Lead Opinion
Opinion for the Court filed by Circuit Judge GINSBURG.
Dissenting opinion filed by Circuit Judge ROGERS.
Ruby Taylor, an African-American woman, sued her employer, the Pension Benefit Guaranty Corporation, under Title VII of the Civil Rights Act of 1964, claiming her supervisors sexually harassed her to the point of creating a hostile work environment and, when she complained, retaliated against her. The district court granted summary judgment to the Corporation because it concluded, as a matter of law, (1) the employer had an affirmative defense to Taylor’s claim of sexual harassment and, (2) with regard to retaliation, Taylor (a) had not offered a prima facie showing that her protected activity caused most of the alleged acts of retaliation, (b) had failed to show one such act was a materially adverse action, and (c) had failed to rebut the Corporation’s nondiseriminatory explanation of another. We affirm, holding as a matter of law that the PBGC has an affirmative defense to the claim of sexual harassment and that Taylor has failed to meet her burden regarding the claim of retaliation.
I. Background
We accept as true the evidence offered by, and draw all reasonable inferences in favor of, Taylor, who at all relevant times was an auditor in the Pre-Termination Process Division (PPD) of the PBGC.
The Corporation’s policy against sexual harassment directs employees who believe they have been sexually harassed “immediately [to] contact an EEO Counselor or the EEO Manager,” who is to investigate the charge of harassment and, if warranted, implement an appropriate remedy. The policy also states the “PBGC’s managers and supervisors have a particular responsibility for providing a work environment free of ... sexual harassment.”
Taylor alleges her supervisors created a sexually charged atmosphere at the PPD. Henkel, Joy, and Hagans occasionally flirted with female employees, but particularly offensive to Taylor was a summer 2001 scavenger hunt, undertaken as a “team building exercise,” during which, in order to earn points for a “wow,” a female coworker produced a yellow brassiere from her gym bag, and a male coworker asked Taylor, who had red hair, if her hair was red “all over.” Bacon and Henkel awarded Taylor’s team bonus points for what Henkel referred to as this “embarrassing moment.”
According to Taylor, Bacon began in 2001 to engage in frequent acts of harassment. Although Taylor and Bacon had been running partners for nearly a year, Taylor stopped running with him in the summer of 2001 because she felt he had overstepped the bounds of a professional relationship. In October Bacon told Taylor he could persuade Henkel to give her a good performance evaluation. When
Also in 2001 Taylor confronted Bacon and threatened to report him if he did not stop sexually harassing her. Bacon said that because he was a “nice guy,” everyone “would think ... [she was] the problem.” On April 3, 2002 Bacon saw Taylor in the hall and, referring to her uncovered arms, said, “I see you flaunting that black.” The next day, when Bacon entered her office, Taylor kept her back to him; Bacon asked repeatedly, “what did I tell you about turning your back to me when I’m talking to you,” which Taylor ascribed to a desire on his part to “see my legs or chest.” A day later Bacon, finding Taylor alone in the copy room, walked toward her with his hands raised as if, in her view, he was preparing to choke her. When she protested, he did not touch her, but he called her “baby” and said he would touch her if he wanted.
Taylor reported Bacon’s conduct on April 9, 2002. She first filed a complaint with the PBGC’s internal investigator, who did not find a violation of the Corporation’s policy. When her complaint to the EEO office had proved unavailing, she brought this suit in the district court on August 19, 2003.
Taylor alleges her supervisors retaliated against her in response to her complaint and her lawsuit. In 2002 Hagans criticized her “negative behaviors.” Joy and Henkel, who had evaluated her job performance as “Outstanding” in 2001, rated her work “Excellent” in 2002 and “Fully Effective” in 2003, and in the third quarter of 2003 required her to submit biweekly reports of her progress on pending cases. In November 2003, after Taylor had submitted a confusing request for leave, Henkel, at the direction of the Human Resources Department, listed Taylor as AWOL. (The listing was later rescinded and Taylor received back pay.) Finally, in 2004 Joy refused to recommend Taylor for a new position the PBGC considered creating but ultimately did not create. Taylor filed a second EEO complaint on February 5, 2004 and a second lawsuit on April 22, 2005, claiming continued harassment and retaliation.
