Smith v. Cheyenne Retirement Investors
Opinion
Plaintiff Diane Smith, a former employee of the Pointe Frontier assisted living facility in Cheyenne, Wyoming, brings this suit under Title VII of the Civil Rights Act of 1964 alleging that she was unlawfully terminated by Pointe Frontier in 2014 in retaliation for filing a complaint with the United States Equal Employment Opportunity Commission ("EEOC") in 2012. Finding that Ms. Smith had failed to exhaust her administrative remedies, the district court dismissed her claim for lack of subject matter jurisdiction, and, in the alternative, found that there was no genuine issue of material fact and granted summary judgment for Defendant. We now AFFIRM the district court's decision that Plaintiff failed to exhaust her administrative remedies, and REMAND with instructions to VACATE the order and dismiss the suit without prejudice.
I. BACKGROUND
In 2012, Ms. Smith, then a food server at the Pointe Frontier assisted living facility, filed a complaint with the EEOC alleging that she had been harassed and intimidated by her supervisors and denied promotions and advancements all on the basis of her age and race, and in retaliation for previous discrimination complaints. ("2012 EEOC Charge"). The EEOC dismissed this charge in 2013, finding that "there was no reasonable cause to conclude that [Pointe Frontier] engaged in discriminatory acts detrimental to [Ms. Smith]." Aplt. App. at 106. On November 12, 2013, the EEOC issued a right-to-sue letter, giving her ninety days to file the claims alleged in the 2012 EEOC Charge in federal or state court. Ms. Smith did not pursue her 2012 claims in federal or state court, and her "window" to sue closed on February 10, 2014.
In early 2014, roughly the same time this window closed, Pointe Frontier hired Rayland Hepner, a shift leader whose responsibilities included overseeing Ms. Smith's work. According to Ms. Smith, Mr. Hepner immediately began to "harass" her, by subjecting her to enhanced scrutiny compared to her colleagues. Id. at 202-04. Ms. Smith had previously served as a shift leader herself, and she testified that "the stuff that he was doing to me, I sure wasn't told to do it to nobody, and never did it to anybody." Id. at 204. Because this treatment began immediately after Mr. Hepner started, when there was "nothing he could have known about [Ms. Smith,]" id. at 202, Ms. Smith testified that she believed he "had been instructed" to treat *1162 her that way because she had filed the 2012 EEOC Charge, id. ; see also id. at 203 ("He wouldn't - he wouldn't have had no other reason to - to my knowledge. I didn't know him. He was a new person.").
On April 7, 2014, Ms. Smith called the Pointe Frontier employee hotline to complain about the harassment she was receiving at Mr. Hepner's hands. Id. at 118-19. According to the log of the call, Ms. Smith detailed that she had been "harassed on a daily basis" for the past five weeks, and in addition to Mr. Hepner she also named James Oliver, the facility's general manager, and several other administrators as the perpetrators of this harassment. Id. at 118. She did so because she did "not understand who is instructing [Mr. Hepner] to behave in this manner, as previous shift leaders have not used the same methods in handling employees." Id. at 119. Two weeks later, on April 21, 2014, Ms. Smith was called into Mr. Oliver's office, and her employment was terminated.
Ms. Smith responded to her termination by filing a second Charge of discrimination with the EEOC. ("2014 EEOC Charge"). In the 2014 EEOC Charge, Ms. Smith alleged that she was "subjected to disparate treatment and a hostile work environment and was fired from [her] server position after [she] complained." Id. at 129. In the section of the 2014 EEOC Charge entitled "DISCRIMINATION BASED ON," Ms. Smith checked the boxes for "RACE," "AGE," and "RETALIATION." Id. She elaborated by saying that she believed she had been "discriminated against based on my race/color (black) and age (56), and that I was retaliated against for complaining against [sic] discriminatory treatment[.]" Id.
