Federal Circuits, D.C. Cir. (July 02, 1985)
Docket number: 84-5337
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Appeal from the United States District Court for the District of Columbia (D.C. Civil Action No. 83-1024).
Charles G. Aschmann, Jr. Alexandria, Va., for appellant.Daniel Bensing, Sp. Asst. U.S. Atty., Washington, D.C., with whom Joseph E. diGenova, U.S. Atty., and R. Craig Lawrence, Scott T. Kragie, Royce C. Lamberth, and Michael J. Ryan, Asst. U.S. Attys., Washington, D.C., were on the brief, for appellees.Before WRIGHT, MIKVA and STARR, Circuit Judges.Opinion for the court filed by Circuit Judge J. SKELLY WRIGHT.Opinion concurring in part and dissenting in part filed by Circuit Judge STARR.J. SKELLY WRIGHT, Circuit Judge:In Bundy v. Jackson, 641 F.2d 934 (D.C.Cir.1981), and Vinson v. Taylor, 753 F.2d 141 (D.C.Cir.1985), this court held that sexual harassment of a female employee by her male supervisor could, without any concrete adverse employment action having been taken against her, constitute a violation of Title VII of the Civil Rights Act of 1964. See 42 U.S.C. Sec . 2000e et seq. (1982). In those cases the sexual harassment complained of consisted of sexual advances and other sexual importunings by the male supervisors in question. This case presents a variation of that factual situation. Specifically, it poses the question whether a physically aggressive but not explicitly sexual act by a male supervisor against a female employee may constitute part of a prohibited pattern of sexual discrimination. We hold that it may.Based on that holding, we hold that the District Court here erred in granting summary judgment for the employer defendant on the plaintiff's sex discrimination/sexual harassment claim. We also hold that the District Court erroneously granted the defendant's motion for summary judgment on the plaintiff's reprisal claim. We then affirm, however, the District Court's disposition of the remaining claims--the age discrimination claim and the claim of sex discrimination in the provision of legal services.I. BACKGROUNDIris N. McKinney, the plaintiff-appellant here, is a GS-13 Budget Analyst with the Federal Aviation Administration (FAA). She was born on November 26, 1936. During 1982 she filed four charges of age and sex discrimination against her supervisors and the FAA.Initially, on April 30, 1982, she filed a written administrative complaint with the FAA Equal Employment Opportunity (EEO) officer, alleging that she had been illegally discriminated against on the basis of her sex, see 42 U.S.C. Sec . 2000e-16(a),1 and on the basis of her age, see 29 U.S.C. Sec . 633a(a) (1982).2With respect to the sex discrimination claim, Ms. McKinney generally alleged continuing verbal abuse and sexual harassment by Mr. Charles Whitfield, her second-line supervisor at the FAA.3 Although it is unclear from the record before us precisely what incidents of verbal abuse she was referring to,4 the sexual harassment allegedly included one incident on July 3, 1975, when Mr. Whitfield allegedly exposed himself to Ms. McKinney, and another on March 21, 1981, when he allegedly rubbed up against her and asked her for sexual favors. See Plaintiff's Responses to Defendants' First Set of Interrogatories, filed October 24, 1983, Answer 3. See also Deposition of Iris McKinney, filed February 26, 1985, at 15-17.5 Ms. McKinney also alleged that William A. Plissner, Mr. Whitfield's supervisor, had participated in this continuing sexually discriminatory treatment by sending Ms. McKinney a letter of warning and a proposed suspension letter. See Complaint, filed April 8, 1983, at 3-4.The culmination of this treatment, and the incident detailed in the complaint, was an assault by Mr. Whitfield that was alleged to have occurred on February 25, 1982.6 On that date Ms. McKinney had met with Mr. Whitfield in his office, apparently to allow Mr. Whitfield to discuss a temporary lay-off without pay necessitated by an FAA funding shortage. Ms. McKinney was to sign a letter acknowledging the "furlough" and the fact that she had been advised of her rights relating to this furlough. At the meeting in Mr. Whitfield's office, Ms. McKinney signed the letter. Having done so, she started to leave the office. The letter dropped to the floor. Mr. Whitfield then ordered Ms. McKinney to retrieve the letter, but Ms. McKinney fled to her own office without doing so. Mr. Whitfield pursued her into her office and there either fired her or threatened to fire her. According to Ms. McKinney, she attempted to leave the office but Mr. Whitfield forcefully prevented her from doing so by grabbing her arm and twisting it. She eventually escaped, but not before, as she alleges, she sustained substantial physical