The district court consolidated Taylor’s lawsuits and granted the PBGC’s motion for summary judgment. See Taylor v. Chao,
We review the judgment of the district court de novo. See Venetian Casino Resort, L.L.C. v. EEOC,
A. Sexual Harassment
Title VII provides: “All personnel actions Affecting employees ... in executive agencies ... shall be made free from any discrimination based on ... sex,” 42 U.S.C. § 2000e-16(a), and thus makes it unlawful for a supervisor in a covered federal agency to create a hostile environment based upon an employee’s sex. See Bundy v. Jackson,
The PBGC argues Taylor was not subjected to a hostile work environment and, in any event, the district court correctly held the employer had an affirmative defense because Taylor unreasonably failed to use its complaint procedure. See Ellerth,
We agree with the district court and the PBGC that a reasonable employee in Taylor’s position would have come forward in October or November 2001, when Taylor instead posted the PBGC’s sexual harassment policy on her office door and told her Mend Smith that Bacon had been sexually harassing her. A reasonable employee who believes and tells others she is being sexually harassed would report it if she knows — as Taylor should have and apparently did know- — -a complaint procedure has been established for that purpose.
Taylor argues she effectively notified the PBGC’s management of her complaint in the fall of 2001 when she confided in her friend Smith. Taylor, however, could not reasonably have believed talking to Smith was a substitute for using the agency’s complaint procedure. Although Smith, as a member of management, may have had, as the policy states, a “particular responsibility” to address workplace discrimination, he was neither Bacon’s supervisor nor an EEO officer. The policy expressly required Taylor, if she believed she was being harassed, “immediately [to] contact an EEO Counselor or the EEO Manager.” Having ignored the complaint procedure, Taylor cannot now complain that Smith should have filed a formal complaint on her behalf or himself reprimanded Bacon, who did not report to him.
Taylor also argues her report to Smith was sufficient in the light of Bundy, in which we held an employer vicariously liable for its supervisors’ harassment of a subordinate. In Bundy, however, the employer, unlike the PBGC, had not established a sexual harassment policy with a complaint procedure. See
Taylor argues in the alternative that her delay in filing a complaint, from the fall of 2001 to April 2002, was not unreasonable. But, as the PBGC points out, an employee has a “prompt reporting duty under the prophylactic rules” approved in Faragher, and five or six months is “anything but prompt.” Baldwin v. Blue Cross/Blue Shield of Ala.,
Taylor suggests various “factors” show her delay was reasonable but only one warrants mention. According to Taylor’s first EEO complaint, Bacon told her in 2001 “no one would believe” her if she reported him; “they would think ... [she was] the problem.” A reasonable jury could not find Taylor was reasonably deterred by Bacon’s statement. Bacon did not threaten Taylor with an adverse employment action and, indeed, he could not have done because he was not her supervisor and did not have the authority to evaluate her performance or to take any action against her. In fact, Bacon had no leverage at all with which to intimidate Taylor — apart from his assertion that those in authority would believe him and not her. And that is not enough to establish a credible fear of retaliation. See Barrett v. Applied Radiant Energy Corp.,
B. Retaliation
Under Title VII, it is unlawful for an employer “to discriminate against any of [its] employees ... because [she] has made a charge ... or participated in any manner in an investigation” of discrimination. 42 U.S.C. § 2000e-3(a); see Rochon v. Gonzales,
Second. Henkel and Joy slowed the processing of Taylor’s cases after she filed her complaint and Joy and Henkel required her (as they had some other auditors) to submit biweekly reports on the status of her work. Such minor “inconveniences and alteration of job responsibilities [do] not rise to the level of adverse action” necessary to support a claim. Stewart v. Evans,
Third. Joy did not recommend Taylor for a position the PBGC was considering creating but ultimately did not create. Although a refusal to promote is a materially adverse action, see Stewart v. Ashcroft,
