NICHOLAS G. GARAUFIS, District Judge.
Plaintiff Fedie R. Redd brought this action in 2007 against her former employer,
For the reasons set forth below, Defendants' motion for partial summary judgment is GRANTED. Redd's retaliation, NYSHRL, and NYCHRL claims are DISMISSED with prejudice. This case will proceed to trial solely for the purposes of resolving Redd's Title VII sexual harassment claim against DOP.
The court will discuss only the facts pertinent to the Title VII retaliation, NYSHRL, and NYCHRL claims that it addresses in this opinion. Because Redd is the non-moving party, the court views these facts in the light most favorable to her. See NetJets Aviation, Inc. v. LHC Commc'ns, LLC, 537 F.3d 168, 173 (2d Cir.2008).
Redd was employed by DOP as a parole officer ("PO") from April 30, 1990, until her termination on July 20, 2010. (Def. 56.1 St. (Dkt. 76) ¶ 10.) From 1993 through 2006, Redd was in DOP's Queens I Area Office (the "Queens Office"). (Pl. 56.1 St. (Dkt. 82) ¶ 88.) In January 2007, Redd was reassigned to the Central Long Island Area Office (the "CLI Office"), and worked there until her termination. (Def. 56.1 St. ¶ 10; Pl. 56.1 St. ¶ 89.)
At the Queens Office, Redd's immediate supervisor was Senior Parole Officer ("SPO") Clifford Crawford, and Crawford's supervisor was the Queens Office's Area Supervisor (or "Bureau Chief), Sarah Washington. (Def. 56.1 St. ¶ 1.)
On September 16, 2005, DOP issued Redd a "Suspension Notice of Discipline" ("NOD") containing three disciplinary charges arising from Redd's alleged refusal to comply with orders given by Washington and Crawford to input parolee case files into DOP's computer system (the "2005 NOD"). (2005 NOD (Ex. A to Oct. 18, 2012, Wen Decl. ("Second Wen Decl.") (Dkt. 78-1)); see also Def. 56.1 St. ¶¶ 1, 3.) DOP sought a penalty of Redd's termination. (See 2005 NOD at 6.) Redd requested that the charges be heard by an arbitrator pursuant to the collective bargaining agreement ("CBA") between DOP and Redd's labor union. (Def. 56.1 St. ¶ 3.)
On January 31, 2006, an arbitrator found Redd guilty of all three charges in the 2005 NOD, and suspended Redd for two weeks without pay. (Jan. 31, 2006, Arb. Op. & Award (Ex. B to Second Wen Decl. (Dkt. 78-1)) ("2006 Arb. Op."))
On September 15, 2006, following an investigation, the SDHR dismissed the 2005 SDHR Charge, finding that there was no probable cause to believe that DOP had engaged in the unlawful discriminatory practices of which Redd had complained. (Dkt. 1-4.) On November 7, 2006, the Equal Employment Opportunity Commission ("EEOC") adopted the findings of the SDHR and mailed Redd a right-to-sue letter. (Ex. C to Second Wen Decl. (Dkt. 78-1).)
On January 4, 2007, following her reassignment to the CLI Office, Redd filed a pro se Complaint against DOP in this court, alleging sexual harassment by Washington, retaliation, and disparate treatment on the basis of her race (African American), color (black), gender (female), and religion (Protestant), in violation of Title VII. (Compl. (Dkt. 1).) DOP filed an Answer (Dkt. 8) and the case proceeded to discovery.
Part of that discovery included a June 9, 2008, deposition of Defendant José Burgos, who at the time was a non-party. (See June 9, 2008, Burgos Dep. Tr. (Ex. RR to Apr. 3, 2009, Wen Decl. (Dkt. 42-5)).) Burgos served as DOP's Director of Human Resources Management from 2003 until April 2011. (Def. 56.1 St. ¶ 12.) He oversaw the Employee Relations Office ("ERO"), which was involved in administering the employee disciplinary process. (Id.) From 2008 until 2011, Jean-Pierre Adrien worked directly under Burgos as the ERO's Labor Relations Representative, and was responsible for administering disciplinary and grievance processes for Regions I and III of DOP, which included the CLI Office.
On June 11, 2008, Redd was counseled by Davies, Walker, Cotov, and another SPO regarding her alleged failure to take an order from Cotov. (Def. 56.1 St. ¶¶ 16-18.) Davies then issued Redd a "Counseling Memorandum," which had been reviewed and approved by Adrien. (See Redd Counseling Mem. (Ex. I to Second Wen Decl. (Dkt. 78-1)); Def. 56.1 St. ¶¶ 17-18; Pl. 56.1 St. ¶¶ 137-38.) According to DOP, a Counseling Memorandum is not a form of discipline (see Adrien Dep. Tr. at 308:3-12; see also Def. 56.1 St. ¶ 17; Pl. 56.1 St. ¶ 133), but such documents are maintained in DOP's files and are considered by the ERO when it determines how (if at all) to discipline an employee (Pl. 56.1 St. ¶¶ 134-35).
On April 3, 2009, DOP moved for summary judgment on all of Redd's claims in this court. (Def. Mot. for Summ. J. (Dkt. 40).) The motion became fully briefed on June 1, 2009. (See Dkt. 42.)
On June 16, 2009, the Central Long Island Bureau held a meeting (the "Bureau Meeting"), attended by Redd and Davies, regarding a "Safety Day" event to occur the following day. (Pl. 56.1 St. ¶ 150.) At the meeting, Redd voiced her concern about the fact that DOP planned to hold the Safety Day event — which would involve processing a large number of parolees — without metal detectors despite a recent incident in Queens in which a parolee had threatened a PO with a knife. (Redd. Dep. Tr. (Dkt. 83-1) at 62:17-63:4; see also Davies Dep. Tr. at 97:2-15; Pl. 56.1 St. ¶ 151.) According to Davies, "Redd objected to [DOP] having a Safety Day at all and every time [he] spoke about it or every time a parole officer spoke in support of it she interrupted," and at one point she "told one of the parole officers to `shut up.'" (Davies Dep. Tr. at 97:6-11.) According to Redd, two POs "hurled insults" at her when she voiced her opinions and Davies "allowed" them to do so. (Redd Dep. Tr. at 63:7-8.)
