Lead Opinion
This is an appeal from a judgment as a matter of law for the defendants-appellees in an employment discrimination case after the jury had returned a verdict for the plaintiff. The district court so held on the ground that an “adverse employment action,” under Title VII, may be only those employment actions that result in “tangible harm” to the plaintiff. We disagree and, for the reasons detailed below, hold that a plaintiff need only show a likely effect on future job opportunities.
Plaintiff also appeals, in the alternative, an evidentiary ruling, jury instruction, and an interrogatory on the special verdict form. Since we reverse the judgment as a matter of law and remand for entry of judgment on the jury’s verdict, we need not address these claims of error.
I
A
By March of 1998, Plaintiff-Appellant Terrie Hillig (Hillig) had been employed by the Defense Finance Accounting Service (DFAS) in a clerical position for five years. During her employment with DFAS, Hillig, who is African-American, filed two discrimination complaints, in 1995 and 1996, with the EEO alleging that her “lead,” Susan Armer (Armer) and Kathy Reusch (Reusch), her supervisors, had discriminated against her in connection with her approval ratings in 1995, her 1995 request for annual leave (for which approval was delayed while Caucasian and male employees got prompt approvals), and job training. I Plaintiff-Appellant’s Appendix at 71-74.
These complaints were settled in December of 1996. Id. at Í89-91. The terms of the settlement provided that DFAS would upgrade Hillig’s performance appraisal, expunge negative information from her personnel file, and retroactively promote her. Id.
In March of 1998, Hillig applied for a position as a Personnel Clerk/Assistant with the Department of Justice (DOJ). Id. at 76-77. Hillig .testified that at her interview for this position, her interviewer, William Wooden (Wooden), commented that she would be a perfect fit for the position. Id. at 79. Hillig further testified that Marilyn Ferguson, a personnel officer at the DOJ, made similar positive comments. Id. at 80. Hillig, however, did not receive the position, which was eventually filled by Sandra Dye (Dye), a Caucasian with no prior EEO activity. Id. at 48.
Hillig claims she did not receive this position because of negative recommenda
Nonetheless, Wooden claims that the negative information provided by Hillig’s supervisors did not cause his decision to hire Dye over Hillig. Id. Rather, Wooden testified that he disqualified Hillig because of her long fingernails which, in his experience, would have adversely affected Hil-lig’s typing speed. Id. at 107-08. Hillig, however, disputes this reason and testified that her fingernails had always been short. Id. at 85.
B
Based upon these events, Hillig filed suit against the DFAS alleging three causes of action: (1) racial discrimination; (2) retaliation for her EEO complaints; and (3) violation of her settlement agreement with DFAS. The district court granted DFAS summary judgment on Hillig’s claim of breach of her settlement agreement but allowed the other two claims to go to trial. In a special verdict form, the jury found that Hillig’s negative references were not motivated by racial discrimination but that they were made in retaliation for her EEO complaints. Id. at 259-60. The jury also found that Hillig had not proved by a preponderance of the evidence that but for the unlawful retaliation in March, 1998, Wooden would have offered her the personnel clerk position with the office of the United States Attorney. Id. at 260. Nonetheless, the jury awarded Hillig $ 25,-000 as the amount that would fairly compensate her for DFAS’s illegal retaliation. Id.
On basis of the jury verdict, the district court granted DFAS judgment as a matter of law on Hillig’s retaliation claim. The district court so held on the ground that Hillig failed to establish that she suffered an “adverse employment action,” which is part of a prima facie case of retaliation under Title VII, because she failed to show that she suffered an “actual tangible injury.” Specifically, the district court held that Hillig’s failure to show she would have received the DOJ job but for the negative references was fatal to her claim. Accordingly, the court entered judgment for DFAS.
Hillig now appeals, claiming that the district court erred in construing an “adverse employment action” as requiring a showing of a loss of a specific job. Hillig also claims errors, in the alternative, in several trial errors: that the district judge improperly rejected an offer of a photo as evidence, he failed to include necessary jury instructions, and he improperly included an interrogatory on the special verdict form. The National Employment Lawyer’s Association, in an amicus curiae brief, also argues the district court erred. In particular, they contend that the remedial goals underlying Title VII’s anti-retaliation provisions could not be achieved if individuals were required to show loss of a specific job.