Fourth and fifth. Taylor’s supervisors twice lowered her performance evaluation — from “Outstanding” in 2001, to “Excellent” in 2002, and to “Fully Effective” in 2003. In order for a performance evaluation to be materially adverse, it must affect the employee’s “position, grade level, salary, or promotion opportunities.” See Baloch,
Sixth. Taylor was temporarily listed as AWOL in the first or second week of November 2003. Although the PBGC ultimately rescinded the listing and gave Taylor her lost pay, the temporary deprivation of wages counts as a materially adverse action. See Greer v. Paulson,
The Corporation offered a nondiseriminatory reason for the challenged action: The Human Resources Department directed Henkel to list Taylor as AWOL because the leave slip she submitted appeared to indicate Taylor had not obtained Henkel’s prior approval, as all auditors were required to do. After Taylor had returned to work and the confusion was eventually dispelled, the AWOL charge was rescinded and Taylor’s pay restored. We therefore move to the question of retaliation vel non,
Taylor rebuts the PBGC’s explanation by asserting she contacted Henkel regarding her request for annual leave before she left the leave slip in his in-box. Although Henkel denies having given Taylor oral approval, we assume a reasonable jury could credit Taylor’s account. Her account, however, does nothing to undermine the PBGC’s explanation because in her opposition to the motion for summary judgment she acknowledged she erred in completing the request form by “mistakenly checking] the ‘sick leave’ box” but entering the dates in the area for annual leave. Henkel therefore asked Human Resources for direction and merely implemented their decision.
Taylor’s remaining arguments on this score are even further off the mark, but two do deserve mention. First, on appeal Taylor newly points out that the PBGC placed her on AWOL in November 2003, two and one-half months after she filed her first lawsuit; hence, she argues, “there is sufficient temporal proximity for a reasonable jury to find” the Corporation was retaliating against her.
Second, Taylor argues the jury could infer either Henkel or the Human Resources Department or both retaliated against her because on more than one occasion after she filed her EEO complaint Henkel criticized her work and yelled at
III. Conclusion
For the foregoing reasons, the judgment of the district court is
Affirmed.
Notes
The PBGC is a nonprofit corporation "established within the Department of Labor,” 29 U.S.C. § 1302(a), and the Secretary of Labor is the Chairman of its Board of Directors, id. § 1302(d).
The dissent deems it "irrelevant” "[w]hether Taylor herself believed she was being sexually harassed,” Dissenting op. at 1327, and suggests the court is "placing a more stringent reporting requirement on a more sensitive plaintiff,” id. at 1327. A plaintiff who knows about her employer’s complaint procedure and fails to use it even as she tells a manager she is being harassed runs head long into the prophylactic rule announced in Faragher, which was not designed to protect sensitive employees, but rather to encourage all employees to "avoid[] harm” when doing so is possible, and to ensure a plaintiff is not "reward[ed] ... for what her own efforts could have avoided.”
Roebuck, which involved repeated harassment by and a threat from the employee’s supervisor, is not to the contrary. See
Retaliation claims based upon circumstantial evidence are governed by the three-step test of McDonnell Douglas Corp. v. Green,
A circuit court is "justified in resolving an issue not passed on below ... where the proper resolution is beyond any doubt.” Singleton v. Wulff,
Although, as the dissent notes (at n. 6), it appears from the face of the leave slip that Henkel first approved Taylor's request, he explained that as a matter of course he signed such slips when he received them. His change of position is consistent with the PBGC's explanation that Henkel, confused by Taylor’s error in completing the slip, requested guidance from Human Resources.
Taylor offers this argument to show she made out a prima facie case but, because she wants this case remanded to the district court for a trial on the merits, we take her argument as equally applicable to the issue before us.
Contrary to the suggestion that Taylor suffered retaliation by "a thousand cuts,” Dissenting op. at 1332, there is no such pattern of abuse here. The dissent merely assumes allegedly retaliatory acts were in fact retaliatory. Id. at 1329-30, 1332. Nor does the dissent explain how trivial actions on the part of Joy and Henkel could support a reasonable inference that the Human Resources Department acted with a retaliatory motive. Id. at 1332.