injury.7With respect to the age discrimination claim, Ms. McKinney alleged in this same April 30, 1982 administrative complaint that she had been prevented from obtaining a promotion by Mr. Whitfield and others within the FAA. Specifically, her allegations are directed toward a promotion vacancy that was first announced in March of 1981.8 At that time she applied for the position and was apparently included on a "highly qualified" list. Then, she alleged, her SF-171 (the government personal qualifications form that must accompany any government personnel decision) disappeared. She alleged that this disappearance was brought about intentionally, probably by Mr. Whitfield, for the purpose of ensuring that she would not be considered for the promotion. Before any selection was made, the vacancy was cancelled in June 1981. Thereafter another, younger, individual was selected to fill the position on a temporary basis.9 Ms. McKinney believed that this person had been pre-selected for the vacancy. When the job was reopened in October 1981, Ms. McKinney did not apply, allegedly because she knew that the other individual had already effectively been selected for the position and because Mr. Whitfield had ordered her not to apply. The younger employee was officially selected for the vacancy in early January 1982.On July 14, 1982 Ms. McKinney filed a second administrative complaint. In this complaint she noted that, in previous grievance proceedings with the FAA and with respect to her charges of assault and battery against Mr. Whitfield stemming from the February 25, 1982 incident, the government had provided Mr. Whitfield with legal representation. She also noted that the government had refused to provide her with legal representation. She complained that this disparate treatment constituted sex discrimination.Finally, on September 1, 1982, Ms. McKinney filed a third administrative complaint. In this complaint she focused on her transfer from the FAA Budget Review & Reports Staff to the FAA Advanced Automation Program Office in August of 1982, which she alleged to have been in retaliation for her filing of the earlier discrimination complaints. It appears that this transfer had occurred in violation of an internal FAA regulation, which provides for no transfers while an Equal Employment Opportunity Commission (EEOC) investigation is ongoing. See DEPARTMENT OF TRANSPORTATION, FEDERAL AVIATION ADMINISTRATION, Equal Opportunity in FAA Employment, Order 1400.8, p 810.10 And, although not disputing that she had previously requested a transfer to get away from Mr. Whitfield and that an FAA Grievance Examiner (responding to an earlier internal grievance filed by Ms. McKinney) had recommended such a transfer, Ms. McKinney alleged that the transfer was actually made in retaliation for her earlier EEO complaints. She also noted that she had objected to it. It further appears that this transfer was to a position with the same pay and of the same grade as her previous position. Ms. McKinney, however, alleged that the new position was temporary and in an area with which she was not very familiar, and that her job security and chances of promotion were consequently significantly lower than they would have been had she stayed in her previous job, which was permanent and in which she was proficient.After 180 days had passed without formal agency action being taken on her administrative complaints, Ms. McKinney filed suit in the District Court, alleging the same discriminatory incidents that she had set forth in those complaints. After discovery, the defendant moved to dismiss the suit for failure to state a claim under Fed.R.Civ.P. 12(b)(6) or, in the alternative, for summary judgment under Fed.R.Civ.P. 56. In conjunction with this motion the defendant submitted to the District Court a document labelled "Statement Of Material Facts As To Which There Is No Genuine Issue," filed January 6, 1984 (Statement). The plaintiff responded with an opposition to the motion. The District Court then granted the defendant's motion, dismissing Ms. McKinney's claims with prejudice. She now appeals.II. STANDARD OF REVIEWThe first question we must resolve in reviewing the District Court's decision is what standard governs our review. This depends on whether the dismissal of the claims by the District Court was summary judgment for the defendant or simply a Rule 12(b)(6) dismissal for failure to state a claim. The record, however, is not clear on this point.The defendant's motion was styled as an alternative motion to dismiss for failure to state a claim and for summary judgment. And the District Court's opinion is unclear as to whether it was dismissing Ms. McKinney's complaint for failure to state a claim or granting