DAWN F. LITTLEJOHN, Plаintiff-Appellant, v. CITY OF NEW YORK, JOHN B. MATTINGLY, former Commissioner, AMY BAKER, BRANDON STRADFORD, Defendants-Appellees.
No. 14-1395-cv
United States Court of Appeals For the Second Circuit
August 3, 2015
August Term, 2014. Argued: November 5, 2014. Before: LEVAL, LYNCH, and DRONEY, Circuit Judges.
GREGORY G. SMITH, New York, NY, for Plaintiff-Appellant.
SUSAN PAULSON (Francis F. Caputo, on the brief), for Zachary W. Carter, Corporation Counsel of the City of New York, New York, NY, for Defendants-Appellees.
DRONEY, Circuit Judge:
Plaintiff Dawn F. Littlejohn appeals from a judgment of the United States District Court for the Southern District of New York (Sweet, J.) entered on February 28, 2014. Littlejohn alleged that, while employed by the New York City Administration for
For the reasons set forth below, we VACATE the district court‘s judgment granting Defendants’ motion to dismiss with respect to (1) Littlejohn‘s disparate treatment and retaliation claims against the City under Title VII, (2) Littlejohn‘s disparate treatment
BACKGROUND
I. Factual Background1
Littlejohn is an African-American woman with a master‘s degree in Industrial/Organizational Psychology from Columbia University. She began working at ACS on April 27, 2009, as the Director of its Equal Employment Opportunity (“EEO“) Office. As Director, Littlejohn conducted investigations of claims of discrimination, trained staff, monitored hiring, counseled agency employees, organized diversity activities, and advised staff on EEO policy, duties which she alleges she performed satisfactorily.
After Williams-Isom left ACS in late December 2009, Littlejohn began reporting to Defendant Amy Baker, a white woman and the Chief of Staff to ACS Commissioner and Defendant John B. Mattingly, a white man. Littlejohn‘s relationship with Baker quickly dеteriorated. According to Littlejohn‘s complaint, Baker asked another employee “for negative information about [Littlejohn]“; “physically distanc[ed] herself from [Littlejohn] at meetings“; “increased [Littlejohn‘s] reporting schedule from an as-needed basis . . . to twice-weekly“; “wrongful[ly] and unnecessar[il]y
According to Littlejohn, Baker and Mattingly showed preferential treatment to white DJJ employees during the ACS/DJJ merger, while at the same time terminating, demoting, or
In March 14, 2011, Littlejohn was involuntarily transferred from the EEO Office to the Office of Personnel Services (“OPS“) and
At OPS, Littlejohn began reporting to Brandon Stradford, the Director of Employee Relations. Stradford is an African-American man. The complaint in this action alleges that from March 2011 to September 2011, Stradford sexually harassed her through “ongoing
On October 21, 2011, Littlejohn filed an Intake Questionnaire2 with the EEOC, in which she alleged discrimination based on race
From April 27 to June 5, 2012, Littlejohn went on medical leave under the Family Medical Leave Act as a result of mental and physical health issues allegedly caused by her treatment at ACS. Littlejohn claimed that, while on leave, she was repeatedly asked for documentation of her medical condition, and that Stradford caused her paychecks to be improperly withheld. When Littlejohn returned from leave in June 2012, she was reassigned to a different manager,
On September 24, 2012, Littlejohn was approved to return to medical leave as a result of a “mini stroke.” Compl. ¶¶ 92, 97. It was on this date that Littlejohn initially claimed she was constructively discharged.4 Approximately one month later, on October 23, 2012, Littlejohn wrote a letter to Kevin Berry, the
II. Procedural History
Littlejohn commenced this lawsuit pro se on February 15, 2013, and filed an amended complaint on September 23, 2013, after she retained counsel. The amended complaint alleged causes of action for hostile work environment and disparate treatment based on Littlejohn‘s race, and retaliation because of complaints about such discrimination, in violation of Title VII and
On December 6, 2013, Defendants moved to dismiss all of Littlejohn‘s claims pursuant to
DISCUSSION
I. Standard of Review
This Court reviews de novo a district court‘s grant of a motion to dismiss under
Determining the propriety of the dismissal of an employment discrimination complaint under
McDonnell Douglas, together with Texas Department of Community Affairs v. Burdine, 450 U.S. 248 (1981), St. Mary‘s Honor Center v. Hicks, 509 U.S. 502 (1993), and Reeves v. Sanderson Plumbing Products, Inc., 530 U.S. 133 (2000), established that the requirements of a prima facie case for a plaintiff alleging employment discrimination change as the case progresses. Ultimately, the plaintiff will be required to prove that the employer-defendant acted with discriminatory motivation. However, in the first phase of the case, the prima facie requirements are relaxed. Reasoning that fairness required that the plaintiff be protected from early-stage dismissal for lack of evidence demonstrating the employer‘s discriminatory motivation before the employer set forth its reasons for the adverse action it took against the plaintiff, the Supreme Court
The next pertinent Supreme Court precedent is Swierkiewicz. In Swierkiewicz, the plaintiff was a Hungarian national, 53 years of