Importantly for our current purposes, the 2014 EEOC Charge does refer back to the events of 2012. Id. at 129-30 ("Previous examples of disparate/discriminatory treatment occurred in September 2012 when demoted from being a shift leader."). While this sentence references the treatment that precipitated the 2012 EEOC Charge, it does not reference the 2012 EEOC Charge itself. Ms. Smith then elaborates in much greater detail about the complaints she made to management about Mr. Hepner in early 2014. Id. at 130 ("I complained to manager James Oliver on March 28, 2014 about Rayland's discriminatory treatment and how badly he talked to me .... He dismissed my complaints and tried to convince me that Rayland is a good guy."). Ms. Smith further notes that, on the basis of this conversation, she was "looked upon as a trouble maker for complaining." Id.
Finally, Ms. Smith concluded the 2014 EEOC Charge by alleging that "the real reason [she] was fired is because [she] complained against [Mr. Hepner's] discriminatory treatment." Id. At no point does the 2014 EEOC Charge reference the 2012 EEOC Charge, and indeed, Mr. Hepner was not hired and did not become her supervisor until 2014.
In responding to the 2014 EEOC Charge, however, Pointe Frontier did reference Ms. Smith's earlier EEOC action. Pointe Frontier explained to the EEOC that this is "Ms. Smith's second EEO charge," and that previously "the EEOC decided in favor of Pointe Frontier." Id. at 135. Pointe Frontier went on to explain that Ms. Smith appealed the EEOC determination, but "after Pointe Frontier incurred thousands of dollars in legal fees to fight the appeal, Ms. Smith failed to complete her part in the appeal so the hearing officer granted a motion for default." Id. On April 4, 2016, the EEOC determined that, on the basis of the 2014 EEOC Charge, it was "unable to conclude that the information obtained establishes violations of the statutes," and provided Ms. Smith notice of her right to sue. Id. at 132.
*1163 Ms. Smith subsequently filed this lawsuit. In her brief Complaint, Ms. Smith alleged that her termination was "pretextual and in retaliation for filing the previous charge of discrimination in 2012." Id. at 7; see also id. ("The termination of the plaintiff by the defendant was motivated by the plaintiff's filing of a charge of discrimination with the [EEOC.]"). As evidence, Ms. Smith cited the facility's decision to reference the 2012 EEOC Charge in responding to the 2014 EEOC Charge. Ms. Smith's allegation that she was fired in retaliation for filing the 2012 EEOC Charge is the only ground for relief listed in the Complaint.
Pointe Frontier moved to dismiss for lack of subject matter jurisdiction, or, in the alternative, for summary judgment. As to the former, Defendant argued that Ms. Smith had failed to exhaust her administrative remedies because the claim pled in her Complaint is not the same as what she pled in the 2014 EEOC Charge. Ms. Smith opposed both motions.
After holding a hearing on the motions, the district court granted the motion to dismiss for lack of subject matter jurisdiction, and, in the alternative, granted Defendant's motion for summary judgment. Ms. Smith timely appealed. Exercising appellate jurisdiction under
II. DISCUSSION
As a threshold matter, the district court treated Defendant's failure-to-exhaust argument as challenging the court's subject matter jurisdiction, in accord with several Tenth Circuit cases establishing the exhaustion requirement as such. Aplt. App. 240 (citing
Chung v. El Paso Sch. Dist. #11
,
At the time the district court issued its opinion, these cases were still good law in the Tenth Circuit, although we had taken note of our status as the only circuit still to treat EEOC exhaustion as a jurisdictional requirement instead of an affirmative defense,
see, e.g.
,
Logsdon v. Turbines, Inc.
,
In most cases, including this one, this distinction between a jurisdictional requirement and an affirmative defense is immaterial. "The characterization is important ... only when the defendant has waived or forfeited the issue[,]" because if exhaustion is not jurisdictional, "the court must dismiss only if the issue has been properly presented for decision."
McQueen ex rel. McQueen v. Colo. Springs Sch. Dist. No. 11
,
We review the district court's legal determination that a plaintiff has failed to exhaust her administrative remedies de novo.
Thomas v. Parker
,
The exhaustion rule derives from two principal purposes: "1) to give notice of the alleged violation to the charged party; and 2) to give the EEOC an opportunity to conciliate the claim, which effectuates Title VII's goal of securing voluntary compliance."
Ingels v. Thiokol Corp.
,
*1165
overruled on other grounds as recognized by
Davidson v. America Online, Inc.