For the reasons detailed below, we hold that the district judge erred in requiring Hillig to show that she would have received the DOJ position but for the negative references. Accordingly, we reverse
II
The adverse employment action issue
One element of a prima facie case under Title VII is that the plaintiff suffered an “adverse employment action.” Sanchez v. Denver Public Schools,
Here the district court held that Hillig had not established that she suffered “an actual tangible injury” as a result of the negative references she received. This theory of failure of proof, the district judge concluded, dictated judgment as a matter of law for DFAS in light of the Supreme Court’s decision in Burlington Indus., Inc. v. Ellerth,
As the district judge noted, Ellerth did not purport to define the term “adverse employment action” for all employment discrimination claims. Id. at 746-47,
The limited scope of the decisions in Ellerth and Faragher was made even more clear in Pennsylvania State Police v. Suders, — U.S.-,
Nor have our decisions imported this “tangible employment action” definition into all Title VII claims. The longstanding rule in our circuit has been to “liberally define[] the phrase adverse employment action” and not limit the term to simply “monetary losses in the form of wages or benefits.” Sanchez,
To that end in Berry we held that the filing of false criminal charges constituted an “adverse employment action” because such an act causes “harm to future employment prospects.” Id. There the plaintiff pointed out that false “criminal charges of theft and forgery” constituted an “unlawful employment practice” giving rise to potential Title VII liability. Id. at 984. We agreed, even though the plaintiff had not shown a specific job that he did not receive because of the filing of charges and held that “the filing of charges against a former employee may constitute adverse action.” Id. at 984-85. Thus, in Berry, we defined an “adverse employment action” as not limited to those situations where a plaintiff can show loss of an actual job, but also as encompassing those acts that carry a “significant risk of humiliation, damage to reputation, and a concomitant harm to future employment prospects.” Id. at 986 (emphasis added).
In our decisions since Ellerth and Far-agher, we have not abandoned the definition we used in Berry.
Even though we do not require the plaintiff to show the loss of a specific job, we do not define “adverse employment action” as encompassing every “action taken by a plaintiffs employer ... that may affect the plaintiffs future employment opportunities .... ” Aquilino v. Univ. of Kan.,
Similarly, we found another de minimis impact in Tran v. Trustees of the State Colleges in Colorado, 355 F.3d 1263 (10th Cir.2004). There, the plaintiff asserted a claim of retaliation under Title VII premised upon two reassignments. Id. at 1267. These reassignments, however, involved no hardship to the plaintiff other than a requirement to develop new skills. Id. at 1268. The district court applied the “tangible employment action” standard from Ellerth in granting the defendants summary judgment. Id. at 1267. While we did not disapprove of the district court’s use of this standard, we did not affirm on that ground. Instead, we observed that the reassignments were not “adverse” and, therefore, could not be considered an “adverse employment action.” Id. at 1268. Moreover, we acknowledged that our precedents require us to define “adverse employment action” “more liberally under a case-by-case approach” rather than applying the definition of a “tangible employment action.” Id. at 1267.
Therefore, an act by an employer that does more than de minimis harm, Aquilino,
The District of Columbia Circuit reached a similar conclusion in Smith v. Secretary of the Navy,
The Third Circuit’s decision in Wilson v. L.B. Foster,
We are mindful that the Second Circuit has held that even though a negative reference can be an “adverse employment action,” proof that the negative reference “caused or contributed to the rejection by the prospective employer” is part of a pri-ma facie case of discrimination under the Americans with Disabilities Act. Sarno v.