summary judgment for the defendant because of the proven absence of any genuine issue of material fact. For example, although the District Court indicated in its opinion that it had reviewed the entire record, see Memorandum Order filed April 19, 1984 (Mem.Ord.), at 3, it also stated, with respect to at least two of Ms. McKinney's claims (the sexual harassment and reprisal claims), that it was dismissing them for failure to state a cause of action. See id. at 4, 5-6. Further, the District Court simply ordered that the defendant's motion in the alternative be granted and that the action be dismissed; it did not specify which of the alternative motions it was granting. See id. at 7.Regardless of this lack of clarity, it is evident that the District Court considered materials outside the pleadings in dismissing the case. Addressing such a situation, Rule 12(b) states that "[i]f, on a [Rule 12(b)(6) motion], matters outside the pleading are presented to and not excluded by the court, the motion shall be treated as one for summary judgment and disposed of as provided in Rule 56." See also Carter v. Stanton, 405 U.S. 669, 92 S.Ct. 1232, 31 L.Ed.2d 569 (1972) (per curiam ); Tele-Communications of Key West, Inc. v. United States, 757 F.2d 1330, 1334 (D.C.Cir.1985). And this court has held that, as long as the relevant notice requirements have been met,11 we will treat a dismissal where a District Court considered matters outside the pleadings as a summary judgment even if the District Court itself did not clearly do so. See id. See also Mazaleski v. Treusdell, 562 F.2d 701, 708 (D.C.Cir.1977). In this case it is evident that the applicable notice requirements were met and that no unfairness occurred: In fact, the plaintiff herself treated the motion as one for summary judgment. Thus we properly review the District Court's decision as summary judgment for the defendant, regardless of how the District Court itself styled it.Rule 56(c) states that a District Court may grant a motion for summary judgment if the record shows "that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law." It is now long established that summary judgment is proper only when the moving party demonstrates the absence of any genuine and material factual issue. See Adickes v. S.H. Kress & Co., 398 U.S. 144, 157, 90 S.Ct. 1598, 1608, 26 L.Ed.2d 142 (1970); Catrett v. Johns-Manville Corp., 756 F.2d 181, 184 (D.C.Cir.1985); Kreuzer v. American Academy of Periodonotology, 735 F.2d 1479, 1495 (D.C.Cir.1984).The burden on a party moving for summary judgment is affirmative: "The party seeking summary judgment has the burden of showing there is no genuine issue of material fact, even on issues where the other party would have the burden of proof at trial, and even if the opponent presents no conflicting evidentiary matter." Weisberg v. U.S. Dep't of Justice, 627 F.2d 365, 368 (D.C.Cir.1980). See also Catrett, supra, 756 F.2d at 184-185 n. 10 (citing cases). That is, the moving party must present affirmative evidence of facts that, if true, would compel a judgment for that party. For example, mere denial by a moving defendant of the allegations made by a nomoving plaintiff in his or her complaint is not enough. See 10A C. WRIGHT, A. MILLER, & M. KANE, FEDERAL PRACTICE AND PROCEDURE Sec. 2727 at 131 & n. 11 (2d ed. 1983).In assessing whether a party moving for summary judgment has met his or her burden, a court must view all inferences to be drawn from underlying facts in the light most favorable to the party opposing the motion. See United States v. Diebold, Inc., 369 U.S. 654, 82 S.Ct. 993, 8 L.Ed.2d 176 (1962) (per curiam ); Kreuzer, supra, 735 F.2d at 1495; Williams v. WMATA, 721 F.2d 1412 (D.C.Cir.1983). In fact, " 'the record must show the movant's right to [summary judgment] "with such clarity as to leave no room for controversy," and must demonstrate that his opponent "would not be entitled to [prevail] under any discernible circumstances." ' " Id. at 1415 (quoting Nat'l Ass'n of Gov't Employees v. Campbell, 593 F.2d 1023, 1027 (D.C.Cir.1978) (quoting Nyhus v. Travel Management Corp., 466 F.2d 440, 440 (D.C.Cir.1972) (footnote omitted)). See also Kreuzer, supra, 735 F.2d at 1495. Summary judgment " 'should be awarded only when the truth is quite clear.' " Weiss v. Kay Jewelry Stores, Inc., 470 F.2d 1259, 1262 (D.C.Cir.1972) (footnote omitted).If the moving party meets this burden, then and only then is the nonmoving party required to proffer evidence that contradicts the moving party's showing and that proves the existence of a genuine issue of material fact. See Catrett, supra, 756 F.2d at 184. If the moving party does not meet its burden, however, the nonmoving party is, without making any showing, entitled