Aulicino v. New York City Dep't of Homeless Servs. ( 2009 )

06-5605-cv
Aulicino v. New York City Dep't of Homeless Servs.
1 UNITED STATES COURT OF APPEALS
2 FOR THE SECOND CIRCUIT
3 August Term, 2008
4 (Argued: November 19, 2008 Decided: September 8, 2009)
5 Docket No. 06-5605-cv
6 -------------------------------------
7 THOMAS A. AULICINO,
8 Plaintiff-Appellant,
9 - v. -
10 NEW YORK CITY DEPARTMENT OF HOMELESS SERVICES, and LINDA GIBBS as
11 Commissioner of the Agency,
12 Defendants-Appellees.*
13 -------------------------------------
14 Before: STRAUB, SACK, and WESLEY, Circuit Judges.
15 Appeal from a judgment of the United States District
16 Court for the Eastern District of New York. The district court
17 (Sterling Johnson, Jr., Judge), adopting a report and
18 recommendation by Magistrate Judge Lois Bloom, granted the
19 defendants' motion for summary judgment in this employment
20 discrimination action. We vacate the dismissal of the
21 plaintiff's failure to promote claim and remand that cause for
22 trial to resolve genuine issues of material fact. We also vacate
23 the dismissal of the plaintiff's hostile work environment claim
24 because, we conclude, the district court failed to consider the
*
The Clerk of the Court is respectfully directed to amend
the official caption to conform to this one.
1 evidence supporting that claim in the light most favorable to the
2 plaintiff. That cause is therefore remanded for reconsideration.
3 VACATED in part and REMANDED.
4 Arthur Z. Schwartz, Schwartz, Lichten &
5 Bright, P.C., New York, NY, for
6 Appellant.
7 Fay Ng (Pamela Seider Dolgow, Eric
8 Eichenholtz, Michael A. Cardozo,
9 Corporation Counsel of the City of New
10 York, of counsel), New York, NY, for
11 Appellees.
12 SACK, Circuit Judge:
13 The plaintiff, Thomas Aulicino, appeals from a judgment
14 of the United States District Court for the Eastern District of
15 New York. Aulicino is a Motor Vehicle Operator ("MVO") at the
16 Hinsdale Depot of the New York City Department of Homeless
17 Services ("DHS"). He claims that he was denied a promotion at
18 DHS because he is white, was subjected to a discriminatory
19 hostile work environment, and was retaliated against for engaging
20 in protected activity. The district court (Sterling Johnson,
21 Jr., Judge), adopting a report and recommendation by Magistrate
22 Judge Lois Bloom over Aulicino's objections, granted the
23 defendants' motion for summary judgment and dismissed Aulicino's
24 complaint in its entirety.
25 In our view, the failure to promote and hostile work
26 environment claims should not have been dismissed. We conclude
27 that the record reflects genuine issues of material fact with
28 respect to the failure to promote claim. We therefore vacate the
29 dismissal of that claim and remand the cause for trial. We also
2
1 think the district court, in applying the legal standard
2 governing hostile work environment claims, failed to consider the
3 record evidence in the light most favorable to the plaintiff, as
4 it was required to do. We therefore vacate and remand the
5 complaint with respect to that cause of action for
6 reconsideration.1
7 BACKGROUND
8 Evidence of Derogatory Racial Comments
9 According to Aulicino's deposition testimony, Frank
10 John, an African-American who was a fleet coordinator at the
11 Hinsdale Depot beginning in November 2001, made several "nasty"
12 and "harassing" "racial comments" to or about Aulicino. Aulicino
13 Dep. 76, 88. For example, John told Aulicino that "it was all
14 right for [a DHS client] to call [Aulicino] a white mother fuck"
15 and that "[Aulicino] deserved it." Id. at 136; see also id. at
16 76 (same). In the same encounter, according to Aulicino, John
17 threatened to withhold Aulicino's pay for that day, though he did
18 not follow up on the threat. See id. at 136-37. On another
19 occasion, John remarked to Aulicino that "white people are lazy."
20 Id. at 76. And on another, John asked a white colleague why he
21 and Aulicino "all take off the same days . . . like there was
22 some sort of white conspiracy." Id. at 88. On still another,
23 Aulicino was told by one of his supervisors, Gary Brown, that
1
The plaintiff has not appealed from the denial of his
retaliation claim.
3
1 John called him a "white fuck" and had threatened to "get" him.
2 Id. at 154-56.2
3 It is not clear from Aulicino's testimony or other
4 material in the record when the statements in question were
5 allegedly made. Aulicino's second amended complaint and brief on
6 appeal assert that they occurred in a period between late
7 December 2001 and September 2002. See Amended Complaint3 ¶¶ 19-
8 40; Appellant's Br. 5-8.
