MARGO K. BRODIE, District Judge:
Plaintiff Loredana Ingenito brings the above-captioned action against Defendants Riri USA, Inc. ("Riri USA"), Benjamin Howell, II, Riri SA and Riri Group, alleging violations of Title VII of the Civil Rights Act of 1964 ("Title VII"), as amended by the Pregnancy Act of 1978 ("PDA"), and the New York State Human Rights Law ("NYSHRL"). Riri SA and Riri Group (collectively, "Movants") moved to dismiss Plaintiff's claims pursuant to Rules 12(b)(2) and (6) of the Federal Rules of Civil Procedure.
Plaintiff brought the above-captioned action against Riri USA and Benjamin Howell, II, in the Supreme Court of the State of New York, County of Queens. Defendants removed the action to this Court on
On April 18, 2013, Plaintiff submitted her Revised
The Court assumes familiarity with the parties and background to this case, which is set forth in greater detail in its February 27, 2013 Memorandum and Order. Ingenito v. Riri USA, Inc., No. 11-CV-2569, 2013 WL 752201 (E.D.N.Y. Feb. 27, 2013). The facts necessary to decide the motions before the Court are outlined below.
According to Defendants, "Riri Group" is not a legal entity, but rather is an
Plaintiff alleges that Howell is an employee and agent of Riri Group. (Second Am. Compl. ("SAC") ¶ 5, 8.) Because of this relationship, Plaintiff alleges that Riri Group is liable to Plaintiff for any discriminatory practices of its supervisors, managers, officers, employees or agents. (SAC ¶ 50.)
Riri SA is a Swiss corporation, with its principal place of business in Switzerland, that manufactures and distributes zippers, buttons, fasteners, and snaps internationally. (Moretta Decl. ¶ 4). Riri SA has several affiliate corporations, and is the parent corporation of Riri USA. (Cerni Aff. ¶ 3; Moretta Decl. ¶ 6.) Riri SA is the sole stockholder of Riri USA and maintains control over Riri USA's board of directors and executive personnel. (SAC ¶¶ 11, 22.) Riri SA does not directly solicit business in the United States, but instead acts through Riri USA as a sales and distribution representative. (Moretta Decl. ¶¶ 6, 17.) All Riri-affiliated product sales in the United States are made by and through Riri USA. (Moretta Decl. ¶ 21.) Riri SA does not own or lease any property in New York. (Moretta Decl. ¶ 11.) It does not own any assets located in New York. (Moretta Decl. ¶ 12.) During the time Plaintiff was employed with Riri USA, Riri SA's executive officers included Chief Executive Officer ("CEO") Andrea Cerni, (Cerni Aff. ¶ 1; SAC ¶ 28), and now Chief Financial Officer ("CFO") Andrea Moretta, (Moretta Decl. ¶ 1).
Plaintiff contends that Howell is an employee of Riri SA. (SAC ¶ 4.) On a website maintained by Movants, Howell is listed as an agent of "Riri Group." (SAC ¶ 26.) Movants also post on their website that "Riri Group" maintains an office in New York, New York. (SAC ¶ 26.) Riri SA contends that it does not have any "individuals on the payroll" in the United States, or any employees in New York. (Cerni Aff. ¶ 5; Moretta Aff. ¶ 10.)
Riri USA is a Delaware corporation with its primary place of business in New York. (Howell Aff. ¶ 2; Moretta Decl. ¶ 6.) Riri USA sells zippers, snaps, buttons and rivets to high-end clothing manufacturers. (Moretta Decl. ¶¶ 4, 6.) Riri USA is a wholly-owned subsidiary of Riri SA and is part of "Riri Group." (Howell Aff. ¶ 3.) Riri USA "was formed to act as Riri SA's sales and distribution representative in the United States, as Riri SA does not directly solicit business in the United States." (Moretta Decl. ¶ 6.) Riri SA and Riri USA file separate tax returns, keep separate books and records, and maintain separate bank accounts. (Moretta Decl. ¶¶ 15, 18-19.) Over at least the past fourteen years, Riri SA has not loaned Riri USA money or extended it credit. (Moretta Decl. ¶ 20.) Andrea Moretta, the CFO of Riri SA, is a member of the Board of Directors of Riri USA. (Moretta Decl. ¶ 1.) Riri SA's Board of Directors holds meetings separate and apart from the regular meetings held by Riri USA's Board of Directors. (Moretta Decl. ¶ 23.)
