operation. Finally, Bailey recorded the following: "Mr. DiCarlo did not show me or anyone else that he has worked with that he would like to work here. I don't feel that he has wanted to learn the job, or be here. He has projected the image to me and the other employees that he is only to show up and get paid. He doesn’t want to pull his own load in the
. The following are some of the entries made by Bailey about DiCarlo:
(1) "Jan 18, 2000: I had to give Mr. Dicar-lo a talk about working as a team and keep moving....”
(2) "Feb 9, 2000: I talked with Mr. Dicarlo about standing and talking, needing to have a sense of urgency, needing to move from one operation to another without having to be told everyday, staying gainfully employed, and keep moving and doing some form of work.”
(3) "Feb 14, 2000: I gave his first evaluation (30 day) noting his working slowly, his need for constant supervision, no sense of urgency, and low work ethics.”
(4) "March 3, 2000: Mr. Dicarlo had conflict with other employee, not working together, and talking derogatory about other employees.”
J.A. at 140.
. In particular, DiCarlo states in reaction to Bailey's assertion that he failed to show any effort or that he wanted to work at the Postal Service, that he “showed up for work on every day and worked hard every day," and that he "had to learn the machinery by [himself] because Mr. Bailey or [sic] anyone else failed to train [him] on the machinery.” J.A. at 166. He also asserts that contrary to what Bailey said, he did show enthusiasm for his job, in that he "kept asking how [he] could advance in the postal service.” J.A. at 166.
. DiCarlo received "unacceptable” ratings in the work quantity and dependability categories. DiCarlo asserts that Bailey told him at this time "that everyone gets this type of rating on the first probationary month evaluation and not to worry about it,” and that "[Bailey] did not tell [DiCarlo] what [he] was doing wrong.” J.A. at 168. Bailey, however, denies having made such statements. We must view all controverted evidence in favor of DiCarlo at the summary-judgment stage.
. In both the second and third evaluations, DiCarlo received "unacceptable” ratings in the work quantity, dependability, and work relations categories.
. Bailey testified in his deposition that although he knew that an EEO complaint had been filed, he did not know that it involved him specifically until after Dicarlo had been terminated.
. The disability stemmed from a leg injury he had sustained in 1984 while in the Army. Documentation from the Veteran's Administration Medical Center corroborated the injury, revealing that the injury had resulted in a 20% disability in the left leg.
. In DiCarlo's deposition testimony, he provided a similar account, stating that on that day, his left leg had stiffened up by the end of his shift, so he leaned up against a machine for several minutes to relieve it. This is when Bailey allegedly said to him, "I’m tired of you limping around here.” J.A. at 112. DiCarlo told him he had a bad leg and that he was a disabled veteran, to which Bailey responded, "I don’t care about your disabilities,” and "I want you to push, push, push.” J.A. at 112.
. DiCarlo was forty-six at the time of this alleged incident.
. DiCarlo specifically requested that Bailey have no involvement in the mediation.
. DiCarlo never asked for a hearing before an administrative judge of the EEO Commission.
.Specifically, the complaint states that the suit was:
authorized and instituted pursuant to Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. sec. 2000e et seq, providing for relief from discrimination in employment on the basis of national origin; to the Age Discrimination in Employment Act [ ("ADEA”)], specifically, 29 U.S.C. sec. 633a (c), providing for relief from discrimination in employment on the basis of age; to the Rehabilitation Act of 1973, specifically 29 U.S.C. sec. 794(a), providing for relief from discrimination in employment on the basis of disability; to 29 U.S.C. sec. 623(d), providing relief from retaliation in employment for filing a complaint of discrimination on the basis of age; and, to 42 U.S.C. sec. 2000e-3 providing for relief from retaliation in employment on the basis of filing a*414 complaint of discrimination on the basis of national origin.”
J.A. at 5-6 (Comply 3).
Concurrence Opinion
concurring in part, and dissenting in part.
I agree with the majority that Plaintiff failed to establish that he is disabled and accordingly agree with the decision to affirm the district court’s grant of summary judgment on the disability discrimination claim. I also agree that the district court improperly granted summary judgment on the claim of national origin discrimination. However, for reasons explained below, I disagree with the majority’s decision to reverse the district court’s grant of summary judgment on claims of age discrimination and retaliation.
A. Age Discrimination
With regard to direct evidence of intentional age discrimination, the district court noted that the “only evidence that Plaintiff has offered regarding his claim of age discrimination is his own affidavit attesting to the fact that on March 8, 2000, Bailey informed him that ‘he was no spring chicken’ and that he would not be a supervisor at the facility because of his age.” DiCar-lo, No. 5:01CV1072, slip op. at 9-10. The district court found, and I agree, that this evidence was insufficient to withstand a motion for summary judgment. Id. Plaintiff may not establish a prima facie case of age discrimination based on vague, ambiguous, or isolated remarks. Hein,
Furthermore, to establish a prima facie case, Plaintiff must establish “not only that plaintiffs employer was predisposed to discriminate on the basis of age, but also that the employer acted on this predisposition.” Id. Had he not been promoted to a supervisor position, Bailey’s alleged remark could have evidenced age discrimination. However, in the present case, Plaintiff was fired for substandard performance. Plain
With regard to circumstantial evidence of disparate treatment, the district court noted that “ ‘to establish a prima facie case of age discrimination ..., a plaintiff must prove by preponderance of the evidence that: (1) he was at least 40 years old at the time of the alleged discrimination; (2) he was subjected to an adverse employment action; (3) he was qualified for the position; and (4) he was replaced by a younger person.’ ” DiCarlo, No. 5:01CV1072, slip op. at 10 (citing Cooley v. Carmike Cinemas, Inc.,
B. Retaliation
The majority asserts that “[ajlthough Bailey testified that he did not know that DiCarlo’s EEO complaint implicated Bailey personally, Bailey admitted that he knew prior to March 22 that DiCarlo had in fact filed an EEO complaint.” This assertion is not supported by the record.
. The majority cites to a question that was asked of Bailey at his deposition: "So what you're telling me is that from March the 11th, 2000, to August the 17th, 2000, you only had a passing reference of an E.E.O. complaint being filed against the Postal Service by Henry DiCarlo?" Bailey answered “Right.” J.A. at 207. I am unable to determine the significance of the March 11th date from the excerpted deposition provided to this Court by the parties. I understand that the majority reads this exchange to mean that starting on March 11, 2000, Bailey knew of the complaint. I, however, read it to mean that at some point during the period starting on March 11, 2000, Bailey learned of the complaint. Whether the date that he learned of the complaint is before or after March 22, 2000, is therefore unclear. This reading is consistent with other portions of Bailey's testimony that I describe below.
. This conclusion is buttressed by the fact that Plaintiff insisted that the EEO complaint and the mediation were kept private (with the lone exception of Rick Stoltz). Contrary to majority's assertion, Plaintiff has failed to show any evidence that Bailey knew of any EEO complaint between March 9, 2000 and March 22, 2000.