Dissenting Opinion
dissenting.
Because a reasonable jury could find in appellant Ruby Taylor’s favor, I would reverse the grant of summary judgment. This is clear but for the court’s failure in three instances to apply the correct legal standards.
I.
Upon review of the grant of summary judgment, it is not the role of the court to evaluate and weigh the proffered evidence. Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 249,
Applying the correct standard of review, the evidence shows that Taylor had been an auditor for approximately ten years and had received an outstanding performance evaluation in 2001. In a nutshell, she proffered evidence that she had been subject to casual sexual harassment by Robert Bacon beginning in the fall of 2001, that she was not fully informed of her options
Viewing this evidence in the aggregate and according Taylor favorable inferences, a reasonable jury could find she proved hostile environment sex discrimination and retaliation. For purposes of surviving summary judgment, she has overcome the two hurdles that the court identifies.
II.
Delay in reporting sexual harassment. On the question whether Taylor’s sexual harassment claims are barred because of her delay in filing a formal complaint, this court held in Greene v. Dalton,
Assuming the truth of the statements proffered by Taylor, see Greene,
This increasingly physical and aggressive series of April incidents stand in stark contrast to prior incidents — the most serious of which were the “red all over” com
Although the lesser “off and on” incidents contribute to the atmospheric element of a hostile environment sex discrimination claim, see Nat’l R.R. Passenger Corp. v. Morgan,
Reviewing Taylor’s proffered evidence, however, the court errs with respect to the legal standard for determining when, under Faragher and Greene, an employee must take advantage of her employer’s corrective procedures. Despite directly relevant precedent and the employer’s sexual harassment policy that defined sexual harassment in objective terms, the court
Under the correct legal standard— whether an employee who reasonably believes she is being sexually harassed would report it or was unreasonable in not reporting it — it is for a jury to decide whether Taylor should reasonably have believed she was being sexually harassed in a manner that required reporting. On this record, a reasonable jury could find that the fall 2001 incidents were not so startling or foreboding a reasonable person would have reported them to prevent escalation and/or that the employer’s objective sexual harassment policy did not cover Bacon’s pre-April 2002 conduct, which became reportable only when it escalated from “off and on” comments to physically aggressive advances. In either instance, Taylor’s decision not to report earlier would be reasonable. The affidavit of supervisor David Smith supports both of these inferences, stating that Taylor became more and more upset with Bacon’s behavior, that Smith “guess[ed]” Bacon’s behavior began around September or the fall of 2001, and that “[i]t was a gradual thing.... [I]t gradually over the months, it got to be pretty severe.” Smith Aff. 6-7 (emphasis added). The court’s response, that Taylor believed she was being harassed in “October or November 2001” because she “posted the [employer’s] sexual harassment policy on her office door and told her friend Smith that Bacon had been sexually harassing her,” Op. at 1319, is a red herring, ignoring both the objective tests articulated in Faragher and Greene as well as the employer’s objective sexual harassment policy, and misdirecting the relevant inquiry.
As further evidence on which a jury could base a finding that Taylor did not unreasonably delay in reporting Bacon’s conduct, Taylor proffered evidence that Bacon at least twice threatened retaliation if she complained about him. In addition to the copy room incident, Bacon had previously told Taylor that if she “said something, they would think that [she was] the problem, not him.” In Roebuck, the court held “whether fear [of retaliation] and uncertainty [about the scope of the employer’s policy] made Roebuck’s delay in complaining reasonable was for the jury to decide.” Roebuck,
The cases on which the court relies do not dictate a contrary conclusion. For instance, although the Fourth Circuit in Barrett v. Applied Radiant Energy Corp.,
III.