Safety Day occurred on June 17, 2009, and Redd was assigned to a post near the back of the building in which the event was being held. (Pl. 56.1 St. ¶ 156.) Redd claims that, early that morning, in front of other POs from other precincts, Davies "started yelling and screaming at [Redd]," accusing her of failing to "writ[e] parolee's [sic] names down." (Redd Dep. Tr. at 55:4-5.) Redd called one of DOP's Regional Directors, Gayle Walthall, and Walthall relieved Redd from her post. (Pl. 56.1 St. ¶ 158.) Redd then went back to her office. (Id. ¶ 159.)
The next day, June 18, 2009, Davies sent Walthall and Michael Burdi — a DOP Deputy Regional Director — an email describing Davies's version of the events that transpired at the Bureau Meeting and on Safety Day, which Burdi forwarded to Burgos and Adrien. (See June 18, 2009, Davies Email (Dkt. 83-28); see also Pl. 56.1 St. ¶ 160.) Davies later spoke with Adrien, Burdi, Walthall, and likely Burgos about the events, and they all agreed that Redd should be disciplined. (Pl. 56.1 St. ¶ 162.)
That same day, Redd was in DOP's New Rochelle Area Office at an unrelated grievance hearing for a fellow PO in her capacity as a representative for her labor union. (Id. ¶ 165.) Davies, Burdi, Walthall, PO Wayne Spence, PO Deborah Liehmann, and Warren Lew — Redd's union representative — were also present. (Id. ¶ 166.) Adrien, Burdi, and Walthall decided to conduct an "interrogation" of Redd regarding the Bureau Meeting and Safety Day. (Davies Dep. Tr. at 141:2-142:1.) An interrogation is a formal review that DOP must conduct before bringing disciplinary charges against members of Redd's union. (See id. at 82:17-23; Pl. 56.1 St. ¶ 167.) Adrien met with Lew and told him about the interrogation, and Lew "became very upset and stormed out of the meeting."
Spence and Liehmann submitted Unusual Incident Reports ("UIR") about the incident in the conference room. (See Spence UIR (Dkt. 83-29); Liehmann UIR (Dkt. 83-30); see also Pl. 56.1 St. ¶ 173.) According to Spence, after Burdie and Lew argued, Burdie and Walthall directed Redd to follow them down the hallway from the conference room, but Lew was "attempting to get PO Redd to follow him instead." (Spence UIR.) Lew "was holding [Redd] by the left hand was attempting to get her back into the conference room while [] Walthall was pulling her by the right hand and saying to her `Mrs. Redd come with me.'" (Id.; see also Liehmann UIR.) Redd broke free from Walthall and went into the conference room. (See Spence UIR; Liehmann UIR.) Lew attempted to close the door to the room but it was forced open by Burdie and Walthall. (Id.) According to Spence, Burdie then "blocked the exit by standing in front of the door," and both Burdie and Walthall told Redd that she could not leave; Walthall and Adrien then attempted to block the exit as well. (Spence UIR; see also Liehmann UIR.) Lew and Redd approached the door, and Burdie went into a "bladed position" with his hand near his exposed weapon. (Spence UIR; Liehmann UIR; see also Pl. 56.1 St. ¶ 173.) At that point Lew gave up and told Redd to go with Burdie, Walthall, and Adrien, which she did. (See Spence UIR; Liehmann UIR.) Both Spence and Liehman alleged that they felt threatened by the behavior of Burdi, Walthall, and Adrien, and that they did not feel free to leave the conference room at the time. (See Spence UIR; Liehmann UIR.)
According to Burgos and Adrien, the UIRs filed by Spence and Liehmann regarding the meeting in the conference room were false.
The same day, Redd filed a police report with the New Rochelle Police Department claiming that, during the attempted interrogation at the New Rochelle Area Office, Burdie and Walthall had "assaulted" her by preventing her from leaving the conference room (the "Assault Report"). (Ex. N to Second Wen Decl. (Dkt. 78-1); see also Def. 56.1 St. ¶ 24.) The police took no action on the Assault Report and Redd was not disciplined by DOP for filing the report. (See Oct. 4, 2012, Burgos Dep. Tr. at 166:22-168:12, 171:4-12; Def. 56.1 St. ¶¶ 26, 184.)
DOP did, however, discipline Redd for allegedly refusing to follow Davies's orders at the Bureau Meeting and on Safety Day. On June 22, 2009, DOP issued Redd an NOD — drafted by Adrien and signed by Burgos — containing six charges related to those events (the "2009 NOD"). (See 2009 NOD (Ex. K to Second Wen Decl. (Dkt. 78-1); Def. 56.1 St. ¶ 20; Pl. 56.1 St. ¶ 186.)) DOP sought Redd's permanent demotion to the position of Facility PO and reassignment to the Bedford Hills Correctional Facility. (See 2009 NOD.) That same day, Burgos interrogated Redd concerning the Bureau Meeting and Safety Day. (Pl. 56.1 St. ¶ 187.) Redd requested that her disciplinary charges be heard by an arbitrator. (Def. 56.1 St. ¶ 22; Pl. 56.1 St. ¶ 188.) On December 27, 2009, after hearing four days of testimony from, among others, nine fellow DOP employees (POs and SPOs), an arbitrator found Redd guilty of four of the six charges, and issued a penalty of three months' suspension without pay. (Dec. 27, 2009, Arb. Op. & Award (Ex. L to Second Wen Decl. (Dkt. 78-1)) ("2009 Arb. Op."); see also Pl. 56.1 St. ¶ 188.) Redd returned to work on January 5, 2010. (Def. 56.1 St. ¶ 23.)