In this case, we are satisfied the record contains sufficient evidence to support the conclusion Hilling had suffered more than de minimis harm to her future employment prospects with the United States Attorney’s Office. Specifically, there was evidence showing the negative references were very unfavorable. Id. at 146 (Reusch’s testimony that she had said Hillig was a “shitty employee”). Moreover, Wooden, the hiring authority at the DOJ, testified that applicants with negative job references would not be hired over applicants without such references. Id. at 106. Thus, Hillig has shown that her negative references seriously harm her ability to obtain employment at the DOJ in the future. In other words, Hillig has shown that the negative references carried a “significant risk of humiliation, damage to reputation, and a concomitant harm to future employment prospects.” Berry,
That the negative references in this case were oral is irrelevant. The negative references Hillig received were communicated to the DOJ, a potential employer, and would likely preclude her from obtaining employment there in the future. Id. Thus, Hillig has made her required showing of harm to her future employment prospects with the DOJ. The extent of the harm to her future employment prospects, i.e., whether her employment prospects with all potential employers were harmed, affects the “issue of damages, not liability.” Hashimoto,
Consequently, Hillig has shown she suffered an “adverse employment action” and the judgment against her as a matter of law and for DFAS on her Title VII retaliation claim was inappropriate. As there is no issue raised concerning the sufficiency of the evidence to support the damages awarded by the jury of $25,000, that verdict should not have been rejected.
III
Additional claims of error
In addition to arguing that the district court erred in its interpretation of what constitutes an “adverse employment action,” Hillig also alleges three trial errors: the exclusion of a photograph from introduction in evidence, the failure to provide a jury instruction, and the inclusion of one interrogatory on the special verdict form. Hillig’s assertion of these trial errors, however, was made as an alternative argument for a new trial to be considered only if we were to find the district court did not err in requiring her to show she would have received the job at the DOJ but for the negative references. Plaintiff-Appellant’s Corrected Opening Brief at 38. Since we have held that so requiring as a basis for judgment against Hillig as a matter of law on her retaliation claim was error, we do not address the additional alleged trial errors.
IV
Conclusion
We hold that the district court erred in requiring Ms. Hillig to prove she would
IT IS SO ORDERED.
Notes
. In. reaching this conclusion, the district court relied upon our unpublished decision in Watson v. Norton,
Second, in Watson, we cited Ellerth for the definition of "tangible employment action,” but did not equate "adverse employment action” to "tangible employment action.” Instead, we reiterated our longstanding rule that we liberally define adverse employment action and do not limit that term to "monetary losses in the form of wages or benefits,” and “take a case-by-case approach.”
Accordingly, Watson did not alter the law of our circuit.
. Ellerth and Faragher were both decided on June 26, 1998, and Sanchez v. Denver Public Schools was decided on December 31, 1998, by this court.
Dissenting Opinion
dissenting.
The procedural posture of this case makes it unique and sets the legal issue in full relief: whether speculative harm can qualify as an adverse employment action. A jury concluded Hillig suffered no racial discrimination, but was a victim of retaliation taken because of a past discrimination claim she had filed. Significantly, it also found the retaliation did not result in the loss that motivated this claim — a job she sought with the office of the United States Attorney for the District of Colorado (CUSA). So, it is fair to ask upon what the $25,000 retaliation damage award rested.
Personnel from the CUSA’s office interviewed Hillig and later spoke to two of her past supervisors at the Defense Finance and Accounting Service, an office within the Department of Defense (DOD).
The majority makes much of the “shitty employee” remark by Reusch. Majority Op. at 1030, 1034. Emotionally strong stuff, but grossly misleading. In fact, the “shitty employee” remark was not made to anyone in the CUSA’s office. It was made much later to the EEO representative investigating these allegations. It could not have been part of any retaliatory conduct. That said, a recap can’t hurt.
The retaliatory conduct was Reusch’s oral statements to the CUSA’s representative — would not rehire, performance problems, filed a discrimination claim. Those statements did not cost Hillig the job she sought, nor were they part of any file — not at the DOD, not at the CUSA, not anywhere identified in the record. The most that can be said is those oral statements might have poisoned the well for Hillig with the CUSA. But a poisoned well rests upon a string of dubious assumptions: 1) Wooden (or Ferguson, Wooden’s assistant) would be the hiring authority should Hillig again apply for a position with the CUSA; 2) Hillig and the details of Reusch’s statements about her would have lingered in the recesses of Wooden’s (or Ferguson’s) memory; and 3) ancient memory would work to Hellig’s detriment when recent memory did not (both Wooden and Ferguson testified, to the jury’s satisfaction, that Reusch’s remarks did not influence any hiring recommendation or decision). Any residual harm to Hillig is so improbable
The district court concluded that our decisions since Ellerth and Faragher
Since Ellerth, we have maintained that we liberally define “adverse employment action.” See Stinnett v. Safeway, Inc.,
Conduct rises to the level of “adverse employment action” when it “constitutes a significant change in employment status, such as hiring, firing, failing to promote, reassignment with significantly different responsibilities, or a decision causing a significant change in benefits”.