The Supreme Court reversed. Swierkiewicz, 534 U.S. 506. The Supreme Court clarified that the standard espoused by the McDonnell Douglas line of cases for prima facie sufficiency was “an evidentiary standard, not a pleading requirement.” Id. at 510. The Court characterized our ruling as unwarrantedly imposing a “heightened pleading standard in employment discrimination cases [that] conflicts with
Reading Swierkiewicz on its face, it appears to have meant that a
The final Supreme Court precedent that bears on the standard for determining the sufficiency of a
The best argument that the Iqbal requirement does apply to
As for the argument that the Supreme Court was unlikely to have intended in Iqbal to add new wrinkles to the special field of
It is uncertain how the Supreme Court will apply Iqbal‘s requirement of facts sufficient to support plausibility to
The Iqbal requirement is for facts supporting “plausibility.” The Supreme Court explained that “[t]he plausibility standard is not akin to a ‘probability requirement,’ but it asks for more than a sheer possibility that a defendant has acted unlawfully.” Iqbal, 556 U.S. at 678. The question we face is what, in the
In other words, absent direct evidence of discrimination, what must be plausibly supported by facts alleged in the complaint is that the plaintiff is a member of a protected class, was qualified, suffered an adverse employment action, and has at least minimal support for
We now turn to the assessment of the sufficiency of Littlejohn’s several claims.
II. Disparate Treatment Claim
Littlejohn alleges disparate treatment based on race as a result of her demotion from EEO Director to a lower-paying, non-managerial analyst position in March 2011. Littlejohn’s disparate
A. Littlejohn’s Disparate Treatment Allegations
The parties do not dispute that Littlejohn’s allegations would be sufficient to establish the first three prongs of a prima facie case of discrimination in the initial phase, as the complaint alleges that she belongs to a protected class (black), was qualified for the EEO Director position at issue, and suffered an adverse employment action through her demotion.10 Rather, the parties dispute whether
An inference of discrimination can arise from circumstances including, but not limited to, “the employer’s criticism of the plaintiff’s performance in ethnically degrading terms; or its invidious comments about others in the employee’s protected group; or the more favorable treatment of employees not in the protected group; or the sequence of events leading to the plaintiff’s disсharge.” Leibowitz v. Cornell Univ., 584 F.3d 487, 502 (2d Cir. 2009) (internal quotation marks omitted). As discussed previously, none
However, an inference of discrimination also arises when an employer replaces a terminated or demoted employee with an individual outside the employee’s protected class. See, e.g., Carlton v. Mystic Transp., Inc., 202 F.3d 129, 135 (2d Cir. 2000) (“[A] plaintiff has demonstrated an inference of age discrimination and thus established a prima facie case . . . where the majority of plaintiff’s responsibilities were transferred to a younger co-worker.“); de la Cruz v. N.Y.C. Human Res. Admin. Dep’t of Soc. Servs., 82 F.3d 16, 20 (2d Cir. 1996) (“As a Puerto Rican, de la Cruz is a member of a protected class. Because de la Cruz was replaced by a black female, he also satisfies the fourth prong of the prima facie case.“); Cook v. Arrowsmith Shelburne, Inc., 69 F.3d 1235, 1239 (2d Cir. 1995) (“To establish a prima facie case of gender discrimination, a female plaintiff must show that she was qualified for the position, that her employer discharged her, and that the employer sought or hired a male to replace her.“). As we have explained, “the evidence necessary to satisfy th[e] initial burden” of establishing that an adverse employment action occurred under circumstances giving rise to an inference of discrimination is “minimal.” Zimmermann v. Assocs. First Capital Corp., 251 F.3d 376, 381 (2d Cir. 2001). The fact that a plaintiff was replaced by someone outside the protected class will ordinarily suffice for the required inference of discrimination at the initial prima facie stage of the
Littlejohn alleges that she was replaced by a white ACS employee, Fredda Monn, after she was demoted from EEO Director. Littlejohn also alleges that Monn was less qualified for the position. According to Littlejohn’s complaint, Monn had “no prior EEO experience,” as she “was previously the Director of the Accountability/Review Unit that had nothing to do with EEO matters” but rather “involved the comprehensive review of child welfare case practices.” Compl. ¶ 78. Littlejohn’s factual allegations are more than sufficient to make plausible her claim that her demotion occurred under circumstances giving rise to an inference
B. Liability of the Individual and City Defendants
We must now determine, based on these allegations, which Defendants must face Littlejohn’s disparate treatment claim under
Littlejohn’s disparate treatment claim under
- the defendant participated directly in the alleged constitutional violation,
- the defendant, after being informed of the violation through a report or appeal, failed to remedy the wrong,
- the defendant created a policy or custom under which unconstitutional practices occurred, or allowed the continuance of such a policy or custom,
- the defendant was grossly negligent in supervising subordinates who committed the wrongful acts, or
- the defendant exhibited deliberate indifference . . . by failing to act on information indicating that unconstitutional acts were occurring.