On January 21, 2010, Redd filed another police report, this time with the Freeport Police Department, alleging that a man named Calvin Taylor had stalked her on several occasions (the "Stalking Report"). (Ex. O to Second Wen Decl. (Dkt. 78-1); see also Def. 56.1 St. ¶ 27; Pl. 56.1 St. ¶¶ 206-12.) On January 25, 2010, Redd filed a UIR with DOP making similar allegations. (Ex. P to Second Wen Decl. (Dkt. 78-1).)
After an investigation, the Freeport Police Department concluded that the Stalking Report was false and, on February 5, 2010, arrested Redd and charged her with filing a false written instrument, a Class A misdemeanor. (See Arrest Notification (Ex. Q to Second Wen Decl. (Dkt. 78-1)); Def. 56.1 St. ¶ 29; Pl. 56.1 St. ¶ 228.) DOP was notified of the arrest that same day. (Def. 56.1 St. ¶ 29.)
Under the CBA, DOP was permitted to suspend any employee who was arrested and to take further disciplinary action while the criminal proceeding was pending. (See CBA (Ex. S to Second Wen Decl. (Dkt. 78-1)) § 33.4(a)(2); see also Def. 56.1 St. ¶ 45.) Following Redd's arrest, Adrien contacted Lew to schedule an interrogation of Redd. (Def. 56.1 St. ¶ 30.) On February 25, 2010, Adrien issued an "Interrogation Notice" to Redd informing her that DOP had scheduled an interrogation regarding her arrest for March 3, 2010, at DOP's New Rochelle Area Office. (Interr. Notice (Ex. T to Second Wen Decl. (Dkt. 78-1)); see also Def. 56.1 St. ¶¶ 32-33.)
On March 2, 2010, 2010 WL 1177452, Magistrate Judge Lois Bloom issued a Report and Recommendation ("R & R") recommending that DOP's motion for summary judgment be granted as to Redd's disparate treatment and retaliation claims but denied as to her sexual harassment claim. (R & R (Dkt. 46).) The Clerk of Court entered the R & R on the public docket and emailed an Electronic Case Filing ("ECF") notification to DOP's counsel of record on March 3, 2010, at 8:22 a.m. (See Def. 56.1 St. ¶ 50; see also Dkt. 46.) Adrien claims that he had not been told about the R & R either before or during Redd's interrogation. (See Adrien Dep. Tr. at 296:3-15; see also Def. 56.1 St. ¶¶ 51-52.)
Around 11:00 a.m. on March 3, 2010, Adrien and Regional Director Steven Claudio interrogated Redd at the New Rochelle Area Office with Lew present. (Def. 56.1 St. ¶ 37.) Shortly after noon that day, Adrien served Redd with the NOS. (Id. ¶ 38; Pl. 56.1 St. ¶ 258.)
Sometime after March 22, 2010, but before March 25, 2010, Adrien drafted an NOD for Redd charging her with three violations of DOP's Employee Manual, including filing a false police report with the Freeport Police and a false UIR with DOP (the "2010 NOD"). (See 2010 NOD (Ex. V to Second Wen Decl. (Dkt. 78-1)); Adrien Dep. Tr. at 231:14-232:24, 294:6-296:7; Def. 56.1 St. ¶¶ 40-41.) DOP sought Redd's termination for these charges. (See 2010 NOD.) Burgos played no role in drafting the NOD but reviewed and signed it. (Oct. 4, 2012, Burgos Dep. Tr. at 262:12-263:13; see also Def. 56.1 St. ¶ 40.)
On March 23, 2010, the SDHR dismissed Redd's 2008 SDHR Charge, finding no probable cause to believe that DOP had engaged in unlawful discriminatory practices by counseling her in 2008. (Ex. J to Second Wen Decl. (Dkt. 78-1); see also Def. 56.1 St. ¶ 19.)
On March 24, 2010, this court issued a decision that adopted Judge Bloom's R & R in part and granted DOP's motion for summary judgment in its entirety. Redd v. N.Y. State Div. of Parole, No. 07-CV-120 (NGG)(LB), 2010 WL 1177453 (E.D.N.Y. Mar. 24, 2010). The Clerk of Court entered this opinion on the public docket and emailed an ECF notification to DOP's counsel on March 25, 2010, at 8:13 a.m. (See Def. 56.1 St. ¶ 54; see also Dkt. 48.) Adrien claims that he drafted the 2010 NOD before March 25 and was not aware of the dismissal of Redd's lawsuit while he was drafting it.
At some point on March 25, 2010 — the day this court's opinion was entered — Adrien sent the 2010 NOD to Redd via certified mail. (See Def. 56.1 St. ¶ 42.) Redd requested that the charges in the 2010 NOD be heard by an arbitrator. (Id. ¶ 62.)
On March 29, 2010, a judge in Nassau County District Court granted Redd an Adjournment in Contemplation of Dismissal ("ACD") of her misdemeanor charge for filing the allegedly false Stalking Report. (See Mar. 29, 2010, Certificate of Disposition (Ex. W to Second Wen Decl. (Dkt. 78-1)); Mar. 29, 2010, Hr'g Tr. (Ex. X to Second Wen Decl. (Dkt. 78-1)); see also Def. 56.1 St. ¶ 43; Pl. 56.1 St. ¶ 273.) This meant that if Redd served a six-month probationary period without further arrests, the charge would be dismissed. (Def. 56.1 St. ¶ 43.)
On April 14, 2010, Redd appealed this court's grant of summary judgment to the Second Circuit Court of Appeals. (Notice of Appeal (Dkt. 50).)