9 Aulicino also testified that his African-American
10 supervisor, Larry Singleton, made "the sort of comments Frank
11 John makes." Aulicino Dep. 169. Singleton became Aulicino's
12 supervisor several months before Aulicino's deposition was taken
13 in August 2004. See id. at 27. The excerpted deposition
14 transcript in the record does not specify any particular
15 derogatory comments made by Singleton.
16 In an affidavit dated March 21, 2006, and submitted in
17 opposition to the defendants' motion for summary judgment,
18 however, Aulicino testifies to several recent examples of
19 derogatory comments made by Singleton, all of which, he says,
20 occurred during the pendency of this action. According to the
21 affidavit, on January 7, 2005, Singleton handed him a copy of an
22 old union contract and grievance form. When Aulicino asked why
2
John denies that he made derogatory racial comments to or
about Aulicino.
3
The pleading entitled "Amended Complaint" is in fact
Aulicino's second amended pleading.
4
1 he had done so, Singleton "mentioned" the instant lawsuit "in an
2 aggressive and inappropriate manner," as he had several times
3 before. Aulicino Aff. ¶ 5. According to the affidavit, Aulicino
4 told Singleton to stop harassing him and threatened to file a
5 complaint about the incident. At that point, according to the
6 affidavit, Singleton "stated that he [Singleton] was an ex-
7 felon." Id. Aulicino interpreted that as a threat that he would
8 be "assault[ed]" if he were to file such a complaint. Id. The
9 affidavit also asserts that on April 27, 2005, Singleton
10 "confronted" Aulicino saying, "Go back to Bensonhurst and tell
11 everyone that you report to a black man who is making your life
12 miserable." Id. ¶ 2. Aulicino stated in his affidavit that he
13 thought the comment was "racist" and that he told Singleton that
14 "he was creating a hostile work environment." Id. ¶ 3.
15 Singleton replied, "I'll show you what a hostile work environment
16 is." Id. ¶ 4.
17 The affidavit also alleges that in July 2005, Singleton
18 discussed a book he displayed on his desk "titled Black and
19 White: Separate, Hostile, and Unequal" with African-American
20 colleagues while pointing at Aulicino and laughing. Id. ¶ 6.
21 According to Aulicino, Singleton also commented in Aulicino's
22 presence that a lynching of an African-American man could have
23 been avoided if the man's friend "had not given the man up to
24 white people" and that "the moral of the story was that black
25 people need to stick together against white people." Id. ¶ 7.
5
1 Overall, Aulicino swore, the racial remarks by John and
2 Singleton rendered Aulicino "short fused." Aulicino Dep. at 169.
3 Aulicino has contemplated an attempt to transfer out of the
4 Hinsdale Depot, but has not done so because he does not "know
5 where else to go," in light of what he characterizes as his "very
6 limited" choices. Id.
7 The Denial of a Promotion
8 On May 13, 2002, DHS posted a job opening for a Motor
9 Vehicle Supervisor ("MVS") position at the Hinsdale Depot. The
10 vacancy notice specified these qualifications:
11 Preferred Skills:
12 1. One year of permanent service in the title
13 of Motor Vehicle Operator.
14 2. One year of full-time experience in Motor
15 Vehicle Dispatching, and
16 3. A valid NYS Class B Motor Vehicle Driver
17 License
18 . . . .
19 MINIMUM QUALIFICATIONS
20 1. One year of permanent service in the title
21 of Motor Vehicle Operator; or
22 2. One year of full-time experience in motor
23 vehicle dispatching.
24 License Requirement
25 A Motor Vehicle Driver License valid in the
26 State of New York. For appointment to
27 certain positions, possession of a Class B
28 Commercial Driver License [("CDL")] valid in
29 the State of New York may be required. There
30 may be certain age requirements to obtain
31 this license. Employees must maintain the
32 Class B Commercial Driver License during
33 their employment.
6
1 City of New York, Department of Homeless Services, Job Vacancy
2 Notice, May 13, 2002 ("MVS Posting"), at 1. Aulicino submitted
3 his application for the position on May 22, 2002, and he was
4 interviewed by John on June 13, 2002.