to a denial of the motion. See Adickes, supra, 398 U.S. at 161, 90 S.Ct. at 1610. Although it is risky for a nonmoving party to fail to proffer evidence in response to the moving party's showing, such a failure does not automatically mandate granting of the motion. See id.12This standard for determining whether a moving party is entitled to summary judgment applies equally at trial and on appeal. See Williams, supra, 721 F.2d at 1415 (citing cases). Consequently, our review of a District Court's grant of summary judgment must track the analysis delineated above for Ms. McKinney's four discrimination claims: (1) sexual harassment, (2) age discrimination, (3) sex discrimination in provision of legal representation, and (4) reprisal.III. SEX DISCRIMINATION/SEXUAL HARASSMENT CLAIMA. BackgroundIn her complaint in the District Court Ms. McKinney alleged that[i]n the [administrative] discrimination complaint of April 30, 1982, Plaintiff stated that she had been sexually harassed by the Defendant, Charles A. Whitfield, and that, in order to protect Mr. Whitfield from any charges of misconduct, the Defendant, William Plissner, Director of the Office of Budget, had sent plaintiff a letter of warning and a proposed suspension letter. Plaintiff also stated that Mr. Whitfield had verbally abused her on several occasions. Plaintiff reasserts these allegations and states that this conduct constituted sexual discrimination in violation of Title VII of the Civil Rights Act of 1964, as amended * * *. * * *Complaint at 3-4.In Defendant's Statement Of Material Facts As To Which There Is No Genuine Issue the defendant responded to this allegation by noting that the specific incident of sexual harassment/discrimination referred to here was the alleged assault and battery of Ms. McKinney by her supervisor Mr. Whitfield. The defendant contended with respect to this incident that Ms. McKinney had not suggested that there were any sexual connotations to this incident or that it comprised "any attempt to obtain or to coerce plaintiff to engage in any form of sexual act." Statement at 2, p 3. The defendant then noted that the complaint alleged a warning letter issued to Ms. McKinney by Mr. Plissner and verbal abuse of Ms. McKinney by Mr. Whitfield. With respect to these statements the defendant noted that Ms. McKinney, when asked, failed to identify any instance of verbal abuse within the 30 days prior to the filing of her first administrative complaint. See id. at 2, p 6.13 (The defendant did not assert that Ms. McKinney had not identified specific instances of verbal abuse that allegedly occurred before that time.14 )Based on these asserted facts, the defendant argued that any incidents of verbal abuse could not form the basis for a timely complaint. In addition, the defendant contended that Ms. McKinney's claim of sexual harassment failed to state a claim upon which relief could be granted because there were no sexual overtones to the alleged assault incident and because there was a "legitimate, nondiscriminatory reason" for Mr. Whitfield acting as he had.15 What that reason might be, however, was not elucidated. See Memorandum of Points and Authorities in Support of Defendant's Motion to Dismiss, or in the Alternative, for Summary Judgment, filed January 6, 1984, at 11-12.16 Overall, therefore, the defendant's argument was apparently that, since Ms. McKinney had alleged no incidents of sex discrimination/sexual harassment that fell within the correct time frame (since the verbal abuse incidents were earlier and the assault was legally insufficient), her sex discrimination/sexual harassment claim was not timely.In response to the defendant's motion and statement Ms. McKinney filed an opposition to the motion for summary judgment. In this opposition she asserted thatMr. Whitfield's physical assault of Miss McKinney was obviously sexually motivated, because she had thwarted his earlier sexual advances, such as the one on March 20, 1981.17 In addition, sex discrimination is evidenced by disparate treatment, not necessarily or solely by lustful acts. It is equally obvious that Mr. Whitfield would not have assaulted a man in the manner he assaulted Miss McKinney (Whitfield Deposition, pgs. 22, 23).18 Because Miss McKinney was treated differently than a man would have been treated and because the assault culminated a period of sexual coercion, the assault is replete with sexual harassment.Plaintiff's Opposition to Defendant's Motion for Summary Judgment, filed January 30, 1984, at 4-5.In ruling on the defendant's motion the District Court noted that "[p]laintiff has failed to substantiate her characterization of the altercation with her supervisor as 'sexual harassment,' which is defined as '[u]nwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature....' 