At the time of Plaintiff's termination, Riri USA had three offices: one in New York with five employees, one in Los Angeles
Orders and sales of merchandise made by employees of Riri USA are reported to Riri SA, and Riri SA keeps the related sales documents and records. (SAC ¶ 32.) Riri SA generates and maintains, in Switzerland, all sales documents for Riri USA. (Dep. of Lawrence Benjamin Howell II, dated Feb. 16, 2012 ("Howell Dep."), annexed to Pl. Opp'n as Ex. 4, at 64:3-16.) Riri SA sends Riri USA the documents periodically, which allows Riri USA to sort the sales documents by salesperson, client, or customer. (Howell Dep. 64:11-24.) Sales information is maintained in Swiss Francs. (Howell Dep. 68:2-24.) According to Howell, Riri USA maintains all of its records in Swiss Francs, because "[w]e're a Swiss company." (Howell Dep. 70:8-14.)
Riri USA has control over the decision to make sales in the United States and to extend credit to customers in the United States. (Moretta Decl. ¶ 21.) When Riri USA makes a sale or receives an order for product, Riri USA enters into purchase orders or agreements with customers in the United States. (Moretta Decl. ¶ 24.) Riri USA then enters the record of the sale into the Riri electronic system, which is a "big mainframe system" maintained in Switzerland by Riri SA. (Howell Dep. 64:3-7, 72:11-13.) For each sale, the computer system has a set price list for each individual account, which is how the cost of each product — which may vary based on factors like zipper length and finish — is determined. (Howell Dep. 74:17-25.) Once a sale is recorded, the system generates an electronic confirmation for the client and the salesperson. (Howell Dep. 72:12-15.) The goods are shipped, and the system generates an invoice. (Howell Dep. 72:15-17.) Once an invoice is generated, the sale is booked in the system. (Howell Dep. 72:18-20.) "[T]his is how Switzerland pays their taxes and does all the things that they do." (Howell Dep. 72:20-22.) While clients of Riri USA are billed in dollars, the reports of the sales are maintained in Swiss Francs. (Howell Dep. 73:12-16.) Riri SA compiles the sales report file on a monthly basis and sends it to Howell at Riri USA. (Howell Dep. 71:4-72:5.) Riri USA is able to extract from that report information related solely to its sales in the United States, and can sort the data by each sales agent or salesperson. (Howell Dep. 71:4-72:5.)
Howell is Riri USA's CEO. (SAC ¶ 35; Howell Aff. ¶ 1; Moretta Decl. ¶ 8.) He has held the position since he began working at the company eleven years ago. (Howell Aff. ¶ 1.) Howell has the authority to hire, fire, promote, transfer, discipline, and otherwise oversee the work activities of Plaintiff. (SAC ¶ 37.) As CEO of Riri USA, Howell is in charge of projections for profit and loss of the company, in charge of the employees, does some selling and some administrative work, and is the "liaison with the home office which is in Switzerland, the headquarters." (Howell Dep. 6:20-7:3.) According to Movants, Howell is not authorized to act individually as Riri SA's agent. (Moretta Decl. ¶ 8.)
Plaintiff alleges Movants are responsible for hiring and training Riri USA's personnel, and that Movants make policy determinations, prepare marketing and sales materials, and set prices for Riri USA. (SAC ¶¶ 25, 27.) Movants contend that Riri USA has the authority to hire or fire its own employees. (Moretta Decl. ¶ 7.)
Plaintiff worked for Riri USA from approximately August 4, 2004 until January
In 2008 and 2009, Movants claims to have experienced "a dramatic drop in sales and revenue." (Cerni Aff. ¶ 7; Howell Aff. ¶ 9.) According to Movants, sales fell by approximately thirty-five percent both at Riri SA and at Riri USA. (Howell Aff. ¶ 9.) Movants closed a factory and laid off approximately nineteen percent of its workforce. (Cerni Aff. ¶ 8; Howell Aff. ¶ 9). In September 2009, during "Riri Group's annual worldwide sales meeting" in Switzerland, Cerni informed Howell that Riri USA would "share in the pain" of the decline in business, and instructed Howell to lay off at least one Riri USA employee. (Howell Aff. ¶¶ 10-11; Cerni Aff. ¶¶ 9-10.) Howell protested, indicating that Riri USA "could not afford to lose anyone." (Howell Aff. ¶ 13.) Cerni agreed to delay a lay off. (Howell Aff. ¶ 14.) Cerni and Howell discussed Riri USA's employees and agreed that Plaintiff was the "weakest link," and thus any lay off would result in Plaintiff's termination. (Howell Aff. ¶ 14; Cerni Aff. ¶ 11.) Howell contends that this decision was based on a decline in Plaintiff's sales figures. (Howell Aff. ¶ 16.) Cerni contends that Plaintiff was "less needed than other employees." (Cerni Aff. ¶ 11.) Defendants allege that on November 30, 2009, Cerni telephoned Howell and instructed him to terminate Plaintiff's employment. (Howell Aff. ¶ 20; Cerni Aff. ¶ 12.) Howell "asked and received permission" from Cerni to wait until January 2010 to communicate the termination decision to Plaintiff. (Howell Aff. ¶ 21; Cerni Aff. ¶ 13.)