5 Aulicino, according to his deposition testimony, found
6 the interview"very unbelievable" because it "seemed like [John]
7 was trying to discourage [him] and disqualify [him] all at the
8 same time from taking the job" by telling Aulicino that the
9 position was for a later shift "and that [John] knew [Aulicino]
10 didn't want to change shifts." When Aulicino "tried to tell
11 [John] about [his dispatching] experience [John] stopped [him]
12 and said that he knew all about it and that was the end of the
13 conversation." Aulicino Dep. 108-09. John also "asked
14 [Aulicino] if [he] had a CDL license [sic]." Aulicino did not,
15 but he said to John that the CDL "was not an official
16 requirement," in light of the fact that motor vehicle supervisors
17 "basically . . . don't drive." Aulicino also volunteered that
18 "if it was necessary [he] would upgrade [his] license." Id. at
19 109-10.
20 John declined to promote Aulicino. Aulicino testified
21 that one of his supervisors, Sterling Ferguson, later told
22 Aulicino that he had heard John "make derogatory comments about
23 [Aulicino]" in connection with his application, "saying that he
24 wouldn't hire [Aulicino]," referring to Aulicino as "a white
25 fuck." Id. at 96-97; see also id. at 100 ("[Ferguson] told me
26 about stuff that [John] said to . . . him when he spoke to [John]
7
1 in regard to [whether] I was qualified for the position I was
2 applying for and [John] responded by saying something to the
3 [effect of] I wouldn't hire that white fuck.").
4 John testified in his deposition that he rejected
5 Aulicino for the MVS position because "Mr. Aulicino didn't have
6 the appropriate driver's license" -- he had "a class E license,"
7 and, John thought, the job vacancy posting required "a valid New
8 York State Class B license." John Dep. 109. John also testified
9 that "looking at Mr. Aulicino's record, it wasn't that good, it
10 wasn't good." Id. at 145. And indeed it appears that although
11 Aulicino's performance was consistently rated "good," he was
12 "written up" several times for misconduct on the job.
13 Joseph Johnson, an African-American, was awarded the
14 MVS position. At the time, Johnson had a commercial learner's
15 permit but no Class B license, some "fill-in" dispatching
16 experience, Johnson Dep. 64, and more than one year of experience
17 as an MVO.
18 Procedural History
19 On January 7, 2003, Aulicino filed a pro se complaint
20 with the EEOC. He received a "right to sue" letter from the
21 agency on March 1, 2003. He initiated this action pro se on May
22 13, 2003, pursuant to Title VII of the Civil Rights Act of 1964,
23 42 U.S.C. § 2000e et seq., by completing and filing a form
24 complaint alleging discrimination and retaliation on the basis of
25 his race, color, and national origin. Aulicino checked a line on
26 the form to reflect his assertion that the defendants were "still
8
1 committing these acts against [him]." On August 4, 2003, shortly
2 after pretrial matters in the action had been referred to
3 Magistrate Judge Bloom, Aulicino, continuing to act pro se, filed
4 an amended form complaint adding John as a defendant.
5 Discovery ensued. On March 8, 2004, counsel retained
6 by Aulicino's union filed a notice of appearance on behalf of
7 Aulicino. The parties subsequently agreed that Aulicino's
8 complaint would be amended and discovery extended.
9 The second amended complaint, the operative complaint
10 for present purposes, added Linda Gibbs, the Commissioner of DHS,
11 as a defendant, and dismissed the complaint against Frank John.
12 It also set forth Aulicino's factual allegations in greater
13 detail, and it proffered the New York City and State Human Rights
14 Laws as bases for relief in addition to Title VII. After several
15 further extensions, the magistrate judge ordered that discovery
16 would be closed on July 29, 2005. In a status conference,
17 Aulicino stipulated to the dismissal of his claims against Gibbs,
18 inasmuch as Title VII does not provide for individual liability.
19 The parties also stipulated to substitute the City of New York
20 for DHS, and the magistrate judge set a schedule for the City's
21 proposed motion for summary judgment.4
22 On September 20, 2005, Aulicino received new counsel
23 through his union. After two extensions, the City served its
4
It does not appear that Gibbs was formally dismissed from
this action, since Aulicino agreed to but did not file a written
stipulation of dismissal by October 18, 2005. Nor does it appear
that the City was ever formally substituted for DHS.
9
1 motion for summary judgment on January 23, 2006. Aulicino's new
2 counsel opposed it by, inter alia, submitting the Aulicino
3 affidavit dated March 21, 2006, referred to above, in which he
4 specifies derogatory comments made by Singleton after the filing
5 of the second amended complaint but before the close of
6 discovery.
7 In a report and recommendation dated August 31, 2006
8 (the "R&R"), the magistrate judge recommended that the City's
9 motion be granted in its entirety. In her view, Aulicino's
10 failure to promote claim was insufficient because the record
11 lacked evidence that Aulicino was qualified for the MVS position
12 or that the denial of the promotion was discriminatory. The R&R
13 reflects the magistrate judge's conclusion that the defendants'
14 stated reasons for not promoting Aulicino were legitimate and
15 nondiscriminatory, and that Aulicino had failed to produce
16 evidence that those reasons were pretextual. See R&R 8-12.
