BERYL A. HOWELL, District Judge.
The plaintiff Robert Taylor, who is an Area Director for Government Contracting for the Office of Government Contracting ("OGC") at the United States Small Business Administration ("SBA"), brings this action against his current employer Karen G. Mills, Administrator of the SBA, alleging a violation of Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq. The plaintiff claims that the SBA unlawfully retaliated against him for engaging in the legally protected activity of providing testimony in connection with an Equal Employment Office ("EEO") investigation of discrimination claims filed by two of the plaintiff's former SBA subordinates. See id. § 2000e-3(a). Specifically, the plaintiff alleges in his single count
The plaintiff is the Area 5 Director for the OGC at the SBA. See Compl. ¶ 7; Def.'s Statement of Material Facts ("Def.'s SMF") ¶¶ 43-44, ECF No. 14-1.
Within the OGC, a Director of Government Contracting and Deputy Director of Government Contracting supervise an Assistant Director for Contract Assistance.
The plaintiff has been employed by the SBA since 1978. Id. ¶ 1. In September of 2006, the plaintiff was elevated to his first supervisory position — the Assistant Director for Contract Assistance, located in the SBA's headquarters in Washington, D.C. Id. ¶¶ 6, 9. Hierarchically, as discussed above, the Assistant Director for Contract Assistance reports to the Director and Deputy Director for Government Contracting and directly supervises all six Area Directors in the OGC. Id. ¶¶ 13, 18. In 2007, however, the plaintiff decided that he and his family wanted to move to Texas, and so he requested in
In the fall of 2007, when the plaintiff was still the Assistant Director for Contract Assistance, he directly supervised two employees named Edith Butler and Pamela McClam. Id. ¶ 19; Pl.'s Mem. P. & A. in Opp'n Def.'s Mot. Summ. J. ("Pl.'s Opp'n") Ex. 2, at 4, ECF No. 17-8. According to the plaintiff, both women were "outstanding performers whose duties for several years included responsibilities above their GS grade-level." Pl.'s SMF at 2. As a result, the plaintiff attempted to get them promotions through a procedure called "accretion of duties." Def.'s SMF ¶ 20. As its name implies, the "accretion of duties" procedure involves an evaluation of an employee's current duties by the human resources department (called a "desk audit") to determine whether that employee should be able formally to add (i.e., accrete) further duties and be promoted to a higher pay grade in the process. See Pl.'s SMF at 2; Def.'s SMF ¶ 21. The SBA Office of Human Capital Management, however, informed the plaintiff that, to accomplish his goal, he should initiate two "recruitment actions" for GS-14 level positions and limit recruitment to only SBA employees. Def.'s SMF ¶ 21. These actions were both cancelled sometime in the spring of 2008, though the record is unclear exactly when that occurred. See Pl.'s Opp'n Exs. 1-2, ECF Nos. 17-8, 17-9.
In May and June of 2008, respectively, both Ms. McClam and Ms. Butler filed administrative EEO complaints against the SBA as a result of the canceled recruitment actions, claiming that they had been passed over for promotions based on their gender, age (over 40), and race (African American). See id. The plaintiff was interviewed by EEO counselors in connection with both complaints in May and June 2008 respectively, and he told the EEO that "someone (unknown) in the building, asked to have the announcements pulled," and that "Ms. Butler's promotion was halted due to a change in management in January of 2008." Id. Ex. 1, at 7; id. Ex. 2, at 6. The plaintiff says that when he inquired at SBA Headquarters as to the status of the recruitment actions, he was told that the actions had been canceled by Fay Ott,
In addition to the informal interviews, the plaintiff also filed sworn affidavits in connection with both EEO administrative complaints. The affidavit for Ms. McClam was filed on August 26, 2008, and the affidavit for Ms. Butler was filed on October 2, 2008 (collectively, the "2008 Affidavits"). Def.'s SMF ¶¶ 26-29. In the affidavit submitted on Ms. Butler's behalf, the plaintiff admitted that "I have no knowledge what [Ms. Ott's] motivations were,"
The plaintiff contends that the SBA — and specifically, Ms. Hontz — retaliated against him for filing these affidavits through a series of actions that he argues were "designed to destroy his SBA career" and "cripple his effectiveness as an Area Director." Pl.'s Opp'n at 10-11, ECF No. 17. In particular, he claims that Ms. Hontz (1) falsely lowered his 2008 performance evaluation, (2) denied his requests to hire additional staff, (3) denied his requests to travel within his region, (4) denied his request to telecommute on a fixed schedule, and (5) subjected him to unjustified monitoring and criticism of his performance. Id.
SBA employees are rated each year by one supervisor (the "rating official") on a scale from one to five on a series of "Critical Elements," such as "customer service," "leadership," and "people management and responsibilities," and the evaluation is then reviewed and approved by a second supervisor (the "reviewing official"). See Pl.'s Opp'n Ex. FF at 3-4 (listing "Critical Elements"); SBA Standard Operating Procedure 34 30 4 ("SOP 34 30 4") (effective May 15, 2000) at 16-18, available at http:// archive.sba.gov/sops/3430/sop34304.pdf (describing review procedures). These "Critical Elements" are averaged for each employee, and that numerical score corresponds with a "summary level" rating. The summary levels are as follows: "Unacceptable" (less than 2.0), "Minimally Successful" (2.0 to 2.99), "Fully Successful" (3.0 to 3.59), "Exceeds Fully Successful" (3.6 to 4.59), and "Outstanding" (4.6 to 5.0).