On May 10, 2010, Adrien received a fax from Davies enclosing a May 7, 2010, Certificate of Disposition faxed from the Nassau County Criminal Clerk's Office explaining that Redd had been granted the ACD on March 29, 2010, and that if the case were not restored by September 28, 2010, it would be dismissed and sealed. (May 10, 2010, Certificate of Disposition (Ex. Y to Second Wen Decl. (Dkt. 78-1)); see also Def. 56.1 St. ¶ 44; Pl. 56.1 St. ¶ 270.)
On May 13, May 17, and June 15, 2010, Redd's 2010 NOD charges were tried before an independent arbitrator, Edward A. Battisti, affiliated with the American Arbitration Association. (Def. 56.1 St. ¶¶ 62, 64.) DOP was represented by Adrien and Redd was represented by an attorney provided by her union. (Id. ¶¶ 62-63.) Two police officers testified that Redd's accusations in the Stalking Report were false because Calvin Taylor was in a different part of Long Island at the time Redd alleged he had stalked her. (Id. ¶ 64.) Burgos and Davies testified that, because of Redd's arrest for filing a false police report, she would no longer have credibility with her supervisors and would no longer be able to supervise parolees effectively. (Id. ¶ 65.)
On July 16, 2010, the arbitrator determined that: (1) DOP's March 3, 2010, suspension of Redd was supported by probable cause; (2) Redd was guilty of all three charges in the 2010 NOD; and (3) termination was appropriate.
On July 21, 2010, after having received the arbitrator's opinion and award, DOP terminated Redd, effective July 20, 2010. (See Ex. Z to Second Wen Decl. (Dkt. 78-1); see also Def. 56.1 St. ¶ 70.)
On August 28, 2010, Redd filed a pro se petition in New York State Supreme Court pursuant to Article 75 of the New York Civil Practice Law and Rules ("C.P.L.R."), naming both DOP and the arbitrator as respondents. (Art. 75 Pet. (Ex. FF to Second Wen. Decl. (Dkt. 78-1)).) Redd sought to vacate the arbitrator's award, alleging, among other things, that the arbitrator had been motivated by racial and
On September 28, 2010, Redd's six-month probationary period ended and her criminal misdemeanor charge for filing a false written instrument was dismissed and sealed. (Def. 56.1 St. ¶ 44; Pl. 56.1 St. ¶ 274.)
On February 2, 2011, Justice Carol Huff of the New York State Supreme Court, New York County, denied Redd's Article 75 petition. (Feb. 2, 2011, N.Y. Sup. Ct. Decision (Ex. HH to Second Wen Decl. (Dkt. 78-2)).) Justice Huff found that "[t]he arbitrator's award [had] ample evidentiary support," and that Redd's allegations of racial bias and disparate treatment lacked "supporting evidence." (Id. at 2-3.)
On February 28, 2011, Redd appealed Justice Huffs decision, again arguing that the arbitrator's decision had been motivated by racial bias. (See Art. 75 Appeal (Ex. II to Second Wen Decl. (Dkt. 78-2)); see also Def. 56.1 St. ¶ 75.) On April 26, 2012, the Appellate Division, First Department, affirmed the denial of Redd's Article 75 petition. Redd v. Battisti, 94 A.D.3d 676, 943 N.Y.S.2d 84 (N.Y.App. Div. 1st Dep't 2012). The court found that "[t]he record amply support[ed] the arbitrator's findings," that Redd's "allegations of racial and gender bias [we]re speculative and without any evidentiary basis in the record," and that, "[i]n light of [Redd's] responsibilities as a parole officer, which depend[ed] in large part upon her veracity, her misconduct warranted the penalty of termination." Id. at 676-77, 943 N.Y.S.2d 84.
On May 4, 2012, the Second Circuit vacated this court's grant of summary judgment to the extent that it dismissed Redd's sexual harassment claim and remanded for further proceedings on that claim. Redd v. N.Y. State Div. of Parole, 678 F.3d 166 (2d Cir.2012).
After the mandate issued, on July 27, 2012, Redd moved through counsel to amend her Complaint. (Pl. Mot. to Amend (Dkt. 56).) DOP consented to the amendment (see Aug. 17, 2012, Order), and Redd filed her Amended Complaint on August 16, 2012, which: (1) added a claim against DOP for retaliatory discharge under Title VII (Am. Compl. (Dkt. 58) ¶¶ 58-61); and (2) added Burgos as a defendant for allegedly aiding and abetting the relation, pursuant to the NYSHRL (id. ¶¶ 62-64) and the NYCHRL (id. ¶¶ 65-68).
On August 21, 2012, the Appellate Division, First Department, denied Redd's motion for leave to appeal its decision on her Article 75 petition to the New York Court of Appeals. (Ex. KK to Second Wen Decl. (Dkt. 78-2).) On September 21, 2012, Redd filed a pro se motion directly with the New York Court of Appeals for leave to appeal the First Department's decision. (See Ex. LL to Second Wen Decl. (Dkt. 78-3); Def. 56.1 St. ¶ 80.) This motion was recently denied. Redd v. Battisti, 20 N.Y.3d 966, 958 N.Y.S.2d 328, 982 N.E.2d 91 (2012).
Defendants DOP and Burgos Answered Redd's Amended Complaint (Dkt. 66), and discovery on her new claims was completed on October 5, 2012 (see Sept. 6, 2012, Order). On November 13, 2012, Defendants moved for partial summary judgment pursuant to Federal Rule of Civil Procedure 56(a), seeking dismissal of Redd's retaliation claim against DOP and her NYSHRL and NYCHRL claims against Burgos. (Def. Mot. for Partial Summ. J. (Dkt. 76); Def. Mem. (Dkt. 79).) Redd filed an opposition (Pl. Opp'n (Dkt. 80)) and Defendants replied (Def. Reply (Dkt. 85)). Trial is scheduled for January 28, 2012. (See Nov. 16, 2012, Minute Entry.)