17 The R&R recommended dismissing the hostile work
18 environment claim because, in the magistrate judge's view, John
19 and Singleton's comments were "isolated and discrete" and had not
20 interfered with Aulicino's job performance or responsibilities.
21 Id. at 14. The R&R further recommended dismissing the
22 retaliation claim for want of an adverse employment action. See
23 id. at 15.
24 Aulicino submitted no objections to the R&R, and the
25 district court initially adopted it in full. But the district
26 court subsequently granted Aulicino's application to submit
10
1 belated objections inasmuch as their lateness was caused by
2 problems counsel encountered with the court's electronic filing
3 system. The court nonetheless concluded that the objections were
4 without merit, affirming its earlier dismissal of the complaint.
5 Aulicino, acting pro se, filed a notice of appeal.
6 Through what we understand to be yet a fourth lawyer, he pursues
7 this appeal from the dismissal of his failure to promote and
8 hostile work environment claims. As noted, he has not sought to
9 appeal from the dismissal as it relates to his retaliation claim.
10 DISCUSSION
11 I. Standard of Review
12 We review de novo the grant of a motion for summary
13 judgment. Beyer v. County of Nassau, 524 F.3d 160, 163 (2d Cir.
14 2008). Such a judgment "should be rendered if the pleadings, the
15 discovery and disclosure materials on file, and any affidavits
16 show that there is no genuine issue as to any material fact and
17 that the movant is entitled to judgment as a matter of law."
18 Fed. R. Civ. P. 56(c). "A dispute about a 'genuine issue'
19 exists . . . where the evidence is such that a reasonable jury
20 could decide in the non-movant's favor." Beyer, 524 F.3d at 163.
21 The court must "'construe the facts in the light most favorable
22 to the non-moving party and must resolve all ambiguities and draw
23 all reasonable inferences against the movant.'" Id. (quoting
24 Dallas Aerospace, Inc. v. CIS Air Corp., 352 F.3d 775, 780 (2d
25 Cir. 2003)).
11
1 Aulicino seeks relief under Title VII and the New York
2 State and New York City Human Rights Laws. Inasmuch as we are
3 able to resolve this matter on federal grounds, we need not and
4 do not address the reach of the City or State statutes.
5 II. The Failure To Promote Claim
6 A. The Applicable Legal Standard
7 "At the summary-judgment stage . . . Title VII claims
8 are ordinarily analyzed under the familiar burden-shifting
9 framework of McDonnell Douglas Corp. v. Green, 411 U.S. 792, 93
10 S. Ct. 1817, 36 L.Ed.2d 668 (1973), and its progeny."
11 Mathirampuzha v. Potter, 548 F.3d 70, 78 (2d Cir. 2008).
12 At the first stage under that framework, the plaintiff
13 bears the burden of establishing a prima facie case.
14 To establish a prima facie case of a
15 discriminatory failure to promote, a Title
16 VII plaintiff must ordinarily demonstrate
17 that: (1) she is a member of a protected
18 class; (2) she applied and was qualified for
19 a job for which the employer was seeking
20 applicants; (3) she was rejected for the
21 position; and (4) the position remained open
22 and the employer continued to seek applicants
23 having the plaintiff's qualifications.
24 Petrosino v. Bell Atl., 385 F.3d 210, 226 (2d Cir. 2004) (quoting
25 Brown v. Coach Stores, Inc., 163 F.3d 706, 709 (2d Cir. 1998)
26 (internal quotation marks omitted)). In all cases, for the
27 plaintiff to avoid an adverse judgment, there must be proof that
28 the plaintiff "was rejected under circumstances which give rise
29 to an inference of unlawful discrimination." Id. at 710
30 (internal quotation marks omitted).
12
1 If the plaintiff carries that burden, "the burden
2 shifts to the defendant, which is required to offer a legitimate,
3 non-discriminatory rationale for its actions." Terry v.
4 Ashcroft, 336 F.3d 128, 138 (2d Cir. 2003). If the defendant
5 meets this second burden, "to defeat summary judgment . . . the
6 plaintiff's admissible evidence must show circumstances that
7 would be sufficient to permit a rational finder of fact to infer
8 that the defendant's employment decision was more likely than not
9 based in whole or in part on discrimination." Id. (internal
10 quotation marks omitted).
