Andrea VASQUEZ, Plaintiff-Appellant, v. EMPRESS AMBULANCE SERVICE, INC., Defendant-Appellee, Tyrell Gray, individually, Defendant.
Docket No. 15-3239-cv
United States Court of Appeals, Second Circuit.
August 29, 2016
Argued: April 27, 2016
CONCLUSION
For the foregoing reasons, we AFFIRM the order of the district court and REMAND for further proceedings.
DEBRA LYNNE WABNIK, Stagg, Terenzi, Confusione & Wabnik, LLP, Garden City, NY, for Defendant-Appellee
Before: WALKER, CALABRESI, and HALL, Circuit Judges.
CALABRESI, Circuit Judge:
In the space of twenty-four hours, Andrea Vasquez faced unwelcome sexual advances in the workplace, complained about that conduct to her employer, and lost her job. After receiving unsolicited sexual photographs from a co-worker one night shift, Vasquez promptly informed her supervisor and filed a formal complaint of sexual harassment, which her employer promised to investigate that same morning. Within a few hours, however, Vasquez‘s co-worker had discovered her complaint and had provided the employer with false documents purporting to show Vasquez‘s consent to and solicitation of a sexual relationship. In reliance on those documents, and notwithstanding Vasquez‘s offers to produce evidence in refutation, Vasquez‘s employer immediately fired her on the ground that she had engaged in sexual harassment. Vasquez consequently brought suit under Title VII of the Civil Rights Act of 1964,
BACKGROUND1
In July 2013, Andrea Vasquez was hired by Empress Ambulance Service, Inc. (“Empress“) to work as an emergency medical technician on an ambulance crew. In October of that year, Vasquez met Tyrell Gray, who worked for Empress as a dispatcher and who almost immediately began making romantic overtures to Vasquez. Over the course of their acquaintance, Gray “constantly asked [Vasquez] out on dates,” “attempted to flirt with her,” and “repeatedly ... put his arm around her or touched her shoulders,”
This conduct came to a head in January 2014. On January 8, while Vasquez and Gray both worked in Empress‘s office, Gray approached Vasquez, placed his arm around her, and asked “When are you going to let me take you out?” App‘x 9. When Vasquez replied that she had a boyfriend and was not interested in a romantic relationship, Gray insisted that “I bet I can make you leave your mаn” and promised to “send ... something between you and me.” App‘x 9. Around midnight that night, while out on shift, Vasquez received a picture message from Gray: a photograph of his erect penis, captioned “Wat u think.” App‘x 9-10. Vasquez did not respond to this message or to a follow-up text message from Gray as she continued her work. When Vasquez returned to the office at the conclusion of her shift, however, she was “extremely embarrassed, distraught, and crying.” App‘x 10. And she promptly informed an Empress field supervisor about Gray‘s conduct. Promising that “[w]e‘re going to deal with this,” the supervisоr walked Vasquez to a computer in Empress‘s office and asked that she compose and send a formal complaint right away, which Vasquez began to do. App‘x 10.
As Vasquez was writing her complaint, however, Gray entered the room “to see a visually distressed [Vasquez] crying and typing at the computer.” App‘x 10. Gray, “noticeably nervous,” asked Vasquez “if she was ok” and, after Vasquez declined to engage his attempts at conversation, stated, “You‘re reporting me, right?” App‘x 10. Gray then went out of the room and ran into another emergency medical teсhnician, Almairis Zapata, with whom he began discussing Vasquez‘s likely complaint. He asked Zapata, as “a favor,” because he was “afraid he was going to lose his job,” to “lie for [him]” and tell their supervisors that Vasquez and Gray had been in a romantic relationship.” App‘x 11. Zapata refused, and Gray left the building.
After Gray‘s departure, Vasquez finished writing her complaint, in which she explained that she felt “violated” and “disrespected” as a result of Gray‘s behavior. She then waited in Empress‘s office until Sheri Baia, one of her supervisors, and Elizabeth Shepard, a member of the human resources department, arrived to discuss what had happened. The supervisors thanked Vasquez for “telling [her] story,” assured her that “[w]e don‘t tolerate this sort of behavior here,” and promised to “sort the situation out.” App‘x 12. To aid in their investigation, Vasquez offered to show the supervisors Gray‘s messages on her cell phone, but they rejected her offer. They then asked Vasquez whether she preferred to go home or to wait in the office while they investigated the incident that morning, and Vasquez elected to wait.