Under Federal Rule of Civil Procedure 56(a), summary judgment is proper if "the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." The burden to make this showing rests upon the party moving for summary judgment. See Adickes v. S.H. Kress & Co., 398 U.S. 144, 157, 90 S.Ct. 1598, 26 L.Ed.2d 142 (1970). "[T]he court must draw all reasonable inferences in favor of the nonmoving party." Reeves v. Sanderson Plumbing Prods., Inc., 530 U.S. 133, 149, 120 S.Ct. 2097, 147 L.Ed.2d 105 (2000).
A fact is material if its existence or non-existence "might affect the outcome of the suit under the governing law," and an issue of fact is genuine if "the evidence is such that a reasonable jury could return a verdict for the nonmoving party." Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 248, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986). A genuine issue is created by "specific facts" grounded in testimony or other admissible evidence, not by "mere allegations or denials" of the adverse party's pleadings, id., "by the presentation of assertions that are conclusory," Patterson v. Cnty. of Oneida, N.Y., 375 F.3d 206, 219 (2d Cir.2004), or "by conjecture[] or speculation" from the non-movant, Kulak v. City of New York, 88 F.3d 63, 71 (2d Cir.1996).
Summary judgment must be granted "[w]hen no rational jury could find in favor of the nonmoving party because the evidence to support [her] case is so slight." Gallo v. Prudential Res. Servs., L.P., 22 F.3d 1219, 1224 (2d Cir.1994). In particular, it must be granted "against a party who fails to make a showing sufficient to establish the existence of an element essential to that party's case, and on which that party will bear the burden of proof at trial." Celotex Corp. v. Catrett, 477 U.S. 317, 322, 106 S.Ct. 2548, 91 L.Ed.2d 265 (1986). In such a situation, "there can be `no genuine issue as to any material fact,' since a complete failure of proof concerning an essential element of the nonmoving party's case necessarily renders all other facts immaterial." Id. at 323, 106 S.Ct. 2548.
Title VII makes it unlawful for an employer "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). Title VII also has an anti-retaliation provision, which makes it unlawful "for an employer to discriminate against any of his employees ... because he has opposed any practice made an unlawful employment practice by [Title VII], or because he has made a charge, testified, assisted, or participated in any matter in an investigation, proceeding, or hearing under [Title VII]." Id. § 2000e-3(a). "This anti-retaliation provision is intended to further the goals of the anti-discrimination provision by preventing an employer from interfering (through retaliation) with an employee's efforts to secure or advance enforcement of Title VII's basic guarantees." Hicks v. Baines, 593 F.3d 159, 164 (2d Cir.2010) (internal quotation marks and alteration omitted). The provision "is violated when a retaliatory motive plays a part in adverse employment actions toward an employee, whether or not it was the sole cause." Terry v. Ashcroft, 336 F.3d 128, 140-41 (2d Cir.2003) (internal quotation marks omitted).
At the summary judgment stage, "[r]etaliation claims under Title VII are evaluated under a three-step burden-shifting
Defendants concede that Redd has satisfied the first three elements of her prima facie case: (1) she filed the 2005 SDHR Charge and her 2007 Title VII Complaint; (2) DOP knew about these activities; and (3) Redd was terminated in 2010. (See Def. Mem. at 10.) Defendants argue, however, that Redd has failed to establish a causal connection between her protected activities and her termination. (See id. at 10-17.) Before addressing the evidence Redd has offered to prove causation, the court must discuss how (if at all) its analysis is affected by the arbitrator's decision that Redd should be terminated.
As discussed above, the 2010 NOD contained three charges arising from the allegedly false Stalking Report that Redd filed with the Freeport Police Department and the allegedly false January 25, 2010, UIR that Redd filed with DOP. (See 2010 NOD.) The arbitrator assigned to resolve these charges found that: (1) DOP's suspension of Redd on March 3, 2010, was supported by probable cause; (2) Redd was guilty of all three of the charges in the 2010 NOD; and (3) termination was the appropriate penalty. (See 2010 Arb. Op. at 8, 24.) As to the first conclusion, the arbitrator found that Redd's arrest and misdemeanor charges for filing a false written instrument called into question Redd's ability to "accurately and objectively report an incident" and undermined her ability to maintain "the confidence and support of [her] supervisors." (Id. at 19.) The arbitrator further found that DOP's evidence in support of the 2010 NOD charges was "sufficiently convincing" to support Redd's guilt, and specifically that Redd had "falsely accused Mr. Calvin Taylor of following her home from her work station." (Id. at 20.) And in concluding that termination was the appropriate penalty, the arbitrator found: (1) that "[t]he offense committed by [Redd was] extremely serious" because of the damaging "potential consequences to the victim of [her] false accusation" and the manner in which it reflected upon Redd and DOP (id. at 21-22); and (2) that Redd's past disciplinary record — including two prior suspensions — supported her termination. (See id. at 22-23.)
The arbitrator's decision does not preclude Redd's retaliation claim. See Collins v. N.Y. City Trans. Auth., 305 F.3d 113, 119 (2d Cir.2002) ("[A] negative arbitration decision rendered under a CBA does not preclude a Title VII action by a discharged employee."); see also Alexander v. Gardner-Denver Co., 415 U.S. 36, 59-60, 94 S.Ct. 1011, 39 L.Ed.2d 147 (1974); Bottini v. Sadore Mgmt. Corp., 764 F.2d 116,
As in Collins, Redd "challenged [DOP]'s decision to fire [her] and was finally discharged only after the [arbitrator] made an independent inquiry, including the taking of evidence, and authorized termination." 305 F.3d at 118. And as in Collins, Redd "does not suggest that the [arbitrator] was not [] fully independent and unbiased."