11 B. Application of the Standard
12 We conclude that Aulicino has made out a prima facie
13 case for his failure to promote claim. There is no dispute that
14 Aulicino is a member of a protected class, i.e., a "race" or
15 "color,"5 that he applied for an MVS position that was posted
16 within DHS, that he was denied the position, or that the position
5
Aulicino's papers make no reference to national origin
discrimination; we therefore take his claim to focus solely on
color and race discrimination. With respect to those classes, we
do not decide whether, as some courts of appeals have concluded,
the Title VII plaintiff who alleges discrimination on the basis
that he is white, or "Caucasian," must proffer evidence of
"background circumstances" reflecting that the defendant is "that
unusual employer who discriminates against the majority." Parker
v. Baltimore & Ohio R.R. Co., 652 F.2d 1012, 1017 (D.C. Cir.
1981). But see Iadimarco v. Runyon, 190 F.3d 151, 160 (3d Cir.
1999) (rejecting "background circumstances" requirement). The
defendants do not argue that Aulicino must do so, and, in any
event, as the following discussion makes clear, there is
sufficient evidence from which a rational jury could conclude
that both John and Singleton harbored discriminatory animus
against white persons, facts that constitute "background
circumstances" reflecting that the defendant is "that unusual
employer who discriminates against the majority."
13
1 remained open until it was given to Johnson. The issue is
2 whether the magistrate judge was correct to conclude as a matter
3 of law -- and whether the district judge was correct to uphold
4 the conclusion -- that Aulicino was unqualified for the position
5 and that there was no proof of discriminatory intent. We think
6 those conclusions could not be made as a matter of law on the
7 record before the district court.
8 Viewing the record evidence in the light most favorable
9 to Aulicino, as we must, Beyer, 524 F.3d at 163, a rational jury
10 could find that Aulicino was qualified for the MVS position. The
11 necessary qualifications, as reflected in the job posting, were
12 (1) either "[o]ne year of permanent service in the title of Motor
13 Vehicle Operator" or "[o]ne year of full-time experience in motor
14 vehicle dispatching," (2) "[a] Motor Vehicle Driver License valid
15 in the State of New York," and possibly (3) "possession of a
16 Class B Commercial Drivers License valid in the State of New
17 York." MVS Posting 1. There is evidence from which a rational
18 jury could conclude that Aulicino had more than one year of
19 permanent service as an MVO, see Resume of Thomas A. Aulicino 1
20 (reflecting employment as an MVO from "September 1993 -
21 Present"), and a valid New York driver's license, see John Dep.
22 109 ("[Aulicino] has a class E license . . . ."). Aulicino
23 therefore met his burden to present evidence on that element of
24 his prima facie case.
25 The R&R rightly points out that Aulicino "did not have
26 at least one year of full-time experience as a motor vehicle
14
1 dispatcher," nor "the Class B [commercial drivers] license set
2 forth in the job posting." R&R 8-9. But the former was not
3 necessary, in light of Aulicino's experience as an MVO, and as to
4 the latter, the job posting only notes that it "may be required."
5 MVS Posting 1. And even if those qualifications could be
6 interpreted as minimum qualifications from the job posting, a
7 rational jury could nonetheless conclude that DHS did not in
8 practice consider them part of the "basic eligibility for the
9 position at issue," Slattery v. Swiss Reinsurance Am. Corp., 248
10 F.3d 87, 91-92 (2d Cir. 2001), cert. denied, 534 U.S. 951 (2001).
11 There is evidence that Johnson -- the African-American who was
12 hired for the position -- also lacked dispatching experience and
13 a CDL. Johnson testified that he had only "fill-in" experience
14 as a dispatcher, that "it was never . . . a permanent title."
15 Johnson Dep. 64. And everyone appears to agree that Johnson had
16 only a Class B commercial learner's permit, not a Class B CDL.