On or about December 3, 2009, Plaintiff alleges that she informed Howell that she was pregnant. (SAC ¶ 40.) Howell contends that he communicated that information to Cerni sometime between the day Plaintiff informed him she was pregnant and December 16, 2009. (Cerni Aff. ¶ 14; Howell Aff. ¶¶ 22-23.) On January 13, 2010, Howell informed Plaintiff that she was being terminated. (SAC ¶¶ 41-43; Howell Aff. ¶ 27.) Plaintiff alleges that Mark Teel, Vice President of Sales for Riri USA, was present during this conversation with Howell. (SAC ¶ 44.) According to Plaintiff, Howell told her she was being terminated due to her pregnancy and because she wanted to start a family, (SAC ¶ 43), and Andrea Cerni directed Howell to terminate Plaintiff's employment, (SAC ¶ 30). As a result of the termination, Plaintiff alleges that she has been unable to work, has lost wages, and has sustained mental distress and other damages. (SAC ¶ 51.)
Plaintiff filed a charge of discrimination with the Federal Equal Employment Opportunity Commission ("EEOC") within 300 days of her termination. (SAC ¶ 58.) On or about October 21, 2010, the EEOC issued Plaintiff a "Right to Sue" letter. (SAC ¶ 60.) The instant action was commenced within 90 days of Plaintiffs' receipt of the Right to Sue letter. (SAC ¶ 61.)
On a motion to dismiss for lack of personal jurisdiction pursuant to Rule 12(b)(2) of the Federal Rules of Civil Procedure,
In resolving a motion to dismiss for lack of personal jurisdiction pursuant to Rule 12(b)(2), a district court may consider materials outside the pleadings. Dorchester Fin. Sec., 722 F.3d at 86 (citing S. New Eng. Tel. Co. v. Global NAPs Inc., 624 F.3d 123, 138 (2d Cir.2010)); see also UTC Fire & Sec. Ams. Corp., Inc. v. NCS Power, Inc., 844 F.Supp.2d 366, 370 (S.D.N.Y.2012) ("In deciding a motion to dismiss for lack of personal jurisdiction, the court has discretion to proceed either upon written submissions or through a full evidentiary hearing on the merits, but, without a hearing or jurisdictional discovery, the pleadings and affidavits are construed, and any ambiguity is resolved, in favor of the plaintiff." (internal quotation marks and citation omitted)); see also In re Terrorist Attacks on September 11,
In a federal-question case such as this, determining personal jurisdiction over a foreign defendant requires a two-step inquiry. Licci ex rel. Licci v. Lebanese Canadian Bank, SAL (Licci IV), 732 F.3d 161, 168 (2d Cir.2013). First, the Court must look to the law of the forum state to determine if personal jurisdiction will lie under the laws of that state. Id. (citing Best Van Lines, Inc. v. Walker, 490 F.3d 239, 242 (2d Cir.2007)). Here, the Court looks to New York State's long-arm statute to determine whether the exercise of jurisdiction would be appropriate pursuant to state law. Next, the Court must determine whether the exercise of personal jurisdiction over the defendant would comport with the Due Process Clause of the United States Constitution. Id. (citing Best Van Lines, 490 F.3d at 242 and Int'l Shoe Co. v. Washington, 326 U.S. 310, 316, 66 S.Ct. 154, 90 L.Ed. 95 (1945)).