In spite of Collins, Redd argues that the court should not afford significant weight to the arbitrator's decision because he did not address Redd's retaliation claims and did not hear evidence on those claims. (See Pl. Opp'n at 15-16.) But "the fact that the arbitration did not adjudicate [Redd's retaliation] claim is irrelevant to the evidentiary value of the decision." Weeks v. N.Y. State Div. of Parole, 78 Fed.Appx. 764, 766 (2d Cir.2003); see also Simpson v. N.Y. State Dep't of Civ. Serv., No. 02-CV-1216, 2005 WL 545349, at *16 (N.D.N.Y. Mar. 1, 2005) ("Under Collins and its progeny, failure to address the [retaliation] issue in an arbitration does not diminish the impact of that arbitration on a subsequent [retaliation] action.... "[T]he [arbitrator's] decision [i]s relied on not as expressly dealing with the issue of ... retaliation, but as providing persuasive findings about the employee's misconduct."); Roemer v. Bd. of Educ., 290 F.Supp.2d 329, 332 (E.D.N.Y.2003) ("Plaintiff simply misapprehends the difference between applying collateral estoppel and giving evidentiary weight to the arbitration." (citing Collins, 305 F.3d at 119)). In any event, although the arbitrator did not address the issue of retaliation
Keeping in mind the significant weight accorded the arbitrator's findings, the court turns to the evidence Redd has proffered of a causal link between her termination and her protected activities. Causation may be established "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." Gordon v. N.Y. City Bd. of Educ., 232 F.3d 111, 117 (2d Cir.2000). The court addresses these forms of evidence in reverse order.
"Direct evidence" is "evidence tending to show, without resort to inference, the existence of a fact in question." Tyler v. Bethlehem Steel Corp., 958 F.2d 1176, 1183 (2d Cir.1992) (emphasis added); see also Cardoso v. Robert Bosch Corp., 427 F.3d 429, 432 (7th Cir.2005) ("Direct evidence is essentially an outright admission that a challenged action was undertaken for one of the forbidden reasons covered in Title VII."); Laderach v. U-Haul, 207 F.3d 825, 829 (6th Cir.2000) ("In discrimination cases, direct evidence is that evidence which, if believed, requires the conclusion that unlawful discrimination was at least a motivating factor in the employer's actions." (emphasis added)); Costello v. St. Francis Hosp., 258 F.Supp.2d 144, 152 (E.D.N.Y.2003) ("direct evidence" is evidence that, "`if believed by the trier of fact, will prove the particular fact in question without reliance upon inference or presumption.'" (quoting Randle v. LaSalle Telecomms., Inc., 876 F.2d 563, 569 (7th Cir.1989))).
Redd offers one piece of supposedly direct evidence. (See Pl. Opp'n at 2, 17; Pl. 56.1 St. ¶ 118.) At Burgos's October 4, 2012, deposition, Redd's counsel asked him about the recommendation of Redd's termination in the 2010 NOD. (See Oct. 4, 2012, Burgos Dep. Tr. at 264:2-4.) Burgos noted that when he was presented with a proposed penalty that he disagreed with, he would typically object to the penalty or direct that it be amended. (See id. at 264:5-13.) Redd's counsel then asked about his decision not to amend the 2010 NOD:
(Id. at 264:14-265:8 (emphases added).)
As a reminder, Sarah Washington was the Area Supervisor whom Redd alleged had sexually harassed her — one of the bases of Redd's 2005 SDHR Charge and her
The court disagrees. The statements Burgos made at his deposition do not show retaliatory animus "without resort to inference." Tyler, 958 F.2d at 1183. Indeed, Redd herself draws multiple inferences to conclude that Burgos's statement was an admission of retaliation.
First, she infers that the false accusation against Washington that Burgos referenced was in fact the sexual harassment allegation Redd made to the SDHR. (See Pl. Mem. at 2.) She bases this inference on the fact that "Burgos did not testify about any accusation Redd made against Washington other than Redd's discrimination complaint." (Id.) That does not mean, however, that no other accusation occurred, and the court cannot tell from the record whether Redd accused Washington of any other purported misconduct during their long employment relationship. Rather than seeking clarification from Burgos on this point, Redd's counsel quickly switched topics, leaving the matter too ambiguous to "require[] the conclusion" that Redd's termination was motivated by unlawful retaliatory animus.
Second, even assuming Burgos was referring to Redd's accusation of sexual harassment, it requires another inferential step to conclude that this accusation influenced the ultimate decision to terminate her. The recommendation in the 2010 NOD was just that — a recommendation. So far as the court can tell, the decisionmaker ultimately responsible for Redd's termination was the arbitrator. (See CBA § 33.5(f)(5) ("The disciplinary arbitrator's decision with respect to guilt or innocence, penalty, probable cause for suspicion, or temporary reassignment ... shall be final and binding on the parties (emphases added)); Ex. Z to Second Wen Decl. (unsigned DOP form noting that, "[p]er arbitration decision employee has been terminated").)
Finally, even assuming that Redd's sexual harassment accusations factored into the ultimate termination decision (which, as discussed above, is unclear), this does not mean that Redd's protected activities — filing the 2005 SDHR Charge and her Complaint — improperly motivated her termination. Burgos acknowledged that it was Redd's right to file a discrimination complaint. (See Oct. 4, 2012, Burgos Dep. Tr. at 123:7, 125:13-17.) And so at most, Burgos's deposition statements represented his personal belief that Redd's accusations against Washington were false, and that these accusations, along with her accusations against Burdi, Walthall, and Taylor, suggested to Burgos a pattern of dishonesty supporting Adrien's decision to recommend her termination. (See id. at 264:23-265:8.) Such a belief could properly inform Burgos's views on the NOD's recommendation. See Hatmaker v. Memorial Med. Ctr., 619 F.3d 741, 745 (7th Cir.2010) (Title VII "doesn't insulate an employee from being discharged for conduct that, if it occurred outside an investigation, would warrant termination," such as "making frivolous accusations"); Gilooly v. Mo. Dep't of Health & Senior Servs., 421 F.3d 734, 740 (8th Cir.2005) ("[I]t [] cannot be true that a plaintiff can file false charges, lie to an investigator, and possibly defame co-employees, without suffering repercussions simply because the investigation was about sexual harassment. To do so would leave employers with no ability to fire employees for defaming other employees or the employer through their complaint when the allegations are without any basis in fact."); Glover v. So. Cal. Law Enforcement Div., 170 F.3d 411, 414 (4th Cir.1999) (Title VII "does not permit employees to immunize improper behavior simply by filing an EEOC complaint"); Hubbell v. World Kitchen, LLC, 688 F.Supp.2d 401, 441 (W.D.Pa.2010) (Title VII's anti-retaliation provision "does not prevent an employer from imposing discipline on an employee who, while `opposing' an `unlawful employment practice,' takes it upon himself or herself to defame other employees").