Back, 365 F.3d at 127. In addition to fulfilling one of these requirements, “a plaintiff must also establish that the supervisor‘s actions were the proximate cause of the plaintiff‘s constitutional deprivation. Finally, as with individual liability, in the
In sum, Littlejohn‘s disparate treatment claim with respect to her demotion survives against the City under
III. Retaliation Claim
Littlejohn also claims she was retaliated against because of her complaints about racial discrimination in the reorganization process following the merger of ACS and DJJ. Retaliation claims under
The parties do not dispute that Littlejohn‘s allegations, taken as true, would suffice to establish the second and third prongs of a prima facie case of retaliation. Defendants certainly knew of Littlejohn‘s complaints of discrimination in the ACS/DJJ merger process, and Littlejohn‘s demotion constitutes an adverse employment action.15 The parties dispute, however, whether Littlejohn‘s actions constitute protected activities, and whether Littlejohn has plausibly alleged a causal connection between the protected activities and the adverse employment action.
A. Protected Activities Under § 704(a)
We first examine whether Littlejohn participated in a “protected activity” under the retaliation provisions of
The district court concluded that Littlejohn‘s complaints of racial discrimination to Mattingly and Baker during the ACS/DJJ merger were not protected activities under either
This Court has not addressed the extent to which an emрloyee‘s complaints of discrimination are protected activities under the opposition clause when that employee‘s job
The Supreme Court, however, recently clarified in Crawford v. Metropolitan Government of Nashville & Davidson County that, “[w]hen an employee communicates to her employer a belief that the employer has engaged in . . . a form of employment discrimination, that communication virtually always constitutes the employee‘s opposition to the activity.” 555 U.S. 271, 276 (2009) (first emphasis added) (internal quotation marks omitted). Crawford stated that any activity designed “to resist or antagonize . . . ; to contend agаinst; to confront; resist; [or] withstand” discrimination prohibited by
Significantly, neither Crawford nor Sumner restricted their holdings to non-managers or to employees whose job responsibilities are untethered to monitoring discrimination or enforcing non-discrimination policies. And for good reason: The plain language of
Defendants suggest that allowing personnel officers to bring retaliation сlaims under the opposition clause based on complaints lodged in connection with their official duties would create an
Whatever the merits of that argument, we are not empowered to create exceptions to
Accordingly, consistent with Crawford, Sumner, and the plain language of
Here, Littlejohn alleges that she, “in her capacity as Director of EEO[,] repeatedly objected and complained to defendants Mattingly and Baker about defendants’ selection process and failure to abide by proper anti-discrimination policies and procedures.” Compl. ¶ 64. Littlejohn also alleges that she “objected to defendants Mattingly and Bakers’ discriminatory poliсies during scheduled meetings with them” over the course of more than a year. Id. ¶ 65. Littlejohn argues on appeal that she stepped outside her role as EEO Director when she advocated for minority DJJ employees, but regardless of whether she made these complaints in her capacity as
B. Causal Connection Between the Protected Activity and the Adverse Employment Action
We next consider whether Littlejohn pleaded a causal connection between the protected activities and her demotion. Although the district court cabined Littlejohn‘s protected activities to two discrete time periods—between January and April 2010, and after October 2010—Littlejohn in fact alleges that “[d]uring the above stated time period [between January 2010 and March 2011],
A causal connection in retaliation claims can be shown either “(1) indirectly, by showing that the protected activity was followed closely by discriminatory treatment, or through other circumstantial evidence such as disparate treatment of fellow employees who engaged in similar conduct; or (2) directly, through evidence of retaliatory animus directed against the plaintiff by the defendant.”