In reviewing a motion to dismiss under Rule 12(b)(6) of the Federal Rules of Civil Procedure, a court "must take all of the factual allegations in the complaint as true." Pension Ben. Guar. Corp. ex rel. St. Vincent Catholic Med. Centers Ret. Plan v. Morgan Stanley Inv. Mgmt. Inc., 712 F.3d 705, 717 (2d Cir.2013) (quoting Ashcroft v. Iqbal, 556 U.S. 662, 678, 129 S.Ct. 1937, 173 L.Ed.2d 868 (2009)); see also Lundy v. Catholic Health Sys. of Long Island Inc., 711 F.3d 106, 113 (2d Cir.2013) (quoting Holmes v. Grubman, 568 F.3d 329, 335 (2d Cir.2009)); Matson v. Bd. of Educ., 631 F.3d 57, 63 (2d Cir. 2011) (quoting Connecticut v. Am. Elec. Power Co., 582 F.3d 309, 320 (2d Cir. 2009)). A complaint
Movants argue that Riri Group is not a legal entity and is merely a "colloquial term used to describe the various products manufactured and sold by Riri SA and its affiliates." (Def. Mem. 4.) Plaintiff argues that Howell has been designated as, and acts as, Riri Group's "agent" in the United States. (Pl. Opp'n Mem. 5-6.) The evidence before the Court shows that Riri Group is not a legal entity, and that the term "Riri Group" is a mere trade name. (Moretta Decl. ¶ 5.) Even assuming Riri Group did exist as a separate entity, Plaintiff has alleged no facts that would support a finding of jurisdiction over Riri Group.
Under New York law, a Court may exercise general jurisdiction, relating to any cause of action, over a foreign defendant who is "doing business" in New York "with a fair measure of permanence and continuity." Sonera Holding B.V. v. Çukurova Holding A.S., 750 F.3d 221, 225 n. 2 (2d Cir.) (quoting Tauza v. Susquehanna Coal Co., 220 N.Y. 259, 267, 115 N.E. 915 (1917)), cert. denied, ___ U.S. ___, 134 S.Ct. 2888, 189 L.Ed.2d 837 (2014). Movants argue that Riri SA lacks the "continuous and systematic" course of business in New York State to satisfy the requirements of New York's Civil Practice Law and Rules ("CPLR") section 301 to confer general jurisdiction. (Def. Mem. 9.) Plaintiff argues that Riri SA maintains a "presence" in New York State through their wholly-owned subsidiary, Riri USA, and through Howell. (Pl. Opp'n Mem. 4.) Plaintiff argues that jurisdiction is proper because Riri USA is an "agent" or "mere department" of Riri SA, its foreign parent. (Pl. Opp'n Mem. 6, 9.)
The Court declines to determine whether section 301 is applicable to these
Under New York law, a court may also exercise jurisdiction over a foreign defendant "as to a cause of action arising from" certain acts, as enumerated in its "long-arm" statute. See N.Y. C.P.L.R. § 302. Movants argue that specific jurisdiction is inappropriate under New York's long-arm statute because Riri SA's forum-related contacts do not give rise to this dispute. (Def. Mem. 10.) Movants argue that (1) Plaintiff does not allege that Movants committed any tortious act, making section 301(a)(2) and (a)(3) inapplicable to the instant action;
The New York long-arm statute provides in relevant part that:
N.Y. C.P.L.R. § 302(a)(1). The statute has two prongs: (1) the defendant must "transact [] business" within the state, either itself or through an agent, and (2) the cause of action must "arise from" that business activity. Licci IV, 732 F.3d at 168; Best Van Lines, 490 F.3d at 246-47; Moore v. Publicis Groupe SA, No. 11-CV-1279, 2012 WL 6082454, at *7-8 (S.D.N.Y. 2012) (citing Solé Resort, S.A. de C.V. v. Allure Resorts Mgmt., LLC, 450 F.3d 100, 103 (2d Cir.2006)) (finding that plaintiff presented sufficient evidence to support exercise of jurisdiction, pursuant to N.Y. C.P.L.R. § 302(a)(1), over foreign parent corporation of plaintiff's direct employer in employment discrimination action). Under New York state law, the fact that a defendant was not physically present in the state is not dispositive, "so long as the defendant's activities here were purposeful and there is a substantial relationship between the transaction and the claim asserted." Fischbarg v. Doucet, 9 N.Y.3d 375, 380, 849 N.Y.S.2d 501, 880 N.E.2d 22 (2007) (quoting Deustche Bank Sec., Inc. v. Mont. Bd. of Invs., 7 N.Y.3d 65, 71, 818 N.Y.S.2d 164, 850 N.E.2d 1140 (2006)) (internal quotation marks omitted); see also Licci II, 673 F.3d at 61 ("A defendant need not physically enter New York State in order to transact business, "so long as the defendant's activities here were purposeful."" (quoting Fischbarg, 9 N.Y.3d at 380, 849 N.Y.S.2d 501, 880 N.E.2d 22)); C. Mahendra (N.Y.) LLC v. Nat. Gold & Diamond Ctr., Inc., 125 A.D.3d 454, 3 N.Y.S.3d 27, 457, 2015 WL 520715, at *2 (2015) ("The statute applies where the defendant's New York activities were purposeful and substantially related to the claim." (citations omitted)).