17 Again viewing the evidence in the light most favorable
18 to the plaintiff, we also conclude that a rational jury could
19 infer discriminatory intent in the denial of the promotion. The
20 magistrate judge ruled in the R&R that John's comment to Ferguson
21 that "he wouldn't hire that white fuck," referring to Aulicino,
22 did not support an inference of discrimination because it is
23 inadmissible hearsay. See R&R 9. That may be so, insofar as the
24 statement by Ferguson was elicited through Aulicino's testimony,
25 and insofar as Aulicino's report of the statement is offered to
15
1 prove what John said.6 But irrespective of the existence of that
2 alleged comment and others that were reported to Aulicino by
3 third parties, there remain two specific racially derogatory
4 comments by John for which there is direct evidence: John's
5 comment to Aulicino that Aulicino "deserved" to be called "a
6 white mother fuck" by a DHS client, Aulicino Dep. 136, and his
7 comment to Aulicino that "white people are lazy," id. at 76. We
8 think a reasonable jury could infer from these comments -- as to
9 which there is no admissibility dispute -- that John's hostility
10 toward Aulicino was race-based, and that that hostility played a
11 role in the denial of the promotion.7
12 Accordingly, we conclude that Aulicino has made out a
13 prima facie case of race discrimination on his failure to promote
14 claim. In light of the racially derogatory comments John made to
15 Aulicino, we also conclude that a rational factfinder could find
16 the defendant's non-discriminatory reasons for failing to promote
17 Aulicino to be pretextual. Because we think the question whether
18 Aulicino was denied a promotion on the basis of race is a genuine
6
To the extent the R&R found this statement to Aulicino
inadmissible to prove what John said (and thus John's intent) it
is not immediately clear why the R&R considered the statement,
along with another third-party statement about another derogatory
comment by John, as evidence of a hostile work environment. See
Section III.B infra. More clarity on the issue is not necessary
for resolution of the failure to promote claim, however.
7
The R&R also reflects the magistrate judge's view that
the failure to promote claim "is undercut by the fact that three
of the African American candidates who were interviewed for the
job were likewise not selected for the position." R&R 10. This
goes to the weight, not to the sufficiency, of the evidence in
support of the failure to promote claim.
16
1 issue for trial, we vacate the dismissal of the failure to
2 promote claim and remand that cause for trial.
3 III. The Hostile Work Environment Claim
4 A. The Applicable Legal Standard
5 "[T]o survive summary judgment on a claim of hostile
6 work environment harassment, a plaintiff must produce evidence
7 that 'the workplace is permeated with discriminatory
8 intimidation, ridicule, and insult, that is sufficiently severe
9 or pervasive to alter the conditions of the victim's
10 employment.'" Cruz v. Coach Stores, Inc., 202 F.3d 560, 570 (2d
11 Cir. 2000) (quoting Harris v. Forklift Sys., Inc., 510 U.S. 17,
12 21 (1993)).8
13 Whether the challenged conduct is sufficiently severe
14 or pervasive "depends on the totality of the circumstances." Id.15 The Supreme Court in Harris "established a non-exclusive list of
16 factors," Richardson v. N.Y. State Dep't of Corr. Serv., 180 F.3d
17 426, 437 (2d Cir. 1999), abrogated on other grounds, Burlington
18 N. & Santa Fe Ry. Co. v. White, 548 U.S. 53 (2006), to consider
19 in this regard: "(1) the frequency of the discriminatory conduct;
20 (2) its severity; (3) whether the conduct was physically
21 threatening or humiliating, or a 'mere offensive utterance'; (4)
22 whether the conduct unreasonably interfered with plaintiff's
8
The plaintiff must also produce evidence that
subjectively, he thought the workplace environment was abusive.
See Harris, 510 U.S. at 21-22. The parties do not dispute this
element of the claim on appeal.
17
1 work; and (5) what psychological harm, if any, resulted." Id.
2 (quoting Harris, 510 U.S. at 23).
3 Our case law treats the first two of these factors --
4 the frequency and the severity of the misconduct -- as the
5 principal focus of the analysis; the last three factors are
6 specific considerations within the severity inquiry. Core
7 hostile work environment cases involve misconduct that is both
8 frequent and severe, for example, when a supervisor utters
9 "blatant racial epithets on a regular if not constant basis" and
10 behaves in a physically threatening manner. Cruz, 202 F.3d at11 571-72. But an employer's motion for summary judgment must be
12 denied if the claimed misconduct ranks sufficiently highly on
13 either axis. See Richardson, 180 F.3d at 440 ("[A] work
14 environment may be actionable if the conduct there is either so
15 severe or so pervasive as to alter the working conditions of a
16 reasonable employee." (emphasis in original)); id. ("[E]ven a
17 single episode of harassment, if severe enough, can establish a
18 hostile work environment. . . ." (internal quotation marks
19 omitted)); Torres v. Pisano, 116 F.3d 625, 632 (2d Cir. 1997)
20 ("[If] the harassment is of such quality or quantity that a
21 reasonable employee would find the conditions of her environment
22 altered for the worse, it is actionable under Title VII . . . ."
23 (emphasis added)).