Performance awards at the SBA are of three varieties: (1) Quality Step Increase ("QSI"); (2) Sustained Superior Performance ("SSP"); and (3) Superior Accomplishment ("SA"). Id. at 22. A QSI is an increase in an employee's pay by "one step or rate" of the employee's GS pay grade.
The plaintiff received an "Outstanding" rating in four of the six years prior to filing his Complaint (2005-2007 and 2009) and an "Exceeds Fully Successful" rating in the other two years (2008 and 2010). See Def.'s Mot. Summ. J. Ex. EE at 1. From 2008 to 2010, the plaintiff received an SSP Performance Award each year, ranging from $1,200 to $2,500 per year. Id. at 11, 18; id. Ex. FF at 1.
The plaintiff was not the only SBA employee whose 2008 performance rating was decreased upon review by Ms. Hontz. In 2008, Ms. Korbol gave all employees whom she rated an "Outstanding" rating, and Ms. Hontz, as the reviewing official, decreased at least four of those employees' ratings, including the plaintiff's. See Def.'s SMF ¶¶ 169, 171. Although the plaintiff appealed to Ms. Hontz to reinstate his "Outstanding" rating and later submitted a "Statement of Dispute" to Calvin Jenkins — the Deputy Associate Administrator for the GCBD and Ms. Hontz's direct supervisor — asking that Mr. Jenkins reinstate his "Outstanding" rating, both Ms. Hontz and Mr. Jenkins denied the plaintiff's requests. See Def. Mot. Summ. J. Ex. HH at 2-3, ECF No. 14-8.
On December 19, 2008, the plaintiff appealed Mr. Jenkins's denial of his "Statement of Dispute" to the SBA's Office of Hearings and Appeals ("OHA"). See id. The presiding adjudicator of that appeal, Administrative Judge Holleman, concluded on March 20, 2009, that the SBA had "met
The SBA, like many government agencies, has experienced a steady decline in its staff sizes over the past ten to twenty years due to budget constraints. Def.'s SMF ¶ 69. Between 2003 and 2008 in particular, the number of employees working in the Area 5 Office decreased, leaving Area 5 with the smallest staff of all the Areas. Id. ¶ 71, 74. By February 2008, when the plaintiff first became acting Area 5 Director, there were only twelve employees in the Area 5 office, id. ¶ 73, and only one employee in the plaintiff's immediate office, Pl.'s SMF at 14.
Because of the staffing shortfalls in Area 5, the plaintiff was "vocal about his desire to hire more staff," and in February 2009 he emailed his supervisors (David Loines and Charles George),
The plaintiff also requested a desk audit for Stephanie Lewis, a CMR in the Area 5 office, so that she could obtain an accretion of duties promotion to Deputy Area Director. Def.'s SMF ¶ 140. The plaintiff's predecessor as Area Director had also tried to obtain the same promotion for Ms. Lewis, but his "requests were never acted upon by headquarters." Id. ¶ 139. Ms. Hontz denied the plaintiff's request in January 2009, see Taylor Dep. at 180:19-181:4, and according to the defendant the denial was due to budget constraints and a diminishing need for supervisory positions because staffing levels had decreased. Id. ¶¶ 131-33. The plaintiff contends, however, that funds were available for additional staff and that Ms. Hontz denied his request for Ms. Lewis's desk audit (and thus his ability to obtain a GS-14 employee) to
Because Area Directors supervise employees in offices located throughout their designated region, they sometimes travel to these satellite offices. See Def.'s SMF ¶¶ 112-15. To do so, Area Directors submit travel requests to their supervisors, who consider the Area Director's budget and review requests on a case-by-case-basis. Id. ¶¶ 109-10, 121. The plaintiff submitted several travel requests as Area Director, several of which were approved by his supervisors, see Def.'s Mot. Summ. J. Ex. Y, but at least one of those requests was denied in the fall of 2008 by Ms. Hontz, see id. Ex. Z. According to the plaintiff, "Ms. Hontz approved [his] travel requests prior to October 2, 2008," i.e., the date the plaintiff submitted his affidavit in Ms. Butler's EEO proceeding. Pl.'s SMF at 15.
The one denial of a travel request took place in September or October of 2008, after the plaintiff had prepared a travel voucher in the amount of $127.32 for a trip he made to San Antonio on August 11, 2008, the purpose of which was to provide orientation and training to a new employee there. Id. at 15-16. The defendant states that travel requests like the plaintiff's were regularly denied due to "very strict budget constraints," and that Ms. Hontz herself denied a number of other Area Directors' travel requests in 2008 and 2009. See Def.'s SMF 113-15, 118-20. The plaintiff, however, claims that Area 5 had "an abundance of travel funds in 2008" and that his "negligible" travel request was dwarfed by the "several thousand dollars" that he claims were available in the Area 5 travel budget. See Pl.'s SMF at 16.
The SBA permits eligible employees to telecommute, which allows approved employees to work "one or more days at home or at an approved alternate duty station rather than in the traditional office." Def.'s Mot. Summ. J. Ex. O at 7, ECF No. 15-1. A telecommuting employee may either work from home or a "telecenter," which is a government-owned office site near the employee's home. Id. at 10. Telecommuting schedules are either "pre-determined" (i.e., fixed), where the employee and his supervisor agree on a specific schedule for workdays spent at home, or "intermittent" (i.e., ad hoc), where the employee must submit a request to his supervisor each time he wants to telecommute. See id. at 18-19; see also Def.'s Mot. Summ. J. Ex. R (ad hoc telecommuting "should be preapproved for a specific project [or] need").