,
While the 2014 EEOC Charge does allege retaliation, it is clear from the text of that charge that it does not encompass retaliation for having filed the 2012 EEOC Charge, which is the Title VII violation Ms. Smith now alleges in federal court. The first line of the 2014 EEOC Charge alleges that Ms. Smith was "subjected to disparate treatment and a hostile work environment and was fired from my Server position after I complained." Aplt. App. at 129. While this alone would perhaps be sufficient to suggest the "complaint" referenced was the 2012 EEOC Charge, Ms. Smith spends the rest of the 2014 EEOC Charge making clear this is not the case. Ms. Smith elaborates that she "complained to manager James Oliver on March 28, 2014 about [Hepner's] discriminatory treatment," and that while nothing happened as a result of this complaint she "was looked upon as a trouble maker for complaining." Id. at 130. While this "complaint" to the General Manager is described in detail in the 2014 EEOC Charge, the 2014 EEOC Charge makes only a passing reference to the events that precipitated the 2012 EEOC Charge, and in fact never mentions that a charge was filed in 2012. Finally, the 2014 EEOC Charge concludes by saying "the real reason I was fired is because I complained against [sic] Rayland's discriminatory treatment." Id. (emphasis added). Given that Rayland Hepner was not hired at Pointe Frontier until 2014, that line alone makes clear that the 2014 EEOC Charge does not encompass the claims Ms. Smith now brings, namely that she was fired for filing the earlier 2012 EEOC Charge.
Recognizing that the 2014 EEOC Charge, on its face, does not reference the 2012 EEOC Charge, Ms. Smith urges us to consider Pointe Frontier's response, which does, in passing, mention the 2012 EEOC Charge. In responding to Ms. Smith's 2014 EEOC Charge, Pointe Frontier alerted the EEOC that this was "Ms. Smith's second EEO Charge ... against Pointe Frontier[,]" and that the EEOC had previously "decided in favor of Pointe Frontier[.]" Aplt. App. at 135. Pointe Frontier also referenced the case number of the 2012 EEOC Charge.
This argument has a certain appeal. After all, the test is whether the claim Ms. Smith now brings in federal court was within the scope of the administrative investigation that would "reasonably be expected to follow from the discriminatory
acts
alleged in the administrative charge."
Jones
,
But we have consistently held, time and again, that the reasonable and likely scope of the investigation is determined by the allegations contained in the
Charge
itself, rather than in the Charge and any responsive documents.
See, e.g.
,
*1166 Logsdon , 399 Fed.Appx. at 379 (refusing to enlarge the reasonable scope of EEOC investigation to include adverse employment actions not referenced in charge but referenced in response).
And there is good reason for this requirement. After all, the twin purposes of the exhaustion requirement would be ill-served if an employer's response could expand the scope of the EEOC inquiry.
See
Ingels
,
Because EEOC Charges are traditionally filed by non-attorneys, we have repeatedly emphasized that the Charges should be "liberally construe[d]" at all levels of their review.
See, e.g.
,
Jones
,
Accordingly, because Ms. Smith's claim was not within the scope of her 2014 EEOC Charge, we AFFIRM the district court's decision to dismiss the complaint. However, because the district court continued on to consider Pointe Frontier's motion for summary judgment in the alternative-holding that summary judgment was appropriate-it ultimately dismissed Ms. Smith's claim with prejudice. "Ordinarily, a dismissal based on a failure to exhaust administrative remedies should be
without
prejudice."
Gallagher v. Shelton
,
Therefore we REMAND to the district court with instructions to VACATE its previous order in its entirety and DISMISS the complaint without prejudice. Cf.
*1167
United States v. Munsingwear, Inc.
,
Some of our precedents, decided under a jurisdictional scheme, suggest that exhaustion of administrative remedies is a jurisdictional fact reviewed for clear error.
See, e.g.
,
McBride v. CITGO Petroleum Corp.
,
What claims the EEOC might reasonably be on notice of is, of course, fact specific, and our ruling here is necessarily cabined by the allegations in this 2014 EEOC charge.
Reference
- Full Case Name
- Diane SMITH, Plaintiff - Appellant, v. CHEYENNE RETIREMENT INVESTORS L.P., D/B/A Pointe Frontier Retirement Community, Defendant - Appellee.
- Cited By
- 135 cases
- Status
- Published