In determining whether a defendant is purposefully transacting business in the state, the court must look at "the quality of the defendant['s] New York contacts." Fischbarg, 9 N.Y.3d at 381, 849 N.Y.S.2d 501, 880 N.E.2d 22; Best Van Lines, 490 F.3d at 246 ("Courts look to the totality of the defendant's activities within the forum to determine whether a defendant has transacted business in such a way that it constitutes purposeful activity satisfying the first part of the test." (internal quotation marks, citations and alterations omitted)); see also Licci IV, 732 F.3d at 168 ("[W]hether a defendant has purposefully availed itself of the New York forum is a fact-intensive inquiry inasmuch as it requires the trial court ... `to closely examine the defendant's contacts for their quality.'" (quoting Licci v. Lebanese Canadian Bank (Licci III), 20 N.Y.3d 327, 338, 960 N.Y.S.2d 695, 984 N.E.2d 893 (2012))); Licci II, 673 F.3d at 62 (noting that a single act or "an ongoing course of conduct or relationship in the state may" suffice to establish jurisdiction); C. Mahendra, 3 N.Y.S.3d at 458, 2015 WL 520715, at *3 ("[T]he `quality of defendant's contacts' is the primary consideration in deciding the question of long-arm jurisdiction." (quoting Fischbarg, 9 N.Y.3d at 380-81, 849 N.Y.S.2d 501, 880 N.E.2d 22)). A plaintiff attempting to establish personal jurisdiction over a defendant who has never been present in the state and only acted through subsidiaries or agents need only show that the subsidiary "engaged in purposeful activities in this State," that those activities were "for the benefit of and with the knowledge and consent of" the defendant, and that the defendant "exercised some control over" the subsidiary in the matter that is the subject of the lawsuit. Kreutter v. McFadden Oil Corp., 71 N.Y.2d 460, 467, 527 N.Y.S.2d 195, 522 N.E.2d 40 (1988); see also CutCo Indus., Inc. v. Naughton,
The "arising from" prong of section 302(a)(1) does not require a causal link, but rather requires "a relatedness between the transaction and the legal claim such that the latter is not completely unmoored from the former...." Licci IV, 732 F.3d at 168 (quoting Licci III, 20 N.Y.3d at 339, 960 N.Y.S.2d 695, 984 N.E.2d 893); see also Moore, 2012 WL 6082454, at *8 ("[The p]laintiff's claim for discriminatory pay and hiring arose directly from [the parent corporation's] hiring and salary freeze and exceptions thereto, such that [the parent corporation] had `fair warning ... of the possibility of being haled into court.'" (alterations in original) (quoting Avecmedia, Inc. v. Gottschalk, No. 03-CV-7831, 2004 WL 1586411, at *4 (S.D.N.Y. Jul. 14, 2004))).
Riri SA has transacted business in New York through its wholly-owned subsidiary Riri USA, which was "formed to act as Riri SA's sales and distribution representative in the United States." (Moretta Decl. ¶ 6.) Riri USA's sales and distribution in New York are for the benefit of Riri SA, and are done with the ongoing knowledge of, and at least to some extent at the direction of, Riri SA. (See Moretta Decl. ¶¶ 6, 21; Howell Aff. ¶¶ 9-11, 14; Howell Dep. 69:20-70:10.) Cf. Kreutter, 71 N.Y.2d at 467, 527 N.Y.S.2d 195, 522 N.E.2d 40 (To establish an "agency" relationship for the purposes of the long-arm statute, "[plaintiff] need only convince the court that [the subsidiary] engaged in purposeful activities in this State in relation to his transaction for the benefit of and with the knowledge and consent of the [out-of-state] defendants and that they exercised some control over [the subsidiary] in the
Furthermore, this cause of action "arises from" Riri SA's transaction of business through Riri USA. By all accounts, Cerni, then-CEO of Riri SA, directed Howell to terminate Plaintiff's employment. (SAC ¶ 30; Cerni Aff. ¶¶ 9-13; Howell Aff. ¶¶ 20-21.) Plaintiff argues that this was due to her pregnancy and decision to start a family. (SAC ¶ 43.) Defendants argue that this was due to an economic downturn and Riri SA's decision that Riri USA had to "share in the pain" of the downturn. (Howell Aff. ¶¶ 10-11; Cerni Aff. ¶¶ 9-10.) Both accounts of Plaintiff's termination show that Riri SA had at least some control over Riri USA and Howell in the decision to terminate Plaintiff, which decision gives rise to the instant action. Riri SA reached into New York to direct Plaintiff's termination, and Riri SA thus should have had fair warning of the possibility of being haled into court in New York. Moore, 2012 WL 6082454, at *9-10.