Before moving to Texas in August 2008 to take up his position as Area Director, the plaintiff built a house in a suburb of Austin, Texas called Lakeway, which is over 200 miles (approximately 3.5 hours by car) from the Area 5 District Office in Fort Worth. Def.'s SMF ¶¶ 48, 60-61. The plaintiff's home is so far from his office, in fact, that his usual practice is to travel to Forth Worth at the beginning of the week, stay in a hotel, and then return to his home at the end of the week. Id. ¶ 63. On July 3, 2008, the plaintiff submitted a request to Ms. Hontz for a fixed telecommuting schedule. See Def.'s Mot. Summ. J. Ex. P. Ms. Hontz instead approved an ad hoc telecommuting schedule for the plaintiff on July 9, 2008 (effectively denying the request for a fixed schedule) and notified the plaintiff about her decision via e-mail, explaining that "[s]ince Area [5] has been without a resident director for a long time, it is important for you to be in the office or working the region." Id. Ex. R. At the time, the plaintiff responded that he "concur[red] with her reasoning." Id. Now, however, the plaintiff disputes the reasoning of Ms. Hontz's denial because
On January 29, 2009, Ms. Hontz sent an e-mail to Mr. Loines, the Acting Deputy Director for Government Contracting and plaintiff's second-level supervisor, asking him to retrieve a copy of Stephanie Lewis's Personal Business Commitment Plan ("PBCP")
After receiving the PBCPs from the plaintiff as requested, Ms. Hontz noted, via e-mail to Mr. Loines and Mr. George on February 2, 2009, several errors in Ms. Lewis's PBCP and asked Mr. Loines and Mr. George to review all of the Area 5 PBCPs for errors. See Def.'s Mot. Summ. J. Ex. KK at 1740. In that same e-mail, Ms. Hontz stated that the plaintiff's "work regarding managing staff is unacceptable at the moment." Id. Ms. Hontz requested that Mr. Loines and Mr. George have a conversation with the plaintiff regarding her concerns about the plaintiff's personnel management, and Mr. Loines and Mr. George conveyed those concerns to the plaintiff in a conference call on February 4, 2009. See Def.'s SMF ¶¶ 162-63.
On February 3, 2009, Ms. Hontz held a meeting with the plaintiff's immediate and second-line supervisors (Mr. George and Mr. Loines, respectively) to discuss Mr. George's new detail to the Assistant Director for Contract Assistance — the plaintiff's former position. Def.'s SMF ¶¶ 147-48. In this meeting, Ms. Hontz and Mr. Loines generally provided Mr. George with an orientation of his responsibilities. George Dep. at 86:2-5. Ms. Hontz also made clear to Mr. George that she wanted him to review the plaintiff's time and attendance, invoices, and travel vouchers because she did not "want Mr. Taylor to create the same personnel problems in his Area 5 that he did while he was the assistant director in Contract Assistance." Id. at 87:3-6, 91:13-16. Ms. Hontz specifically referenced the EEO complaints that had
Finally, in April 2010 (after the plaintiff filed the instant action), the plaintiff and Ms. Hontz "had an exchange" at a national SBA Government Contracting conference in Washington, D.C. See Def.'s Reply to Pl.'s Statement of Material Facts in Dispute ("Def.'s SMF Reply") ¶ 13, ECF No. 19-1; Pl.'s SMF at 12. During this "exchange," the plaintiff claims that when he was making a presentation in front of approximately 100 people, Ms. Hontz "suddenly stood up and shouted at [him] to sit down before he had completed his presentation." Pl.'s SMF at 12-13.
On May 21, 2009, the plaintiff filed a complaint with the Equal Employment Opportunity Commission ("EEOC").
After issuance of the Final Agency Decision, the plaintiff filed a complaint in this Court on June 25, 2010. Pending before the Court is the defendant's Motion for Summary Judgment, ECF No. 14.
Federal Rule of Civil Procedure 56 provides that summary judgment shall be granted "if the movant shows that there is no genuine dispute as to any material fact
In ruling on a motion for summary judgment, the Court must draw all justifiable inferences in favor of the nonmoving party and shall accept the nonmoving party's evidence as true. Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 255, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986); Estate of Parsons v. Palestinian Auth., 651 F.3d 118, 123 (D.C.Cir.2011). The Court is only required to consider the materials explicitly cited by the parties, but may on its own accord consider "other materials in the record." FED.R.CIV.P. 56(c)(3). For a factual dispute to be "genuine," the nonmoving party must establish more than "the mere existence of a scintilla of evidence" in support of its position, Liberty Lobby, 477 U.S. at 252, 106 S.Ct. 2505, and cannot simply rely on "mere allegations" or conclusory statements, see Veitch v. England, 471 F.3d 124, 134 (D.C.Cir.2006); Greene v. Dalton, 164 F.3d 671, 675 (D.C.Cir. 1999); Harding v. Gray, 9 F.3d 150, 154 (D.C.Cir.1993); accord FED.R.CIV.P. 56(e). Rather, the nonmoving party must present specific facts that would enable a reasonable jury to find in its favor. See, e.g., FED.R.CIV.P. 56(c)(1). If the evidence "is merely colorable, or is not significantly probative, summary judgment may be granted." Liberty Lobby, 477 U.S. at 249-50, 106 S.Ct. 2505 (citations omitted). "[A] complete failure of proof concerning an essential element of the nonmoving party's case necessarily renders all other facts immaterial." Celotex, 477 U.S. at 323, 106 S.Ct. 2548. In that situation, "[t]he moving party is `entitled to judgment as a matter of law' because the nonmoving party has failed to make a sufficient showing on an essential element of her case with respect to which she has the burden of proof." Id. "Self-serving testimony does not create genuine issues of material fact, especially where that very testimony suggests that corroborating evidence should be readily available." Fields v. Office of Johnson, 520 F.Supp.2d 101, 105 (D.D.C. 2007).