Gray, meanwhile, had not finished seeking to undermine the accusations he anticipated from Vasquez. Rather, in the intervening hours, Gray “manipulated a text message conversation on his iPhone to make it appear as though a person with whom he had legitimately been engaging in consensually sexual text banter was [Vasquez].” App‘x 12. He then “took screen shots of portions of the conversation, printed them off,” and “presented it to the management” of Empress as evidence that he and Vasquez had been in a consensual sexual relationship. App‘x 12.
By the time Vasquez met with a committee of her union representative, Empress‘s owner, and Shepard to discuss the incident later that morning, the committee had already considered Gray‘s documents and had concluded that Vasquez was “having an inappropriate sexual relationship” with
Vasquez subsequently brought suit against Empress2 under Title VII and NYSHRL, claiming that Empress had wrongfully terminated her in retaliation for complaining of sexual harassment. Empress moved to dismiss Vasquez‘s complaint for failure to state a claim under
DISCUSSION
We review de novo a district court‘s grant of a motion to dismiss under
A. “Cat‘s Paw” Liability
Vasquez seeks to recover against Empress under what has been termed “cat‘s paw” liability. The phrase derives from an Aesop fable, later put into vеrse by Jean de La Fontaine, in which a wily monkey flatters a naïve cat into pulling roasting
“To date, our Circuit has neither accepted nor rejected the cat‘s paw approach.” Nagle, 663 F.3d at 118; see also Wright v. City of Syracuse, 611 Fed.Appx. 8, 11 n.2 (2d Cir. 2015). The Supreme Court, however, has approved its application under the Uniformed Services Employment and Reemployment Rights Act, a statute “very similar to Title VII,” Staub, 562 U.S. at 417, and our sister circuits have overwhelmingly adopted the theory in Title VII retaliation cases. See, e.g., Zamora v. City of Houston, 798 F.3d 326, 332-33 (5th Cir. 2015); EEOC v. New Breed Logistics, 783 F.3d 1057, 1069-70 (6th Cir. 2015); Bennett v. Riceland Foods, Inc., 721 F.3d 546, 551-552 (8th Cir. 2013); Hicks v. Forest Preserve Dist. of Cook Cty., Ill., 677 F.3d 781, 789-90 (7th Cir. 2012); McKenna v. City of Philadelphia, 649 F.3d 171, 180 (3d Cir. 2011). Further, permitting “cat‘s paw” recovery in retaliation cases accords with longstanding precedent in our Court, in the employment-discrimination context, that “a Title VII plaintiff is entitled to succeed, ‘even absent evidence of illegitimate bias on the part of the ultimate decision maker, so long as the individual shown to have the impermissible bias played a meaningful role in the [decision-making] process.‘” Holcomb v. Iona Coll., 521 F.3d 130, 143 (2d Cir. 2008) (quoting Bickerstaff v. Vassar Coll., 196 F.3d 435, 450 (2d Cir. 1999)). Such a role is surely played by an employee who “manipulates” an employer into acting as mere “conduit” for his retaliatory intent.4 Accordingly, we now hold that the “cat‘s paw” theory may
B. Co-Workers and Cat‘s Paw(s)
The mere availability of “cat‘s paw” liability in Title VII retaliatiоn cases, however, does not resolve whether Empress may be held to the fire for its reliance on Gray‘s retaliatory information. While the Supreme Court has approved holding an employer liable for the retaliatory intent of one of its “supervisors” under a “cat‘s paw” theory, it specifically “express[ed] no view as to whether the employer would be liable if a co-worker, rather than a supervisor, committed a discriminatory act that influenced the ultimate employment decision.” Staub, 562 U.S. at 422 n.4. We must therefore determine in the first instance under what circumstances the “cat‘s paw” approach will render an employer responsible for the animus of a low-level employee who works alongside the victim.