Stinnett,
Recently, in Meiners v. University of Kan.,
To be an adverse action, the employer’s conduct must be “materially adverse” to the employee’s job status. The adverse action must amount to “a significant change in employment status,” such as “firing, failing to promote, reassignment with significantly different responsibilities, or a decision causing a significant change in benefits.”
(emphasis added) (citations omitted).
Likewise, the materiality test rejected in Jeffries v. State of Kan.,
Whether or not one agrees with the majority — that the Ellerbh and Faragher “tangible employment action” test does not apply in this situation
The confusion in our case law led the district judge to observe, quite correctly, “the only way to distinguish these cases is by focusing on the likely effect the employment action has on future job opportunities.” (Appellant’s App., Vol. II at 331.) And he did so. In the January 9, 2002 Order, reconsidering a prior order and granting judgment as a matter of law to the defendant, the court said:
In the instant case, the jury found that there was no change in Hillig’s employment status because it found that the negative job reference did not cause the*1039 Department of Justice not to hire Hillig. Furthermore, this Court finds that the negative employment reference, itself, did not cause a significant change in Hillig’s employment status because it did not have any other effects on Hillig’s employment status. Hillig is still employed with the Department of Defense, has been promoted since she received the negative job reference, and the Department of Justice has since destroyed the memorandum of the negative job reference. Therefore, this Court holds, as a matter law, that Hillig did not suffer a tangible employment action.
(Id. at 395.)
' In one respect this case is like Tran v. Trustees of State Colls. in Colo.,
The district court properly exercised its responsibility for superintendence of the jury, insuring the verdict conformed to the law. Whether it erred in its legal conclusion equating “tangible employment action” with “adverse employment action” matters not, because the record does not support Hillig’s arguments in any event. I would affirm.
. Hillig's testimony about her job interview is much more sanguine than that of Wooden, the decision-maker for the CUSA. Majority Op. at 1030. According to Wooden, none of the applicants were stellar. In fact, he and Ferguson discussed restarting the entire hiring process because of general dissatisfaction with the pool of applicants. They did not because of time pressure. (Appellee's Supp. App. at 43-44.)
. The CUSA’s representative testified that the second DOD supervisor (Reusch) mentioned Hillig's previous discrimination claim. Reusch denied making such a statement. Apparently the jury concluded otherwise.
. Burlington Indus., Inc. v. Ellerth,
. The district judge originally refused a defense motion for judgment as a matter of law, finding it highly probable that the negative reference could have affected Hillig's future employment with the CUSA's office and was, therefore, an adverse employment action. Upon reconsideration he concluded, "the El-lerth definition applies also in the context of retaliation claims and that an employment action must be tangible to constitute an adverse employment action.” (Appellant’s App., Vol. II at 394.) He acknowledged that he originally, and erroneously, relied upon Apgar v. State of Wyo.,
.We have applied the "tangible employment action” definition to describe an "adverse employment action” in at least six published and seven unpublished decisions: Annett v. Univ. of Kan.,
. While it did not expressly say so, it appears the Supreme Court assumed an adverse employment action had to be tangible as well, stating: "[e]very Federal Court of Appeals to have considered the question has found vicarious liability when a discriminatory act results in a tangible employment action.” Ellerth,
Justice Thomas, writing in dissent, also thought that was the majority's view:
In race discrimination cases, employer liability has turned on whether the plaintiff has alleged an adverse employment consequence, such as firing or demotion, or a hostile work environment. If a supervisor takes an adverse employment action because of race, causing the employee a tangible job detriment, the employer is vicariously liable for resulting damages. See ante, [118 S.Ct.] at 2268.
Id. at 768,
. Unless the Supreme Court or this Court, sitting en banc, has changed the law, the earliest panel decision controls. In re Smith,