The plaintiff alleges in his single count of retaliation that the SBA "improperly subjected him to false evaluations," and "unjustified and abusive criticism of his performance," denied him the "conditions and terms of employment necessary to perform his position," all in violation of the retaliation provision of Title VII, 42 U.S.C. § 2000e-3(a). Compl. ¶¶ 22-23. More specifically, the plaintiff claims that the SBA or its agents subjected him to a punitive "fishing expedition," falsely lowered his performance evaluation in 2008, denied his requests to hire additional staff, denied his requests to travel within his region, denied his requests to telecommute on a fixed schedule, and humiliated him in front of his colleagues. See Pl.'s Opp'n at 10-13. The plaintiff claims that all of these actions were designed to punish him for engaging in protected activity, "to destroy his SBA career," and to "harass" him. Id. at 10, 14, 16-17.
The defendant has moved for summary judgment on the grounds that (i) the plaintiff failed to timely exhaust his telecommuting claim, (ii) none of the other alleged employment actions constitute "materially
At the outset, the Court must address one issue of scope. Although the only claim included in the plaintiff's Complaint is one for retaliation, the plaintiff also appears to raise a claim for a hostile work environment in his opposition brief by citing the legal standard for a hostile work environment claim, see Pl.'s Opp'n at 9-10 (citing, inter alia, Harris v. Forklift Sys., Inc., 510 U.S. 17, 21, 114 S.Ct. 367, 126 L.Ed.2d 295 (1993)), and, in the same section of his brief, characterizing the defendant's actions as "a full-scale attack on him personally" that involved "frequent, pervasive, intimidating, insulting, [and] humiliating" conduct, see id. at 10.
To the extent the plaintiff is arguing that he pleaded a hostile work environment claim in his Complaint, that argument is not supported by the face of his allegations. The Complaint was clearly captioned as one count of "Retaliation," and that single count even specifically cites the anti-retaliation provision of Title VII as the relevant law that was violated by the defendant's actions. See Compl. at 6-7 & ¶ 23. Furthermore, although the Complaint mentions in passing that the defendant "harassed" him and that certain actions were "abusive," "humiliat[ing]," and "embarrass[ing]," see id. ¶¶ 22, 25, the Complaint uses neither the word "hostile" nor the word "environment" to describe his claim. The latter word ("environment") is particularly important to describing a hostile work environment claim because, as the plaintiff himself points out, "a hostile work environment claim is different in kind from a claim involving discrete acts of retaliation" because a hostile work environment is an ongoing, ambient form of discrimination that is categorically distinct from discrete actions of discrimination, retaliatory or otherwise. See Pl.'s Opp'n at 10 (citing Vickers v. Powell, 493 F.3d 186, 198 (D.C.Cir.2007)); see also Nat'l R.R. Passenger Corp. v. Morgan, 536 U.S. 101, 115, 122 S.Ct. 2061, 153 L.Ed.2d 106 (2002) ("Hostile work environment claims are different in kind from discrete acts."); Draper v. Coeur Rochester, Inc., 147 F.3d 1104, 1108 n. 1 (9th Cir.1998) (noting that "a hostile work environment is ambient and persistent"). Therefore, even liberally construing the plaintiff's allegations, the Court concludes that the plaintiff has not pleaded a separate hostile work environment claim in his Complaint.
Furthermore, to the extent the plaintiff's references to a hostile work environment claim in his opposition to the defendant's motion for summary judgment reflect an effort to constructively amend his Complaint, that effort fails. In the main, a plaintiff is not permitted to raise new claims at the summary judgment stage, where those claims were not pleaded in the complaint. See Franks v. Salazar,
The defendant argues that, to the extent that the plaintiff's claim is premised on the denial of his request to telecommute on a fixed schedule, the plaintiff failed to exhaust his administrative remedies for that claim in a timely fashion. See Def.'s Mem. at 18-19. Indeed, any federal employee who believes that she has been the subject of unlawful discrimination "must `initiate contact' with an EEO Counselor in her agency `within 45 days of the date of the matter alleged to be discriminatory.'" Steele v. Schafer, 535 F.3d 689, 693 (D.C.Cir.2008) (quoting 29 C.F.R.
In this case, the plaintiff applied for the fixed telecommuting schedule on July 3, 2008, and Ms. Hontz effectively denied that request on July 9, 2008 by approving a different, ad hoc telecommuting schedule. See Def.'s SMF ¶ 57; Def.'s Mot. Summ J. Ex. P at 1574. Although the plaintiff was away on vacation at the time of this denial, Ms. Hontz informed the plaintiff, via e-mail on August 19, 2008, that an ad hoc telecommuting schedule had been approved. See Def.'s Mot. Summ. J. Ex. R. On August 20, 2008, the plaintiff responded by email to Ms. Hontz and wrote, "Thank you for the action on my request. I concur with your reasoning." Id. Thus, the plaintiff was clearly aware of this action no later than August 20, 2008, yet he did not initiate contact with an EEO counselor until March 23, 2009, over seven months later.
The plaintiff argues that, nevertheless, his claim as it relates to the telecommuting request is "properly before the Court" because (a) he raised the telecommuting denial in his May 21, 2009 EEOC complaint and (b) the defendant "never asserted any objection to litigating the issue." Pl.'s Opp'n at 3-5.