To do so, “[w]e turn to general principles of agency law, for the term ‘employer’ is defined under Title VII to include ‘agents‘” and “Congress has directed federal courts to interpret Title VII based on agency principles.” Burlington Indus., Inc. v. Ellerth, 524 U.S. 742, 754, 118 S.Ct. 2257, 141 L.Ed.2d 633 (1998); see also Staub, 562 U.S. at 418 (deriving cat‘s paw liability from “general principles of agency law“). As set out by the Supreme Court in Ellerth, speaking in a hostile work environment case, there arе four circumstances in which “agency principles impose liability on employers even where employees commit torts outside the scope of employment,” and would not ordinarily be deemed “agents” of the employer:
(a) the master intended the conduct or the consequences, or
(b) the master was negligent or reckless, or
(c) the conduct violated a non-delegable duty of the master, or
(d) the servant purported to act or to speak on behalf of the principal where there was reliance upon apparent authority, or he was aided in accomplishing the tort by the existence of the agency relation.
Ellerth, 524 U.S. at 758 (quoting Restatement (Second) of Agency § 219(2) (1957)).
Significantly, in addressing employer culpability for employee misconduct, the Ellerth Court expressly noted that Section 219(2)(b) holds employers liable “when the [employee‘s] tort is attributable to the employer‘s own negligence. Thus, although a[n employee‘s] sexual harassment is outside the scope of employment ..., an employer can be liable, nonetheless, where its own negligence is a cause of the harassment[, i.e.,] if it knew or should have known about the conduct and failed to stop it.” Id. at 758-59.5
We see no reason why Ellerth, though written in the context of hostilе work environment, should not also be read to hold an employer liable under Title VII when, through its own negligence, the employer gives effect to the retaliatory intent
We agree with the First Circuit, and therefore conclude that Vasquez can recover against Empress if Empress was itself negligent in allowing Gray‘s false allegations, and the retaliatory intent behind them, to achieve their desired end. Assuming that Empress knew or should have known of Gray‘s retaliatory animus, the fact thаt “Gray was nothing more than a low-level employee with no supervisory or management authority,” Appellee‘s Br. 18, cannot shield Empress from answering for Gray‘s conduct because Empress‘s own negligence provides an independent basis, under Ellerth and agency law, to treat Gray as Empress‘s agent and hold Empress accountable for his unlawful intent. Once deemed Empress‘s agent, Gray stands in the same shoes as Staub‘s “supervisor,” and is equally able to play the monkey to Empress‘s cat. See Staub, 562 U.S. at 421 (“The employer is at fault [in a cat‘s paw case] becаuse one of its agents committed an action based on discriminatory animus that was intended to cause, and did in fact cause, an adverse employment decision.“) (emphasis added).7
Such a negligence-based approach to “cat‘s paw” liability, moreover, fully comports with established Title VII caselaw in our Circuit requiring that a biased non-decisionmaker play a “meaningful role” in an adverse employment decision for the unbiased decisionmaker to be culpable. See Bickerstaff, 196 F.3d at 450 (“We recognize that the impermissible bias of a single individual at any stage ... may taint the ultimate employment decision in violation of Title VII. This is true even absent evidence of illegitimate bias on the part of the ultimate decision maker, so long as the individual shown to have the impermissible bias played a meaningful role in the [decisionmaking] process.“). Empress‘s alleged negligence—in crediting Gray‘s accusations to the exclusion of all other evidence, and specifically declining to examine contrary evidence tendered by Vasquez, when it knew or, with reasonable investigation, should have known of Gray‘s retaliatory animus—caused Gray‘s accusations to form the sole basis for Empress‘s decision to terminate Vasquez. Thus, as a result of Empress‘s negligence, Gray achieved a “meaningful,” and indeed decisive, role in Vasquez‘s termination. Put differently, while Gray might, on other facts, have played no greater part than that of a mere “informant” or “witness at a bench trial,” Vasquez v. Empress Ambulance Serv., Inc., No. 14 Civ. 8387, 2015 WL 5037055, at *6 (S.D.N.Y. Aug. 26, 2015) (quoting Staub, 562 U.S. at 421), who simply offered information for the decision-maker‘s examination, on the facts before us, viewed in the light most favorable to Vasquez, Gray became the entire case against Vasquez when Emрress negligently chose to credit his, and only his, account.