Plaintiff has made a prima facie case, supported by facts in the record, sufficient to establish that the exercise of specific personal jurisdiction over Riri SA would be appropriate.
Movants argue that the exercise of personal jurisdiction over Riri SA offends due process, because Riri SA does not have sufficient minimum contacts with New York. (Def. Mem. 18.) Movants argue that Riri SA's "actions and organizational structure signify a clear intent
"Due process considerations require that the defendant `have certain minimum contacts [with the forum state] such that the maintenance of the suit does not offend traditional notions of fair play and substantial justice.'" Licci IV, 732 F.3d at 169 (citing Int'l Shoe, 326 U.S. at 316, 66 S.Ct. 154). When a claim "arises
Id. (quoting Asahi, 480 U.S. at 113, 107 S.Ct. 1026.)
Riri SA has purposefully availed itself of the New York forum, establishing a United States-based subsidiary with its principal place of business in New York, (Moretta Decl. ¶¶ 6, 17, 21, 24), soliciting business through that subsidiary, (Moretta Decl. ¶¶ 6, 21), and otherwise maintaining a substantial and continuing relationship with the New York office of Riri USA, (Moretta Decl. ¶ 21; SAC ¶¶ 22, 26). See Chloé, 616 F.3d at 171-72. Because the single employer doctrine under Title VII applies to the relationship between Riri SA and Riri USA, Ingenito, 2013 WL 752201, at *4, and Riri SA may otherwise be responsible for any harm committed in violation of New York State law, and because the allegations against Riri SA and Riri USA are based on the same set of facts, the second through fifth factors weigh in favor of adjudicating this matter in New York. As for the burden on Movants, though Movants and some potential witnesses are located in Switzerland, Movants have had prior notice of Plaintiff's claims and Riri SA and Cerni have even participated in the litigation at the summary judgment stage. Furthermore, with the wealth of technology available to facilitate the proceedings, the burden should be minimal. The exercise of personal jurisdiction over Movants as to Plaintiff's Title VII and NYSHRL claims comports with due process.
In the alternative, Movants move to dismiss the Second Amended Complaint pursuant to Rule 12(b)(6) of the Federal Rules of Civil Procedure, arguing that (1) Plaintiff's Title VII claim against Riri SA and Riri Group must be dismissed because Plaintiff failed to name Riri SA and Riri Group in her EEOC charge, (Def. Mem. 20-22), and (2) that Plaintiff's NYSHRL claims must be dismissed as to Riri SA because the claims are time-barred, (Def. Mem. 22-24).