However, Littlejohn sufficiently pleaded facts that would indirectly establish causation. According to Littlejohn‘s complaint, her demotion closely followed her protests of discrimination. Although the district court concluded that Littlejohn‘s complaints of discrimination began over a year before her March 2011 demotion, Littlejohn alleges that she “objected and complained” to Defendants through March 14, 2011—the day of her demotion—and described in her complaint specific instances in which she objected to discrimination during the year preceding her demotion. Compl. ¶¶ 48-51, 65. At the motion to dismiss stage, we accept these allegations as true and draw all inferences in Littlejohn‘s favor. See
Because Littlejohn‘s complaint alleges that her “protected activity was followed closely by discriminatory treatment,” Gordon, 232 F.3d at 117, and because Littlejohn alleges facts that would be sufficient to establish the other elements of a prima facie case of retaliation, her allegations were more than sufficient to withstand
IV. Hostile Work Environment Claim
Littlejohn alleges that individual Defendants Mattingly and Baker created a hostile work environment based on Littlejohn’s race from January 2010 to September 2012 in violation of Title VII,
To establish a hostile work environment under Title VII,
Littlejohn’s hostile work environment claim is predicated on the following allegations18: Baker made negative statements about
These allegations could not support a finding of hostile work environment that is so severe or pervasive as to have altered the conditions of Littlejohn’s employment. See, e.g., Fleming v. MaxMara USA, Inc., 371 F. App’x 115, 119 (2d Cir. 2010) (concluding that no hostile work environment existed even though “defendants wrongly excluded [the plaintiff] from meetings, excessively criticized her
V. Sexual Harassment Claim
Littlejohn alleges that Defendant Stradford continuously sexually harassed her in violation of Title VII. The district court found that Littlejohn did not exhaust her administrative remedies with respect to this claim and dismissed it for lack of jurisdiction.19
We agree that Littlejohn’s sexual harassment claim was properly dismissed for failure to exhaust her administrative remedies.
Before bringing a Title VII suit in federal court, an individual must first present “the claims forming the basis of such a suit . . . in a complaint to the EEOC or the equivalent state agency.” Williams v. N.Y.C. Hous. Auth., 458 F.3d 67, 69 (2d Cir. 2006) (per curiam) (citing
In Littlejohn’s Intake Questionnaire and Charge of Discrimination filed with the EEOC on October 21, 2011, and February 2, 2012, respectively, Littlejohn claimed discrimination based on race and color. In the Charge of Discrimination, Littlejohn also claimed retaliation based on her complaints about such discrimination. Yet on neither of these forms did Littlejohn claim discrimination based on sex, even though there is a box to indicate discrimination based on sex located directly next to those for race and color. Nor did she referеnce Stradford or any of his alleged acts of sexual harassment in those completed forms or in her supplemental statements describing why she believed she was being
We agree with the district court that Littlejohn’s sexual harassment claim is not “reasonably related” to her EEOC discrimination claims, which were based solely on race and color. Stradford’s alleged sexual harassment does not “fall within the scope of the EEOC investigation which can reasonably be expected to grow out of the charge[s]” of race discrimination Littlejohn levied against Baker and Mattingly, Deravin, 335 F.3d at 200-01, as Stradford had no involvement in the race discrimination that allegedly occurred during the ACS/DJJ merger.
Littlejohn argues that the letter she sent to Kevin Berry, the Director of the EEOC New York District Office, in which she
Here, Littlejohn’s letter to Berry did not simply “clarify and amplify allegations made in the original [EEOC] charge,” which claimed discrimination based solely on race and color, but rather included a “new unlawful employment practice[] or bas[i]s for discrimination” based on sexual harassment. Id. (internal quotation marks omitted).21 Littlejohn could have filed a separate charge with
CONCLUSION
For the foregoing reasons, we VACATE the district court’s judgment granting Defendants’ motion to dismiss with respect to