We emphasize that such an approach should not be construed as holding an employer “liable simply because it acts on information provided by a biased co-worker.” Id. As we have long held, when considering the legitimacy of an employer‘s reason for an employment action, we look to “what ‘motivated’ the employer” rather than to “the truth of the allegations against [the] plaintiff” on which it relies. McPherson v. N.Y.C. Dep‘t of Educ., 457 F.3d 211, 216 (2d Cir. 2006); see also Jones v. Target Corp., 796 F.3d 330 (2d Cir. 2015) (“[S]howing that an employer incorrectly found an employee guilty of misconduct is insufficient to prove retaliation....“). Thus, an employer who, non-negligently and in good faith, relies on a false and malign report of an employee who acted out of unlawful animus cannot, under this “cat‘s paw” theory, be held accountable for or said to have been “motivated” by the employee‘s animus. And, of course, an employer who negligently relies on a low-level employee‘s false accusations in making an employment decision will not be liable under Title VII unless those false accusations themselves were the product оf discriminatory or retaliatory intent (although the employer may yet be liable for simple negligence under state law).
Only when an employer in effect adopts an employee‘s unlawful animus by acting negligently with respect to the information provided by the employee, and thereby affords that biased employee an outsize role in its own employment decision, can the employee‘s motivation be imputed to the employer and used to support a claim under Title VII. Put simply, an employer can still “just get it wrong” without incurring liability under Title VII, Supp. App‘x 114, but it cannot “get it wrong” without recourse if in doing so it
Having determined that Vasquez can recover against Empress if Empress negligently gave effect to Gray‘s retaliatory animus, we need now only decide whether Vasquez has sufficiently pled that Empress acted negligently in its treatment of Gray‘s and Vasquez‘s accusations. Although Vasquez does not use the term “negligence” in her complaint, we conclude that she has pled facts from which a rеasonable person could infer that Empress knew or should have known that Gray‘s accusations were the product of retaliatory intent and thus should not have been trusted. First, the fact that Gray had just learned that he had been accused by Vasquez of sexual harassment provided Gray with an obvious reason to lie and paint Vasquez as the perpetrator rather than the victim. With Gray more closely resembling a vengeful suspect than an independent informant, Empress had cause to treat with some skepticism his “he-said, she-said” cross-accusations. In additiоn, as Vasquez notes, “the timing ... is also suspicious,” Appellant‘s Br. 20: it seems unlikely that Vasquez should go from eagerly trading explicit messages to reporting such conduct as unwelcome harassment within the space of only six hours. It likewise seems strange that the very morning Gray is accused by Vasquez of harassment he should, when questioned by Empress, just happen to have on hand printed copies of amorous text messages purportedly received from Vasquez to substantiate his claim that she initiated the inappropriate exchange. Moreover, those messаges themselves, viewed in the light most favorable to Vasquez, provide reason to distrust Gray‘s account: according to Vasquez‘s complaint, the racy picture message “was by no means unequivocally of [Vasquez],” as it showed only “a small fraction of a face which can by no means [be] concluded to be that of [Vasquez].” App‘x 13.8 Empress, however, chose to ignore these warning signs and instead blindly credited Gray‘s assertions, obstinately refusing to inspect Vasquez‘s phone or to receive any other evidence proffered by Vasquez in refutation. Aсcordingly, accepting Vasquez‘s allegations as true, we conclude that a reasonable jury could find that Empress acted negligently in terminating Vasquez solely on the basis of Gray‘s accusations.
In sum, we hold that an employer may be held liable for an employee‘s animus under a “cat‘s paw” theory, regardless of the employee‘s role within the organization, if the employer‘s own negligence gives effect to the employee‘s animus and causes the victim to suffer an adverse employment action. Because Vasquez has plausibly alleged that Empress‘s negligence permitted Gray‘s retaliatory intent to achieve its desired effect—her termination—her claims for retaliation against Empress may proceed.
CONCLUSION
For the foregoing reasons, we VACATE the judgment of the District Court and
CALABRESI
CIRCUIT JUDGE
UNITED STATES of America, Appellee, v. Paul ARLINE, AKA Face, et al., Defendants, Anthony Boykin, AKA Double O, Justin Simmons, AKA Justo, Defendants-Appellants.*
Docket Nos. 14-851-cr; 14-1033-cr
United States Court of Appeals, Second Circuit.
August 30, 2016
Argued: April 25, 2016
* The Clerk of Court is requested to amend the official caption in this case to conform to the listing of the parties above.