Retaliation. The evidence Taylor proffered to show retaliation illustrates why an employee would hesitate before filing a complaint pursuant to an employer’s sexual harassment policy. A complaint leads to an investigation that alerts the accused and other employees, including, as occurred here, the complaining employee’s immediate supervisor (Henkel) and his superiors (Joy and Hagans), that the employee has filed a complaint against another supervisor (Bacon). That process may itself cause negative consequences for an employee regardless of the outcome of the employer’s remedial process. Nonetheless, the high bar set for discrimination claims is no less high for claims of retaliation, see Brown v. Brody,
As with Taylor’s sexual harassment claim, the court improperly, and with great consequence, denies Taylor the benefit of reasonable and favorable inferences from the evidence. E.g. Op. at 1322 (concluding an inference of retaliatory motive would be “untenable on the record here” where based on “ ‘mere proximity’ ” between the time she filed suit and the AWOL listing). It also disaggregates her evidence, Op. at 1321, when the legal standard requires it to be viewed in the aggregate. Although correctly concluding that the withholding of pay due pursuant to the “AWOL” incident was a materially adverse action, Op. at 1321, the court weighs and evaluates conflicting evidence in holding that Taylor failed to rebut her supervisor’s non-discriminatory reason for placing her on AWOL status, Op. at 1322. Dissecting the portrait of her work experiences after she formally complained, Op. at 1321-23, and failing to view the evidence in the aggregate, the court concludes that “Taylor herself had created” “the confusion” with regards to this incident. Viewed under the correct legal standard, however, Taylor has raised a material issue of disputed fact on which a reasonable jury could find in her favor.
Taylor’s retaliation claim is governed by the three-step framework of McDonnell Douglas Corp. v. Green,
In Greer v. Paulson,
Taylor’s proffered evidence pointed to a series of actions that adversely affected her ability to do her job. For example, there was evidence that as a result of her formal complaint, her immediate supervisor (Henkel) held up her work, delaying its submission to the Office of General Counsel, and assigned her low priority cases, all resulting in a lower level of productivity for the twelve-month period than in previous years. Where performance evaluations are directly correlated to productivity, as was true in Taylor’s employment situation, these actions necessarily resulted in steadily declining evaluations, from “outstanding” to “excellent” in 2002, and from “excellent” to “fully effective” in 2003. Taylor expressed fear that if they continued to decline she might receive an “unacceptable,” which is grounds for dismissal. As further examples, there was evidence that her second level supervisor (Joy) with whom she rarely spoke, had recommended she not be hired by another supervisor because he did not trust Taylor, that he'had advised Bacon not to go by her office “because she could take this, you know, as a way to tell another lie,” Bacon Depo. at 102, and that her third-level supervisor (Hagans) warned her about her “negative behaviors.”
When viewed in context with other proffered instances of management retaliation, and contrary to the court’s impermissible weighing and disaggregation of the evidence against Taylor, a reasonable jury could disbelieve her supervisor’s claimed reason for placing her on AWOL status and instead credit Taylor’s account of what transpired. See Aka,
The court would instead improperly credit her employer’s account of the events, stating that Henkel, “confused” by Taylor’s “err[or] in completing the request form by ‘mistakenly checking] the sick
Given Taylor’s evidence, Henkel’s affidavit, and the leave request form showing what appear to be Henkel’s handwritten alterations to a previously signed and approved document, a material issue of disputed fact remains as to whether Henkel approved her leave as she claimed on October 31 or disapproved it on November 4 because of “confusion.” Although his apparent change of position may, as the court suggests, be “consistent with the [employer]^ explanation that Henkel [was confused],” Op. at 1322 n.*, the employer’s explanation must be more than “consistent” to prevail on summary judgment; it must exist to the exclusion of another also consistent explanation that favors the non-moving party in order to demonstrate entitlement to a judgment as a matter of law. Fed.R.Civ.P. 56(c); see Anderson,