"Title VII's anti-retaliation provision makes it unlawful for an employer `to discriminate against [an] employee ... because he has opposed any practice' made unlawful by Title VII or `has made a charge, testified, assisted, or participated in' a Title VII proceeding." Steele, 535 F.3d at 695 (quoting 42 U.S.C. § 2000e-3(a)). The Court assesses Title VII retaliation claims under the burden-shifting framework set out in McDonnell Douglas Corp. v. Green, 411 U.S. 792, 802-03, 93 S.Ct. 1817, 36 L.Ed.2d 668 (1973). First, the plaintiff must prove a prima facie case of retaliation: "(1) he engaged in protected activity; (2) he was subjected to an adverse employment action; and (3) there was a causal link between the protected activity and the adverse action." Hamilton v. Geithner, 666 F.3d 1344, 1357 (D.C.Cir.2012) (internal quotation marks omitted). If the prima facie case is made, the "burden shifts to the defendant to prove that `the adverse employment actions were taken for a legitimate, nondiscriminatory reason.'" Youssef v. FBI, 687 F.3d 397, 402 (D.C.Cir.2012) (quoting St. Mary's Honor Ctr. v. Hicks, 509 U.S. 502, 507, 113 S.Ct. 2742, 125 L.Ed.2d 407 (1993)).
"[O]nce the employer asserts a legitimate, non-discriminatory reason," however, "the question whether the employee actually made out a prima facie case is `no longer relevant' and thus `disappear[s]' and `drops out of the picture.'" Brady v. Office of Sergeant at Arms, 520 F.3d 490, 493 (D.C.Cir.2008) (quoting St. Mary's Honor Ctr., 509 U.S. at 510, 113 S.Ct. 2742); see also U.S Postal Serv. Bd. of Governors v. Aikens, 460 U.S. 711, 715, 103 S.Ct. 1478, 75 L.Ed.2d 403 (1983) ("Where the defendant has done everything that would be required of him if the plaintiff had properly made out a prima facie case, whether the plaintiff really did so is no longer relevant."). Thus, where a defendant has asserted a legitimate, non-discriminatory reason for an adverse employment action, "the district court need not — and should not — decide whether the plaintiff actually made out a prima facie case." Brady, 520 F.3d at 494. In that situation, the sole remaining question becomes "`retaliation vel non' — whether, based on all the evidence, a reasonable jury could conclude that [the defendant's] proffered reason for the [adverse employment action] was pretext for retaliation." Pardo-Kronemann v. Donovan, 601 F.3d 599, 604 (D.C.Cir. 2010).
Nevertheless, even when a defendant has presented a legitimate, non-discriminatory reason for an employment action, the Court must still "analyze first whether the [action taken] was a sufficiently adverse action to support a claim under Title VII." Ginger v. District of Columbia, 527 F.3d 1340, 1343 (D.C.Cir.2008). In this sense, "the strength of plaintiff's prima facie case remains a relevant consideration," Kelly v. Mills, 677 F.Supp.2d 206, 221 (D.D.C.2010), and "the Court still first must determine whether plaintiff has suffered an adverse employment action not
Title VII's anti-retaliation provision "sweeps more broadly" than its substantive antidiscrimination provision. See Gaujacq v. EDF, Inc., 601 F.3d 565, 577 (D.C.Cir.2010); see also Baird, 662 F.3d at 1250 (noting that "the concept of adverse action is somewhat broader" in retaliation claims); Baloch v. Kempthorne, 550 F.3d 1191, 1198 n. 4 (D.C.Cir.2008) ("`Adverse actions' in the retaliation context encompass a broader sweep of actions than those in a pure discrimination claim."). "[T]he antiretaliation provision, unlike the substantive provision, is not limited to discriminatory actions that affect the terms and conditions of employment." Burlington N. & Santa Fe Ry. Co. v. White, 548 U.S. 53, 64, 126 S.Ct. 2405, 165 L.Ed.2d 345 (2006). This is because "[a]n employer can effectively retaliate against an employee by taking actions not directly related to his employment or by causing him harm outside the workplace." Id. at 63, 126 S.Ct. 2405. Instead, the antiretaliation provision "prohibits any employer action that `well might have dissuaded a reasonable worker from making or supporting a charge of discrimination.'" Thompson v. N. Am. Stainless, LP, ___ U.S. ___, 131 S.Ct. 863, 868, 178 L.Ed.2d 694 (2011) (quoting Burlington Northern, 548 U.S. at 68, 126 S.Ct. 2405).