Movants argue that Plaintiff has failed to exhaust her administrative remedies as to Riri SA because she did not file a charge of discrimination with the EEOC or New York State Division of Human Rights ("NYSDHR") naming Riri SA as a respondent. (Def. Mem. 21.) Movants contend that the limited "identity of interest" exception to the exhaustion requirement, recognized by the Second Circuit, does not
Under Title VII, a complainant must "exhaust" her administrative remedies by filing a complaint with the EEOC or an authorized state agency prior to the commencement of a Title VII action in federal court, and that complaint must name the defendant. Hewitt v. N.Y.C. Dep't of Health & Mental Hygiene, 535 Fed.Appx. 44, 45 (2d Cir.2013) (summary order) (citing 42 U.S.C. § 2000e-5(e) and Francis v. City of New York, 235 F.3d 763, 766-67 (2d Cir.2000)); Johnson v. Palma, 931 F.2d 203, 209 (2d Cir.1991) (citing 42 U.S.C. § 2000e-5(e)). A plaintiff must also exhaust administrative remedies by filing a charge of discrimination with the equivalent state agency, here, the NYSDHR. Williams v. N.Y.C. Hous. Auth., 458 F.3d 67, 69 (2d Cir.2006) ("Before an individual may bring a Title VII suit in federal court, the claims forming the basis of such a suit must first be presented in a complaint to the EEOC or the equivalent state agency."); Williams v. Woodhull Med. & Mental Health Ctr., 891 F.Supp.2d 301, 325 (E.D.N.Y.2012) (same); Chin-McKenzie v. Continuum Health Partners, 876 F.Supp.2d 270, 280 (S.D.N.Y.2012) (same). However, the Second Circuit recognizes an exception to the general rule, permitting a Title VII action against a party unnamed in the administrative complaint if there is an "identity of interest" between the unnamed party and the party named in the administrative complaint, provided the unnamed party had notice that its conduct was being investigated. Carcasole-Lacal v. Am. Airlines, Inc., No. 04-CV-5082, 2005 WL 1587303, at *1 (2d Cir. Jul. 7, 2005) (noting the identity of interest test is a "recognized exception"); see also Harris v. NYU Langone Med. Ctr., No. 12-CV-0454, 2013 WL 3487032, at *9 (S.D.N.Y. July 9, 2013) ("[B]ecause EEOC charges `generally are filed by parties not versed in the vagaries of Title VII and its jurisdictional and pleading requirements, [the Second Circuit] [has] recognized an `identity of interest' exception' to the rule requiring plaintiffs to properly exhaust their claims." (quoting Vital v. Interfaith Med. Ctr., 168 F.3d 615, 619-20 (2d Cir.1999)) report and recommendation adopted as modified, No. 12-CV-0454, 2013 WL 5425336 (S.D.N.Y. Sept. 27, 2013)). In determining whether a plaintiff has properly exhausted administrative remedies, the Second Circuit has adopted a "flexible stance ... so as not to frustrate Title VII's remedial goals." Johnson, 931 F.2d at 209 (internal quotation marks and citations omitted). To determine whether an "identity of interest" exists, the court must consider four factors:
Vital, 168 F.3d at 619 (quoting Johnson, 931 F.2d at 209-10) (alterations in original).
As to the first factor, it is possible that Riri SA could have been ascertained as a relevant party at the time the EEOC complaint was filed. However, this fact alone is not dispositive. See Cook v. Arrowsmith Shelburne, Inc., 69 F.3d 1235, 1242 (2d Cir.1995) (Though "it is arguable that [plaintiff] could easily have included [the parent corporation] in the EEOC charge[,] factors two and three strongly favor allowing her to name [the parent corporation] as a party defendant in the instant suit.") The other three factors weigh in favor of permitting Plaintiff to continue this action against Riri SA. Riri SA argues that it does not have similar interests to Riri USA, and that its absence from the EEOC proceedings prejudiced Riri SA, because Riri SA was "precluded from participating in conciliation and extricating itself from the case at an early stage" and because Riri SA was "not a party to this case during the entire discovery period." (Def. Mem. 22.) As discussed above, Riri SA has made clear that Riri USA is its distributor and agent in the United States, and Plaintiff's connection to Riri SA is through Riri USA. The fact that Riri SA could have made the same arguments regarding personal jurisdiction that it makes in the instant motion at an earlier time is of no matter, as Riri SA now has the opportunity to make such arguments before this Court. Furthermore, the Court has already determined that Riri SA could be liable to Plaintiff for Title VII and NYSHRL claims along with Riri USA under the single employer doctrine, in part because Riri SA has been on notice of, and involved in, this litigation from an early stage. Ingenito, 2013 WL 752201, at *7. This, in combination with the facts above, is sufficient to find that Riri SA and Riri USA share an identity of interests. See Cook, 69 F.3d at 1242 (finding that a parent company of plaintiff's employer, which met the "single employer" test under Title VII, fell within the "identity of interest" exception to the administrative exhaustion requirement under Title VII although only the second and third factors of the Johnson test were satisfied).
Movants argue that Plaintiff's NYSHRL as to Riri SA should be dismissed because the claims are time-barred. (Def. Mem. 22.) Plaintiff was terminated on January 13, 2010, and Movants contend that the three-year statute of limitations applicable to the NYSHRL claim expired on January 13, 2013. Plaintiff's Revised Amended Complaint
Under New York law, claims against a new defendant
Id. at *6 (quoting JCG v. Ercole, No. 11-CV-6844, 2014 WL 1630815, at *13 (S.D.N.Y. Apr. 24, 2014)) (internal quotation marks omitted) (collecting cases). "The `linchpin' of the relation back doctrine is notice to the defendant within the applicable limitations period." Id. (quoting Kirk ex rel. Kirk v. Univ. OB-GYN Assocs., Inc., 104 A.D.3d 1192, 960 N.Y.S.2d 793, 795 (2013)) (internal quotation marks omitted).