Reaching the opposite conclusion by crediting the employer’s “confusion” explanation, the court compounds its error by improperly disaggregating Taylor’s evidence and disregarding all proffered instances of retaliation that it concludes were not materially adverse. In doing so, the court fundamentally misconceives the relevance of this evidence. Even assuming these events are not themselves legally viable adverse actions, they are nonetheless evidence that the withholding of pay, an undisputedly viable adverse action, was retaliatory, and the court offers no good explanation for its disregard of those acts when it concludes otherwise. Nor can it. Just as Taylor’s counsel offered “revenge is a dish best served cold,” Oral Arg. at 32:04, retaliation can involve “a thousand cuts,” Patterson v. Whitman, No. 02-2213,
The court objects that it cannot “merely assume! ] allegedly retaliatory acts were in fact retaliatory.” Op. at 1323 n.*. At summary judgment, however, that is exactly what the court must do. Taylor proffered evidence of a pattern of managerial retaliation, and properly viewed, her evidence is not so untenable as to merit dismissal at this stage of the proceedings. Verbal reprimands for “negative behaviors,” telling other supervisors that an employee cannot be trusted and tells “lie[s],” and slowed work processing that inevitably results in steadily declining performance evaluations that — -if continued — could result in dismissal are not “trivial actions,” id., even assuming they do not constitute actionable retaliation, but see Russell v. Principi,
In summary, circuit courts of appeal have acknowledged the difficult position that employees face as a result of the Supreme Court’s efforts in Faragher and Ellerth to limit vicarious liability for workplace sexual harassment. See Reed,
. In Faragher v. City of Boca Raton,
. The court makes no attempt to explain how Bacon's conduct prior to April 2002 differs from the "off and on” harassment that Roebuck endured before Corbett’s harassment escalated and she filed a formal complaint. Although it attempts to distinguish Roebuck on the ground that “the question [there] was whether 'fear and uncertainty made [the employee’s] delay in complaining reasonable,' ” Op. at 1319-20 n.® (quoting Roebuck,
. The Policy Statement defined "sexual harassment” as:
[v]erbal or physical conduct of a sexual nature, including unwelcome sexual advances and requests for sexual favors ... when:
a. submission to such conduct is made explicitly either a term or condition of an individual’s employment;
b. submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual; or
c. such conduct is reasonably perceived as creating a hostile or abusive work environment.
Policy Statement on the Prevention of Sexual Harassment, PBGC Notice No. 96-11 (emphasis added).
. The court misreads Taylor’s EEO complaint, Op. at 7, 10 n.*, which does not state that she posted the sexual harassment policy on her door in response to Bacon’s conduct towards her, but rather — and only — that she posted it in response to "several incidents with the PPD management staff that I think are incidents of harassment so that was my subtle way to say look at this, stop, you are behaving in this manner, be careful.” EEO Compl. Att. 8. Taylor makes no mention here whether these "incidents” related to her specifically; at the summary judgment stage, the court must view the facts in the light most favorable to her and conclude they did not.
Moreover, the court fails to acknowledge what the court in Roebuck presumed, namely the wide gulf between a layperson’s use of the word "harassment” to try to prevent inquiry into her personal affairs, and a court’s use of the same word as a term of art to express a legal conclusion under Faragher and Meritor. For instance, a male boss who calls a female employee "honey” or "sweetie” may provoke a response to stop "sexually harassing me” or a complaint to a friend that she is being "sexually harassed,” but she would be wrong as a legal matter if she thought such conduct, without more, was actionable or that the incident merited reporting under the policy of Taylor’s employer. So too with Taylor’s statements to Bacon in response to him telling her he "bet [he] could beat [her boyfriend]” or to
. To the extent the court interprets this statement, which appeared only as a parenthetical in Taylor’s opposition to the motion for summary judgment, as an acknowledgment of her error in completing the form, the court ignores the more obvious contextual interpretation that Taylor was recounting Henkel’s claimed basis for "confusion,” not confessing error. Again, the court views the record in the light least favorable to Taylor.
. Taylor’s leave request form has a typed "X” only in the box marked "Accrued Sick Leave,” which appears in a column listing various types of leave, and a typed listing of the dates on the first line to show when she would be out and the number of work hours she would miss. Beside her signature in the "CERTIFICATION” box is typed "10/31/03” for the date of the request. By contrast, on the signature line for "OFFICIAL ACTION ON REQUEST,” the "X” next to "APPROVED” is scratched out and an "X” appears next to "DISAPPROVED”. On the signature line, following Henkel's signature is (he handwritten date "11/04/03,” which is written over the handwritten date, "10/31/03,” effectively crossing out that date.