In determining what qualifies as an adverse employment action under Title VII's antiretaliation provision, the Supreme Court has provided two important guiding principles that are at times in tension with one another. On the one hand, the Court has made clear that "[t]he antiretaliation provision protects an individual not from all retaliation, but from retaliation that produces an injury or harm." Burlington Northern, 548 U.S at 67, 126 S.Ct. 2405. In this vein, the Court has said that it "speak[s] of material adversity" because "it is important to separate significant from trivial harms." Id. at 68, 126 S.Ct. 2405. Thus, "petty slights, minor annoyances, and simple lack of good manners" cannot qualify as materially adverse actions. Id. The Court also has similarly emphasized that the standard of material adversity refers to "reactions of a reasonable employee" because "the provision's standard for judging harm must be objective" in order to "avoid[] the uncertainties and unfair discrepancies that can plague a judicial effort to determine a plaintiff's unusual subjective feelings." Id. at 68-69, 126 S.Ct. 2405. On the other hand, the Supreme Court has also said that "[g]iven the broad statutory text and the variety of workplace contexts in which retaliation may occur, Title VII's antiretaliation provision is simply not reducible to a comprehensive set of clear rules." Thompson, 131 S.Ct. at 868. Thus, the Court has "phrase[d] the standard in general terms because the significance of any given act of
The plaintiff first argues that Ms. Hontz's lowering of his 2008 performance evaluation from an "Extraordinary" to an "Exceeds Expectations" was an adverse employment action because it caused the plaintiff to lose the opportunity for a pay increase (i.e., a QSI). See Pl.'s Opp'n at 12. "Performance evaluations are likely to be interlocutory or mediate decisions having no immediate effect upon employment" and therefore "[t]he result of an evaluation is often speculative, making it difficult to remedy." Russell v. Principi, 257 F.3d 815, 818 (D.C.Cir.2001) (internal quotation marks omitted). To constitute a materially adverse action under the Burlington Northern standard, a performance evaluation must normally affect tangible job opportunities or benefits. See Taylor, 571 F.3d at 1321 ("In order for a performance evaluation to be materially adverse, it must affect the employee's `position, grade level, salary, or promotion opportunities.'" (quoting Baloch, 550 F.3d at 1199)); Weber v. Battista, 494 F.3d 179, 185 (D.C.Cir. 2007) (lower performance evaluations "do qualify as adverse actions insofar as they resulted in [the plaintiff] losing a financial award or an award of leave"). In particular, "performance reviews typically constitute adverse actions only when attached to financial harms." Baloch, 550 F.3d at 1199.
The defendant contends that the plaintiff's lowered rating in 2008 was not an adverse action because it was "not tied to any tangible negative consequences." Def.'s Mem. at 23 (internal quotation marks omitted). Thus, the relevant question becomes whether there was a sufficient causal nexus between the 2008 lowered performance evaluation and a tangible financial harm (or a genuine issue of fact regarding such a nexus), such that the evaluation constituted an adverse action. See, e.g., Taylor, 571 F.3d at 1321 (plaintiff must "show the evaluations were `attached to financial harms'" (quoting Baloch, 550 F.3d at 1199)). The plaintiff's only evidence to support his assertion that he "lost the opportunity for a[QSI] in 2008" is his own deposition testimony and his own interrogatory response. See Pl.'s SMF at 19. These sort of self-serving and otherwise unsupported assertions are typically not sufficient to create a genuine issue of material fact. See, e.g., Veitch, 471 F.3d at 134; Fields, 520 F.Supp.2d at 105.
The plaintiff also implicitly relies, however, upon the SBA's policies, which illuminate the potential connection between performance evaluations and QSIs. According to those policies, as discussed above, an "Outstanding" or "Excellent" performance evaluation (the highest possible rating) is but one of four events or conditions that must occur before an SBA employee may receive a QSI. See discussion supra pages 130-31. Yet, the plaintiff has presented no evidence regarding the other three requirements for a QSI: (1) being paid at less than the maximum step of his pay grade; (2) being recommended for a QSI by his rating official; and (3) being approved for a QSI by an approving official. See Small Bus. Admin. SOP 34 30 4, at 22-23.
In short, although the plaintiff says that he "expected" a QSI in 2008, Pl.'s Opp'n at 19, he has failed to put forth any evidence whatsoever that his subjective expectations were grounded in objective reality. It is certainly true that, without the "Outstanding" rating, the plaintiff was not eligible for a QSI, but the record is also devoid of evidence to support the notion that, had the plaintiff kept his "Outstanding" rating, he would have received a QSI. Weber, 494 F.3d at 185 (performance evaluations are adverse actions when they have a "causal relationship" to tangible financial harm); see also Bridgeforth v. Salazar, 831 F.Supp.2d 132, 143 (D.D.C.2011) (holding that "failure to award or commend plaintiff for his job performance to his own satisfaction" was not materially adverse where "[m]ere eligibility to be nominated for discretionary time off and monetary awards did not entitle plaintiff to such benefits as a matter of course"), aff'd, No. 12-5015, 2012 WL 2371601 (D.C.Cir. June 15, 2012).
The plaintiff next contends that, as a result of the denials of his travel and hiring requests, he was "crippled in his ability to obtain from SBA necessary resources and other requirements to perform his duties." See Pl.'s Opp'n at 12. In particular, the plaintiff argues that the following constituted materially adverse employment actions: (1) "repeated denied requests to increase [the plaintiff's] staff positions," (2) "denying Ms. Lewis's desk audit," (3) and "denying [the plaintiff] the right [to] travel to his satellite offices." Id. at 11. The defendant does not contest that any of these events took place but rather argues that none of them amounts to a materially adverse action. See Def.'s Mem. at 21-22.
Heeding the Supreme Court's instruction, the Court will consider the particular context of the plaintiff's situation in order to determine whether any of these actions "might have dissuaded a reasonable worker from making or supporting a charge of discrimination." Burlington Northern, 548 U.S. at 68, 126 S.Ct. 2405 (internal quotation marks omitted). The plaintiff is a manager in a division of the government that had been slowly but surely shrinking in size for several years prior to the plaintiff assuming his current position. The plaintiff's predecessor, Noel Martin, testified that noticeable budget constraints began taking effect in Area 5 as early as 1998, and as a result his staff began to diminish in size, he was unable to hire an administrative assistant, and less money became available for things like travel. See Def.'s Mot. Summ. J. Ex. M. at 32:1-4, 36:14-38:12, 39:10-24. Interestingly, Mr. Martin testified that the plaintiff himself denied several requests by Mr. Martin to hire additional staff, for budgetary reasons, while he was Mr. Martin's supervisor. See id. at 37:11-38:12. Other Area Directors also testified that their requests for hiring staff and travel were routinely, though not categorically, denied for budgetary reasons during the relevant time period. See Def.'s Mot. Summ. J. Ex. JJ at 58:1-59:14; id. Ex. Q at 87:6-17, 88:24-89:18, 90:23-91:09, 94:4-95:6. Finally, the plaintiff himself admitted that the reduction in staffing was due to budget constraints and that he was aware that budget constraints were always relevant with respect to travel requests. See Taylor Dep. at 55:23-56:8, 131:23-132:9, 133:4-21, 135:15-136:6. Thus, the undisputed evidence demonstrates that budget constraints commonly resulted in denials of requests for resources like staff and travel at the SBA.