24 "For racist comments, slurs, and jokes to constitute a
25 hostile work environment," however, "there must be more than a
26 few isolated incidents of racial enmity." Schwapp v. Town of
18
1 Avon, 118 F.3d 106, 110-11 (2d Cir. 1997) (internal quotation
2 marks and citation omitted); see also Kotcher v. Rosa & Sullivan
3 Appliance Ctr., Inc., 957 F.2d 59, 62 (2d Cir. 1992). Overall,
4 "the quantity, frequency, and severity of th[e] slurs [at issue]"
5 are to be "considered cumulatively in order to obtain a realistic
6 view of the work environment." Schwapp, 118 F.3d at 110-11
7 (internal quotation marks and citation omitted).
8 B. Application of the Standard
9 The magistrate judge's R&R recommended that the hostile
10 work environment claim be dismissed. Assessing the frequency of
11 the comments of John and Singleton, the magistrate judge noted
12 that they collectively "occurred over a five-year time period."
13 R&R 14. With that observation, and citing Quinn v. Green Tree
14 Credit Corp., 159 F.3d 759 (2d Cir. 1998), the magistrate judge
15 concluded that the comments, while "unfortunate," were too
16 "isolated and discrete" to be actionable. Id. The magistrate
17 judge then went on to assess the comments' severity:
18 Plaintiff . . . fails to establish that
19 defendants' conduct interfered with his job
20 performance or responsibilities. . . .
21 [P]laintiff admits that his work hours were
22 never altered. Plaintiff also acknowledges
23 that he got along with his fellow employees
24 on the job.
25 Id. (citations omitted). In our view, this analysis is
26 unpersuasive inasmuch as it does not appear to us to consider the
27 record evidence in the light most favorable to the plaintiff, as
28 it is required to do.
19
1 1. Frequency. The evidence supporting Aulicino's
2 hostile work environment claim reflects two sets of derogatory
3 comments by two different people during two different periods of
4 time. The specific comments by John in the record are alleged to
5 have occurred between December 2001 and September 2002. The
6 specific comments by Singleton are alleged to have occurred some
7 years later, between January and July 2005.
8 Correctly, the magistrate judge looked to the frequency
9 of these remarks. And a review of the R&R discloses that she
10 considered them "cumulatively" to obtain a "realistic view" of
11 the workplace environment. See Schwapp, 118 F.3d at 110-11. But
12 she appears to have done so by calculating the length of time
13 from the first specific comment by John, which occurred during
14 one period of time, to the last specific comment by Singleton,
15 which occurred several years later, and then asking whether eight
16 comments in that period of time constituted sufficient
17 "frequency." See R&R 12-13 (listing four comments by John and
18 four by Singleton); id. at 14 ("The incidents plaintiff describes
19 occurred over a five-year time period. They are unfortunate, but
20 they are isolated and discrete incidents."). We acknowledge that
21 there are different ways in which sets of hostile comments might
22 be considered "cumulatively," but we think the R&R's approach
23 improperly draws inferences against Aulicino rather than for him
24 as required.
25 First, the R&R takes into consideration two comments by
26 John reported by third parties to Aulicino, see R&R 12
20
1 ("[P]laintiff alleges that John questioned one of plaintiff's
2 Caucasian co-workers 'why all the white people take the same days
3 off?'"); id. at 13 ("[P]laintiff claims that another supervisor,
4 Sterling Ferguson, overheard John stating that 'he would not hire
5 that white fuck' referring to plaintiff."), but fails to mention
6 a third: John's threat to Gary Brown that he would "get"
7 Aulicino, referring to Aulicino as a "white fuck." Aulicino Dep.
8 154-56. The omission of this threat was detrimental to
9 Aulicino's claim.9
10 Second, the calculation in the R&R of the relevant time
11 period in which the alleged derogatory comments were made appears
12 to have been analyzed in the light least, rather than most,
13 favorable to the plaintiff. The magistrate judge viewed the
14 comments as having been made "over a five-year time period," R&R
15 14, even though the first comment it mentions dates from December
16 2001 and the last was in July 2005, less than four years later,
17 id. at 12-14. In addition, the "cumulative" assessment contained
18 in the R&R includes a 26-month period between the last comment by
19 John and the first comment by Singleton. We think that, in order
20 to take the facts of this case in the light most favorable to
9
As we have noted, the R&R quotes the comment by Ferguson
in its hostile work environment analysis, even though in its
failure to promote analysis it ruled that comment inadmissible as
proof of what John said. See n.6 supra. To the extent the
admissibility of this and other comments by third parties about
what John said remains an issue -- perhaps relating to double
hearsay -- for the court on remand of the hostile work
environment claim, we offer the observation that such statements
are not hearsay if the declarants are the agents of party-
opponents for Rule 801(d)(2)(D) purposes.