To be sure, a reasonable juror could potentially draw the inferences discussed above from Burgos's deposition statements. The court does not — and, at the summary judgment stage, may not — resolve these ambiguities against Redd. See Reeves, 530 U.S. at 149, 120 S.Ct. 2097. The court simply concludes that Burgos's deposition statements do not qualify as direct evidence of retaliation — that is, evidence demonstrating retaliation "without resort to inference." Tyler, 958 at 1183; see also Costello, 258 F.Supp.2d at 152. In other words, although Burgos's statements must be considered along with the other indirect evidence of retaliation that Redd has proffered, they do not represent an "outright admission" of retaliation. Cardoso, 427 at 432.
In the absence of direct evidence, causation may be established "indirectly," either: (1) "by showing that the protected activity was followed closely by discriminatory treatment"; or (2) "through other circumstantial evidence such as disparate treatment of fellow employees who engaged
"The Second Circuit has not established a bright line rule as to how closely an adverse employment action must follow protected activity to imply that the former was in retaliation for the latter." McDowell v. N. Shore-Long Island Jewish Health Sys., Inc., 788 F.Supp.2d 78, 82 (E.D.N.Y.2011) (citing Espinal v. Goord, 558 F.3d 119, 129 (2d Cir.2009)). Instead, it is the role of the court to "exercise its judgment about the permissible inferences that can be drawn from temporal proximity in the context of particular cases." Espinal, 558 F.3d at 129. The Supreme Court has stressed, however, that "[t]he cases that accept mere temporal proximity between an employer's knowledge of protected activity and an adverse employment action as sufficient evidence of causality to establish a prima facie case uniformly hold that the temporal proximity must be very close." Clark Cnty. Sch. Dist. v. Breeden, 532 U.S. 268, 273, 121 S.Ct. 1508, 149 L.Ed.2d 509 (2001).
The gap in time between Redd's discrimination complaints — her 2005 SDHR Charge and 2007 pro se Complaint — and the adverse employment action — Redd's termination in 2010 — is too long under well-established case law to give rise to an inference of retaliation. See id. at 274, 121 S.Ct. 1508 (adverse employment action taken twenty months after protected activity "suggests, by itself, no causality at all"); Williams v. Woodhull Med. & Mental Health Ctr., No. 10-CV-1429 (NGG)(LB), 2012 WL 555313, at *2 (E.D.N.Y. Jan. 31, 2012) (Rpt. & Rec.) ("[D]istrict courts in this Circuit have consistently held that a passage of more than two months between the protected activity and the adverse employment action does not allow for an inference of causation."), adopted by 2012 WL 567028 (E.D.N.Y. Feb. 21, 2012); Baez v. Visiting Nurse Serv. of N.Y. Family Care Serv., No. 10-CV-6210 (NRB), 2011 WL 5838441, at *6 (S.D.N.Y. Nov. 21, 2011) ("[T]he yearlong gap between two events far exceeds the normal span of time from which causality may be inferred."); see also Butler v. Raytel Med. Corp., 150 Fed.Appx. 44, 47 (2d Cir.2005) (one year held to be too remote); Hollander v. Am. Cyanamid Co., 895 F.2d 80, 85 (2d Cir.1990) (three months held to be too remote); McDowell, 788 F.Supp.2d at 83 (same).
Nevertheless, Redd makes two arguments as to why the timing of the events in her case supports an inference of causation.
First, she argues that "[m]ultiple acts of protected activity may be considered in
Second, Redd argues that a juror could infer causation based on the timing of Judge Bloom's March 2, 2010, R & R and this court's March 24, 2010, summary judgment decision relative to the March 25, 2010, NOD. (See Pl. Opp'n at 18.) But DOP had begun the process of disciplining her for filing the Stalking Report — the basis of the 2010 NOD — prior to the R & R and this court's decision, including by sending her the Interrogation Notice on February 25, 2010, and drafting the NOS. The fact that DOP's disciplinary actions were already in the works before the R & R and this court's opinion belies Redd's argument that DOP retaliated against her as a result of these judicial issuances. See Clark, 532 U.S. at 272, 121 S.Ct. 1508 ("Employers need not suspend previously planned [adverse employment actions] upon discovering that a Title VII suit has been filed, and their proceeding along lines previously contemplated, though not yet definitively determined, is no evidence whatever of causality." (emphasis added)); see also Slattery v. Swiss Reinsurance Am. Corp., 248 F.3d 87, 95 (2d Cir.2001).
For these reasons, Redd cannot establish causation based on the temporal proximity between her protected activities and her termination.
As another form of indirect evidence, Redd argues that other POs received more lenient treatment for more serious offenses than those Redd committed. (See Pl. Opp'n at 10-11, 19.) She argues that "DOP did not recommend the termination of, or even institute charges against, other POs who were arrested but who had not filed discrimination or retaliation charges against DOP." (Id. at 10.) She gives a number of examples. (See Pl. 56.1 St. ¶¶ 277-89.)