Movants do not contest that Plaintiff's claims against Riri SA arise out of the same occurrence as her original allegations, meeting the first prong of the test. Furthermore, as discussed above and in the Court's February 27, 2013 Memorandum and Order, Plaintiff has shown that Riri SA and Riri USA are united in interest to the extent that Riri SA can be charged with notice of the institution of the action. Cerni, the former CEO of Riri SA, submitted a declaration in support of Riri USA's motion for summary judgment, which Movants refer to in support of the instant motion. (Docket Entry 32-3; Def. Mem. 3.) The record further reflects that Riri SA and Riri USA are sometimes treated as a single entity and are often collectively referred to as "Riri Group." (Moretta Decl. ¶ 5; Howell Aff. ¶ 3; see Howell Dep. 64:3-7, 72:11-13.) While a
Furthermore, Movants' argument does not take into consideration that the statute of limitations as to the NYSHRL may have been tolled during the pendency of any EEOC proceedings. While the Second Circuit has not yet taken a "definitive stance on whether the statute of limitations for NY[S]HRL claims is tolled while a plaintiff's charge is pending before the EEOC.... [n]umerous district courts in the Circuit have [] allowed for such tolling." Senecal v. B.G. Lenders Serv. LLC, 976 F.Supp.2d 199, 229 (N.D.N.Y.2013) (collecting cases); see also Sloth v. Constellation Brands, Inc., 883 F.Supp.2d 359, 373 (W.D.N.Y.2012) ("The three year limitations period [under NYSHRL], ... is tolled for the period between the filing of an EEOC charge and the issuance by the EEOC of a right-to-sue letter." (internal quotation marks omitted)) (citing DeNigris v. N.Y.C. Health & Hosps. Corp., 861 F.Supp.2d 185, 192 (S.D.N.Y.2012)); Sloth, 883 F.Supp.2d at 373 n. 5 ("While some state law claims, such as tort claims, may not be tolled by the filing of an EEOC complaint, ... by statute, state Human Rights law claims are tolled by the filing of an administrative complaint with the New York State Division of Human Rights, and courts in this Circuit have extended the tolling period to administrative complaints filed with the EEOC." (internal citations omitted)); Sundaram v. Brookhaven Nat. Labs., 424 F.Supp.2d 545, 565 (E.D.N.Y. 2006) ("Because complaints filed with the EEOC are deemed constructively to be cross-filed with the NYDHR, the statute is also tolled during the pendency of a claim filed with the EEOC." (citations omitted)).
Plaintiff received her right-to-sue notice from the EEOC, dated October 21, 2010. (SAC ¶ 60.) This suggests that Plaintiff had a charge pending with the EEOC for some amount of time before she commenced the instant action, though it is not clear from her Second Amended Complaint how long the EEOC charge was pending. Thus, the Court does not have sufficient information at this stage to determine whether Plaintiff's NYSHRL claim is untimely.
For the foregoing reasons, the Court grants the motion to dismiss for lack of jurisdiction as to Riri Group, and denies the motions to dismiss for lack of personal jurisdiction and for failure to state a claim as to Riri SA.
SO ORDERED.
Even if the Revised Amended Complaint did not relate back to Plaintiff's original Complaint, the Revised Amended Complaint does relate back to the Amended Complaint, which was filed on April 10, 2013, within the statute of limitations period as tolled during the pendency of the EEOC filing. Plaintiff based her allegations on the same conduct outlined in her original Complaint, specifically named Riri SA and Riri Group in the Amended Complaint (though she did not add them to the caption in the Amended Complaint), and otherwise clearly intended to add Riri SA as a Defendant. (See Docket Entry No. 39.) The failure to amend the caption and remove allegations relating to withdrawn claims is a "mistake" as contemplated by relation-back law. See Amaya v. Garden City Irrigation, Inc., 645 F.Supp.2d 116, 121 (E.D.N.Y.2009) (noting the key inquiry is whether omission of defendants was intentional). Thus, taking into account the time the statute of limitations was tolled while Plaintiff's EEOC charge was pending, Plaintiff's action against Riri SA is timely. Furthermore, Plaintiff did seek leave to amend well within the statute of limitations period, on August 23, 2012. (Minute Entry dated August 23, 2012.) The Court delayed granting leave to amend until February 27, 2013.