21
1 Aulicino, the court should have discounted from its analysis, if
2 not altogether disregarded, the intervening period between
3 comments by one supervisor and comments by another. In our view,
4 a "realistic" picture of the hostile workplace alleged by
5 Aulicino is not obtained by focusing on a two-year stretch of
6 time in which he fails to allege acts of hostility, and using
7 that time to dilute the strength of his claims based on two
8 discrete periods of more intense harassment.
9 Third, the court's reliance on Quinn v. Green Tree
10 Credit Corp., 159 F.3d 759 (2d Cir. 1998), for the proposition
11 that "thirty episodes occurring over a seven-year period d[o] not
12 constitute a hostile work environment," R&R 14 (emphasis added),
13 appears to us to have been misplaced. The facts on which the
14 Quinn opinion was based undercut that reading. See Quinn, 159
15 F.3d at 768 ("Quinn did . . . make two allegations . . . that
16 appear to be timely . . . . Quinn's hostile work environment
17 claim . . . rests on these two alleged incidents." (emphasis
18 added)). More importantly, whether the comments in this case are
19 sufficiently frequent to be actionable may not be determined by
20 extrapolation inasmuch as the applicable legal standard "is not,
21 and by its nature cannot be, a mathematically precise test."
22 Harris, 510 U.S. at 22. Indeed, "even a single episode of
23 harassment, if severe enough, can establish a hostile work
24 environment." Richardson, 180 F.3d at 437 (citation and internal
25 quotation marks omitted). On remand, the court therefore ought
26 not to treat Quinn as providing a precise standard for the number
22
1 of hostile incidents over a particular time span so as to give
2 rise to a viable hostile work environment claim.
3 2. Severity. We also think the magistrate judge
4 should have considered, but did not, the severity of John and
5 Singleton's comments in the light most favorable to Aulicino, in
6 two respects.
7 First, the R&R omits to report that two of the comments
8 may be inferred to be physical threats: Singleton's remark to
9 Aulicino that he was an "ex-felon," which Aulicino took to be a
10 threat that Singleton would "assault" him, Aulicino Aff. ¶ 5, and
11 John's threat to "get" Aulicino, Aulicino Dep. 154-56.
12 Second, the R&R concludes that Aulicino "fails to
13 establish that defendants' conduct interfered with his job
14 performance or responsibilities," R&R 14, but omits mention of
15 Aulicino's testimony that he has contemplated transferring out of
16 the Hinsdale Depot, and has not done so only because he does not
17 yet know "where else to go" in light of his "very limited"
18 choices. Aulicino Dep. 169.
19 This evidence is material. See Richardson, 180 F.3d at
20 437 (requiring courts to consider "whether the conduct was
21 physically threatening or humiliating, or a mere offensive
22 utterance" and whether it caused "unreasonabl[e] interfer[ence]
23 with [the] plaintiff's work" (internal quotation marks
24 omitted)). The magistrate judge should consider it on remand.10
10
The parties do not address whether racial comments to or
about a white person should be judged as to their "severity" in
the same way that racial slurs used about racial minorities
23
1 C. Disposition of the Claim
2 Although our review is de novo and we might therefore,
3 if we thought it best, decide the merits of the summary judgment
4 motion as to the hostile work environment claim now ourselves, we
5 think it better to remand the matter to the district court for
6 its reconsideration in accordance with these views.
7 Although we have repeatedly observed, in
8 words or substance, that we review a grant of
9 summary judgment de novo applying the same
10 standard as the district court, that does not
11 mean that it is our function to decide
12 motions for summary judgment in the first
13 instance. We are dependent on the district
14 court to identify and sort out the issues on
15 such motions, to examine and analyze them,
16 and to apply the law to the facts accepted by
17 the court for purposes of the motion. We are
18 entitled to the benefit of the district
19 court's judgment, which is always helpful and
20 usually persuasive.
21 Beckford v. Portuondo, 234 F.3d 128, 130 (2d Cir. 2000) (per
22 curiam) (citation and internal quotation marks omitted).
23 CONCLUSION
24 We have considered the defendants' other arguments in
25 support of the judgment below, insofar as they have been
26 appealed, and find them to be without merit. For the foregoing
27 reasons, the dismissal of the failure to promote claim is vacated
28 and the claim remanded for trial. The dismissal of the hostile
should be assessed. See Rodgers v. Western-Southern Life Ins.
Co., 12 F.3d 668, 675 (7th Cir. 1993) ("Perhaps no single act can
more quickly alter the conditions of employment and create an
abusive working environment than the use of an unambiguously
racial epithet such as 'nigger' by a supervisor in the presence
of his subordinates." (internal quotation marks and citation
omitted)). We therefore do not reach the issue.
24
1 work environment claim is vacated and remanded for
2 reconsideration.
25