The plaintiff also argues that, as a result of being denied additional staff, he was "forced to work [1,496.25] hours in excess [of] normal hours required for other area directors for Government Contracting field
The D.C. Circuit has acknowledged that, in certain factual circumstances, "[a] reasonable employee might well be dissuaded from filing an EEO complaint if she thought her employer would retaliate by burying her in work." Mogenhan v. Napolitano, 613 F.3d 1162, 1166 (D.C.Cir.2010) (finding adverse employment action where supervisor "increased [the plaintiff's] workload to five to six times that of other employees"). Yet, whether an increased workload can qualify as an adverse employment action must always depend upon the particular factual circumstances of the workplace at issue. Indeed, "increased workloads and scarce resources are to be expected in any workplace," and therefore "[t]he denial of requests for additional support cannot be the basis for a retaliation claim" where a workplace is generally strapped for resources. Rattigan v. Gonzales, 503 F.Supp.2d 56, 76-77 (D.D.C.2007); see also Ndondji v. InterPark Inc., 768 F.Supp.2d 263, 282 (D.D.C.2011) (finding no adverse action where employee claimed "that he was deprived of a reasonable number of [supporting staff] compared to other employees and that he was over-worked"); Brodetski v. Duffey, 141 F.Supp.2d 35, 45 (D.D.C. 2001) ("It is not out of the ordinary for employees to have been expected to shoulder an extra load on occasion over a two-year span, or to have been asked to step in if there were unexpected staff shortages.").
In the particular circumstances of this case, the Court finds that the undisputed evidence cannot establish an adverse employment action with respect to the denials of hiring and travel requests. The record demonstrates that, due to budget constraints, denials like the ones complained of by the plaintiff were commonplace at the SBA, and in fact the plaintiff himself denied many similar requests while serving as the Assistant Director for Contract Assistance. Holding that such denials "might have dissuaded a reasonable [SBA] worker from making or supporting a charge of discrimination" would "give every overworked [SBA] employee in an understaffed office fodder for a Title VII claim." Rattigan, 503 F.Supp.2d at 76. Hence, in the context of the plaintiff's employment, the cited denials of hiring and travel requests were "minor annoyances that often take place at work and that all [SBA] employees experience[d]," and therefore they cannot provide the basis for the plaintiff's retaliation claim. See Burlington
Even if denying the plaintiff's requests for staffing and travel could be considered adverse employment actions, those actions would still not constitute retaliation vel non under the circumstances presented here. The plaintiff has presented no evidence that would rebut the defendant's legitimate, non-discriminatory reasons for denying these requests. The defendant has offered copious evidentiary support for its argument that the plaintiff's requests for travel and additional staffing were denied for budgetary reasons. See, e.g., Def.'s Mot. Summ. J. Ex. A at 110:13-22; id. Ex. Q at 87:6-17, 98:16-21; id. Ex. T; id. Ex. JJ at 55:8-59:14. In response, the plaintiff points to two pieces of evidence. First, he points to a single line in Ms. Hontz's written comments accompanying the plaintiff's 2008 performance evaluation that said, "[the plaintiff's] actions with employees led to EEO complaints filed against upper management." Id. Ex. FF at 2. Second, he points to the deposition testimony of Charles George, in which he stated that Ms. Hontz told him about the EEO complaints filed by Ms. McClam and Ms. Butler and that, "`Those two EEOs down there were caused by Mr. Taylor.'" See George Dep. at 19:7-20:5.
This evidence, however, is insufficient to establish retaliation vel non for a number of reasons. First, these comments by Ms. Hontz do not criticize the plaintiff for supporting or participating in protected EEO activity, but rather they criticize him for causing the EEO complaints in the first place by "seek[ing] accretion-of-duties promotions for Ms. Butler and Ms. McClam which were not supported by the Office of Human Capital Management." Def.'s Reply at 12. In other words, Ms. Hontz's comments were critical of the plaintiff's actions as a manager, not of his support for the EEO process. Second, this evidence fails to create a genuine issue of fact regarding whether Ms. Hontz had a retaliatory motive because Ms. Hontz was not implicated in either of the EEO complaints that the plaintiff supported, and thus she would have no apparent reason to retaliate against the plaintiff for supporting the EEO complaints. See, e.g., Vickers, 493 F.3d at 195-96 (no retaliation where supervisor who fired the plaintiff did not "participate in any of the alleged incidents that ma[d]e up [the plaintiff's] hostile work environment claim"); Short v. Chertoff, 555 F.Supp.2d 166, 174 (D.D.C.2008) (holding that plaintiff failed to rebut non-discriminatory reason where plaintiff's evidence "show[ed] awareness [of protected activity] but not involvement or motive"). The only retaliatory motive proffered by the plaintiff is the uncorroborated assertion that Ms. Hontz and Ms. Ott (the manager implicated in the EEO complaints) were friends. See Taylor Dep. at 63:6-11. Finally, the plaintiff's evidence does not create a genuine issue of fact about whether the defendant's stated reasons for denying the plaintiff's requests for staffing and travel (i.e., budget constraints) were false or whether other, similarly situated employees were treated more favorably than the plaintiff. See, e.g., Brady, 520 F.3d at 495.