29 C.F.R. Sec. 1604.11(a)." Mem.Ord. at 3. The District Court went on to observe that Ms. McKinney had not substantiated her allegation that the other incidents were sexually based and that, with respect to the alleged incidents of verbal abuse, she had not even specified particular instances. In conclusion, the District Court stated that "[w]hether labeled as a conventional claim for sexual discrimination under Title VII or as one for specific sexual harassment, plaintiff has completely failed to allege facts, by affidavit or otherwise, which would create a genuine issue of discrimination based on sex." Id. at 4. Based on this analysis, the District Court concluded that the plaintiff had not stated a cause of action with respect to this claim.B. AnalysisOn this record, the question before us is whether summary judgment for the defendant was proper. The defendant's argument in support of its motion was apparently something like this: Given that the alleged assault by Mr. Whitfield on Ms. McKinney was simply violent and did not include overt sexual advances or suggestions, that assault, even if it occurred as alleged by Ms. McKinney, cannot constitute sexual discrimination. And, since none of the other incidents specifically alleged occurred within 30 days of the time the complaint was filed, there is no timely and sufficient allegation of sex discrimination.The District Court's analysis, however, seemed to focus on the idea that Ms. McKinney, by not alleging specific incidents with explicitly sexual overtones, had failed to "create a genuine issue of discrimination based on sex," Mem.Ord. at 4, and that she had never substantiated her allegations of verbal abuse at all.We believe the brief analysis suggested by the District Court's opinion incorporates two legal mistakes. First, the District Court appeared to place the burden of showing that there was an issue of material fact on the plaintiff. As noted above, however, the burden is clearly on the moving party--here the defendant--to show that there is not an issue of material fact. Only where the moving party carries that burden does the burden shift to the nonmoving party to show that there is a genuine factual issue. Second, the District Court appears to have assumed that an incident of physical force toward an employee by a supervisor cannot constitute sexual discrimination or harassment unless it is for the purpose of obtaining sexual favors or is otherwise blatantly sexually oriented. This assumption, however, is legally flawed.Title VII provides that "[i]t shall be an unlawful employment practice for an employer--(1) to fail or refuse to hire or to discharge any individual, or otherwise to discriminate against any individual with respect to [her] compensation, terms, conditions, or privileges of employment, because of such individual's * * * sex * * * [.]" 42 U.S.C. Sec . 2000e-2(a)(1).19 In previous cases dealing with sexual harassment this court has noted that the relevant legal question is whether such harassment comprised a "condition of employment." If it does--that is, if it is sufficiently patterned or pervasive to comprise a condition, see Bundy, supra, 641 F.2d at 943 n. 9--and if it is apparently caused by the sex of the harassed employee--that is, if "[b ]ut for her womanhood," id. at 942 (emphasis in original), the harassment would not have occurred, then such harassment violates Title VII.We have never held that sexual harassment or other unequal treatment of an employee or group of employees that occurs because of the sex of the employee must, to be illegal under Title VII, take the form of sexual advances or of other incidents with clearly sexual overtones. And we decline to do so now. Rather, we hold that any harassment or other unequal treatment of an employee or group of employees that would not occur but for the sex of the employee or employees may, if sufficiently patterned or pervasive, comprise an illegal condition of employment under Title VII.20This conclusion is buttressed by decisions in other circuits regarding the "conditions of employment" provision of the statute. Several courts have held that differential treatment of employees on account of their sex, even if the treatment is not obviously related to the characteristic of sex, violates the "conditions of employment" provision of Title VII. For example, forcing female employees to wear uniforms while allowing male employees to wear their own suits was held by the Seventh Circuit to violate Title VII. See Carroll v. Talman Federal S & L Ass'n, 604 F.2d 1028, 1032-1033 & n. 13 (7th Cir.1979), cert. denied,Try vLex for FREE for 3 days
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