"An inference of discrimination may arise if a plaintiff can show that [s]he was treated differently than similarly situated employees." Simpson, 2005 WL 545349, at *11. But "[t]o be `similarly situated,' the individuals with whom [plaintiff] attempts to compare herself must be similarly situated in all material respects." Shumway v. United Parcel Serv., Inc., 118 F.3d 60, 64 (2d Cir.1997) (emphasis added). This standard "requires a reasonably close resemblance of the facts and circumstances of plaintiff's and comparator's cases" — a determination that must be made based on both "an examination of the acts" and "an examination of the context and surrounding circumstances in which those acts [we]re evaluated." Graham v. Long Island R.R., 230 F.3d 34, 40 (2d Cir.2000). Crucially, "[i]t is well settled that employees are not similarly situated if they have materially different disciplinary records." Dinkins v. Suffolk Transp. Serv., Inc., No. 07-CV-3567 (JFB)(AKT), 2010 WL 2816624, at *10 (E.D.N.Y. July 15, 2010) (collecting cases); see also Rosario v. Hilton Hotels Corp., 476 Fed. Appx. 900, 901 (2d Cir.2012) (holding that although some of the plaintiff's co-workers received greater wage increases than the plaintiff, "he failed to establish that he was `similarly situated' to those employees, given his disciplinary history at that time"); Smith v. New Venture Gear, Inc., 319 Fed.Appx. 52, 55 (2d Cir.2009) (plaintiff's
Redd's disparate treatment analysis is composed of a page-long bulleted list stating only the particular PO's isolated instance of alleged misconduct and DOP's action or inaction. (See Pl. Opp'n at 10-11.) She provides no information at all as to "the context and surrounding circumstances" of the alleged comparators' acts, including information as to their disciplinary records. Graham, 230 F.3d at 40. As discussed above, Redd had a substantial disciplinary history apart from the penalty she received for the allegedly false Stalking Report (see 2006 Arb. Op.; 2009 Arb. Op.), which played an important role in DOP's decision to terminate her (see 2010 Arb. Op. at 22-23). Whether the alleged comparators had similar disciplinary histories is important to whether their actions called for the same penalty that Redd received. See Dinkins, 2010 WL 2816624, at *10. Thus, even assuming these other POs in fact received more lenient penalties for more serious misconduct, they do not support Redd's causation argument because she has failed to show that they were similarly situated "in all material respects."
In sum, to establish a prima facie case of retaliation, Redd must show a causal connection between her protected activities and her termination. See Hicks, 593 F.3d at 164. Although this is normally a low threshold, Redd's burden is enhanced because an independent arbitrator found after an evidentiary hearing that she should be terminated, see Collins, 305 F.3d at 116, based in part on his finding that Redd had made a false stalking accusation and on her disciplinary record (see 2010 Arb. Op. at 20-23). The arbitrator's decision is "highly probative" of the absence of causation, and can be overcome only by "strong evidence that [it] was wrong as a matter of fact ... or that the impartiality of the proceeding was somehow compromised." Collins, 305 F.3d at 119. Redd has not even attempted to demonstrate to this court that the arbitrator's decision was factually incorrect or that she did not receive an impartial proceeding. (See Part III.A.1.)
Indeed, Redd has provided no "strong evidence" in support of her causation element. The temporal proximity between Redd's protected activities and her termination is far too lengthy to give rise to an inference of retaliation. See Clark, 532 U.S. at 274, 121 S.Ct. 1508; Williams, 2012 WL 555313, at *2. (See Part III.A.2.b.i.) And Redd has not shown that other POs who were "similarly situated in all material respects" were treated differently from her, Shumway, 118 F.3d at 64, particularly because of her failure to provide any evidence as to their disciplinary histories, see Dinkins, 2010 WL 2816624, at *10. (See Part III.A.2.b.ii.) Redd is thus left with the views Burgos briefly
Redd also brings claims against Burgos under the NYSHRL and NYCHRL for allegedly aiding and abetting DOP's retaliation. (Am. Compl. ¶¶ 62-68.) See N.Y. Exec. Law § 296(6); N.Y.C. Admin. Code § 8-107(6). Because these provisions contain virtually identical aiding-and-abetting provisions, they are evaluated under the "same standards of analysis." Feingold v. New York, 366 F.3d 138, 158 (2d Cir.2004) (collecting cases).
Under New York law, "liability must first be established as to the employer/principal before accessorial liability can be found as to an alleged aider and abettor." DeWitt v. Lieberman, 48 F.Supp.2d 280, 293 (S.D.N.Y.1999) (citing Murphy v. ERA United Realty, 251 A.D.2d 469, 472, 674 N.Y.S.2d 415 (N.Y.App.Div.2d Dep't 1998)); see also Raneri v. McCarey, 712 F.Supp.2d 271, 282 (S.D.N.Y.2010) ("An individual cannot aid and abet his own alleged discriminatory conduct."). Moreover, with respect to the liability of the employer/principal, "identical standards apply to employment discrimination claims brought under Title VII, ... [the NYSHRL], and the [NYCHRL]." Weinstock v. Columbia Univ., 224 F.3d 33, 42 n. 1 (2d Cir.2000); see also McDowell, 788 F.Supp.2d at 83 ("New York State Human Rights Law causes of action for discrimination and retaliation are [] analyzed under [the Title VII] rubric.").
Because Redd's Title VII retaliation claim lacks merit, she has not established principal liability for the DOP under the NYSHRL and NYCHRL. See Weinstock, 224 F.3d at 42 n. 1; Williams, 2012 WL 555313, at *2; McDowell, 788 F.Supp.2d at 83. By extension, she cannot establish aider-and-abettor liability for Burgos. See Raneri, 712 F.Supp.2d at 282; DeWitt, 48 F.Supp.2d at 293. Summary judgment is therefore appropriate as to Redd's NYSHRL and NYCHRL claims against Burgos.
For the reasons set forth above, Defendants' motion for partial summary judgment is GRANTED. Redd's Title VII retaliation, NYSHRL, and NYCHRL claims are DISMISSED with prejudice. This case will proceed to trial solely for the purposes of resolving Redd's Title VII sexual harassment claim against DOP.
SO ORDERED.