The plaintiff argues that Ms. Hontz requested information from him, although not from other Area Directors; criticized his performance; and caused "damage to [the plaintiff's] reputation, humiliation, and embarrassment" due to an incident that occurred at an SBA conference. See Pl.'s Opp'n at 10-12. There are no genuine disputes of material fact regarding the nature of these actions, and none of them rises to the level of an adverse
First, the requests for information from the plaintiff are clearly not adverse employment actions. Even if Ms. Hontz did not request such information from other Area Directors, requests for business records that are reasonably related to evaluating and critiquing an employee's job performance, and which are not unduly burdensome or harassing, do not constitute adverse employment actions. See, e.g., Kline v. Springer, 602 F.Supp.2d 234, 242 (D.D.C.2009) (audit of plaintiff's time records not adverse employment action); cf. Gard v. U.S. Dep't of Educ., 752 F.Supp.2d 30, 37 (D.D.C.2010) (requests for current medical information are not adverse actions), aff'd, No. 11-5020, 2011 WL 2148585 (D.C.Cir. May 25, 2011). The plaintiff has offered no evidence that would allow a reasonable factfinder to conclude that Ms. Hontz's requests for certain documents on a single occasion had any effect on the plaintiff that might dissuade a reasonable employee from making or supporting a charge of discrimination.
The criticism of the plaintiff's job performance itself, delivered by Mr. Loines and Mr. George in the February 4, 2009 conference call, also does not qualify as an adverse employment action.
Finally, the incident at the SBA conference also does not constitute an adverse
One last argument made by the plaintiff also deserves a final point of discussion. The plaintiff argues that "[w]here, as here, there is a continuous pattern of retaliatory conduct, the conduct must be evaluated as a whole." Pl.'s Opp'n at 13. He goes on to argue that his retaliation claim is not necessarily premised upon any one discrete incident, but rather "[i]t is all the circumstances surrounding the interim assessment, the two day fishing expedition followed by the assertion of fabricated deficiencies which were objectively baseless, which meet the Burlington standard." Id. at 14.
The plaintiff is correct that a handful of cases from within this Circuit have recognized that "a series of independent actions taken together, none of which would be considered an adverse employment action alone, can constitute an adverse employment action" in totality. Turner v. Shinseki, 824 F.Supp.2d 99, 114-15 (D.D.C. 2011); see also Dorns v. Geithner, 692 F.Supp.2d 119, 134 (D.D.C.2010); Baloch v. Norton, 517 F.Supp.2d 345, 362-63 (D.D.C.2007). None of these cases, however, has actually recognized a situation where a series of non-adverse employment actions qualified as an adverse employment action when aggregated. In fact, the court in Norton recognized that there are "a number of difficulties" in proving what that court termed an "incidents-collectively-viewed retaliation claim." Norton, 517 F.Supp.2d at 362. First, it is often difficult to distinguish between such an "incidents-collectively-viewed retaliation claim" and a hostile work environment claim. See discussion supra pages 137-39. The Norton court also held that the plaintiff had not explained "how viewing the incident collectively establishes any element of retaliation to greater effect than viewing them separately." Norton, 517 F.Supp.2d at 362. In other words, the court was unable to "discern a collective retaliation claim greater than the sum of its parts," id. at 363, and the Court is presented with the same shortcoming in the instant case.
The plaintiff vaguely explains that the discrete employment actions discussed above collectively constitute an adverse employment action because they were "a full scale attack on [the plaintiff] personally and designed to destroy his SBA career" and that, as a result, "he has had difficulty sleeping at night and worried constantly about his career and future with SBA." Pl.'s Opp'n at 10; Pl.'s SMF at 19-20. Notably, however, the plaintiff has presented no evidence that would raise an objective factual question about whether the defendant's collective actions could
For the reasons stated above, the plaintiff's Request for Hearing, ECF No. 20, and Motion to Strike Defendant's Reply Brief and Statement of Material Facts in Dispute, ECF No. 22, are DENIED, and the defendant's Motion for Summary Judgment, ECF No. 14, is GRANTED. An appropriate Order shall accompany this Memorandum Opinion.
On March 7, 2012, the plaintiff also filed a Motion to Strike the Defendant's Reply, see ECF No. 22, citing the reply brief's failure to adhere to the 25-page limit for reply memoranda of law under Local Civil Rule 7(e) because the defendant attached a 14-page exhibit, ECF No. 19-1, to its 21-page memorandum of law, ECF No. 19. The page limitation in Local Civil Rule 7(e) clearly refers to the "memorandum" of law and does not encompass attached exhibits. It is for this precise reason that the plaintiff did not run afoul of the 45-page limit in LCvR 7(e) when he filed his opposition to the defendant's motion for summary judgment by filing both a 24-page memorandum of law and over 300 pages of attached exhibits. See ECF Nos. 17, 17-2 to 17-29. Accordingly, because the defendant's submission of a "Reply to the Plaintiff's Statement of Material Facts in Dispute" as an exhibit to the reply memorandum of law did not count toward the 25-page limit under LCvR 7(e), the Court will also deny the plaintiff's motion to strike.