Daino H. Jerome, Complainant,v.Aida Alvarez, Administrator, Small Business Administration, Agency.

Equal Employment Opportunity CommissionJan 9, 2001
01982522jerome (E.E.O.C. Jan. 9, 2001)

01982522jerome

01-09-2001

Daino H. Jerome, Complainant, v. Aida Alvarez, Administrator, Small Business Administration, Agency.


Daino H. Jerome v. Small Business Administration

01982522

January 9, 2001

.

Daino H. Jerome,

Complainant,

v.

Aida Alvarez,

Administrator,

Small Business Administration,

Agency.

Appeal No. 01982522

Agency No. 03-93-373

DECISION

Complainant timely initiated an appeal from a final agency decision

(FAD) concerning his complaint of unlawful employment discrimination in

violation of Title VII of the Civil Rights Act of 1964 (Title VII), as

amended, 42 U.S.C. � 2000e et seq., the Age Discrimination in Employment

Act of 1967 (ADEA), as amended, 29 U.S.C. � 621 et seq., and Section 501

of the Rehabilitation Act of 1973 (Rehabilitation Act), as amended, 29

U.S.C. � 791 et seq.<1> The appeal is accepted pursuant to 29 C.F.R. �

1614.405.<2> Complainant alleged that he was discriminated against on

the bases of race (yellow), national origin (Japan and American Indian),

age (over 40 years of age), disability (hearing), and retaliation,

including harassment, when: (1) he was denied promotion to GS-13; (2)

performance standards were applied differently for complainant than they

were for similarly situated co-workers; (3) he received an unacceptable

performance rating for fiscal year 1992; (4) adverse material was put into

his personnel file (i.e., that complainant had a speech impediment); and

(5) he was the victim of racial slurs (i.e., called �wool-fat� (Chinese

character) and �Wine Vega� [Winnebago] (car) by his supervisor.

BACKGROUND

The record reveals that during the relevant time, complainant, born

May 24, 1949, was employed as a special agent/criminal investigator,

GS 1811-12, at the agency's Office of Inspector General, Investigation

Divisions. Believing he was a victim of discrimination, complainant

sought EEO counseling and subsequently filed a formal complaint on

March 23, 1993. At the conclusion of the investigation, complainant was

informed of his right to request a hearing before an EEOC Administrative

Judge or, alternatively, to receive a final decision by the agency.

While it appears that complainant requested a hearing, there is no record

that a hearing was held.<3> The agency issued a final agency decision

(FAD) on January 16, 1998.

At the time of the complaint, complainant was detailed to the agency's

Chicago, IL, Field Office. Complainant had previously been assigned

to the agency's Dallas, TX, Field Office. While at the Dallas Field

Office, he had been terminated for poor performance on August 9, 1991, but

reinstated on February 2, 1992, by order of the Merit Systems Protection

Board (MSPB). Upon reinstatement, he was detailed to the Chicago Field

Office.

In its FAD, the agency concluded that complainant had not been

discriminated against. With respect to the promotion allegation, the

agency found that complainant never asked about vacancy announcements,

and that, in any event, would not have been promoted because of

his poor work performance. With respect to the disparate treatment,

involving his performance standards, the agency found that complainant

provided no objective evidence to support this claim. Concerning his

�unacceptable� performance rating for FY 1992, for his employment at

the Chicago Field Office, the agency submits that the MSPB subsequently

ruled that complainant's detail to the Field Office was in violation of an

MSPB's previous decision, which had ordered complainant's reinstatement,

and thus no action was taken by the agency regarding the �unacceptable�

rating. With respect to the last two allegations, the agency takes the

position that they were previously litigated before the MSPB, and then

submits that because the MSPB case was subject to a protective order,

none of the rulings or evidence introduced in those proceedings were

admissible into evidence.

On appeal, complainant points out that he was wrongfully discharged on

August 9, 1991, by the agency in retaliation for exposing wrongdoing

under the Whistleblower Act, and that he was reinstated on February

2, 1992, by order of the MSPB. According to complainant, the agency

requested that the MSPB proceeding, and its related investigation by the

Federal Protective Service, be sealed under a protective order to �save

embarrassment� for the current and former managers' false statements and

testimonies. The complainant argues that the agency should therefore

be barred from using any statements of the management employees, who

testified before the MSPB, for purposes of the FAD. The complainant

further emphasizes that the MSPB case would have disclosed information

relevant to the discrimination case, since the position of the agency

before the MSPB was that complainant was a poor performer. With respect

to the promotion allegation, complainant argues that he was not made aware

of any promotions or vacancies, and that in his view, his supervisor's

objective was to terminate him. Concerning the performance standards

allegation, complainant points to new evidence discovered in January 1998,

and dated May 16, 1997, concerning an affair between a supervisor and

subordinate with rewards of favorable assignments, performance ratings,

promotion, and supervision. In addressing the racial slurs allegation,

complainant refers to a Grievance Report to his attorney dated February

17, 1990, which had been prepared pursuant to the MSPB litigation,

leading to his reinstatement. Complainant also submits this Report for

purposes of the present case generally. The agency did not file a reply.

FINDINGS AND ANALYSIS

The MSPB Proceeding

Complainant, on appeal, appears to believe that this is a mixed case

proceeding and that he therefore may properly include, at this time,

issues and matters litigated or that could have been litigated in the

MSPB proceeding. Even assuming arguendo complainant has raised a mixed

case complaint,<4> the complainant had 30 days from receipt of the final

decision of the MSPB to petition the Commission to consider the decision.

29 C.F.R. � 1614.303(c). Complainant did not petition the Commission to

consider any aspect of the MSPB decision within the required 30 days.

Accordingly, under the doctrine of claim preclusion (res judicata)<5>

and issue preclusion (collateral estoppel)<6> the present complaint

must be circumscribed, on the merits, to embrace only those claims

that were either not litigated or could not have been litigated in

the MSPB proceeding. See EEOC Compliance Manual on Threshold Issues,

�2 at 2-92 through 98 (May 12, 2000). We therefore do not address

the complainant's allegations, e.g., non-promotion, application of

performance standards, adverse performance ratings, etc., insofar as they

relate to complainant's August 9, 1991, termination in the proceeding

before the MSPB. See Grievance Report from complainant to his attorney

dated February 26, 1990 (Exhibit 3 attached to complainant's appeal).

Essentially, we address complainant's allegations insofar as they relate

to actions by the agency after he was reinstated by the MSPB.

The Sealing of the MSPB Proceeding

Complainant argues that the agency should be sanctioned by its failure

to unseal the records in the MSPB proceeding. EEOC Regulation 29 CFR

� 1614.108(c)(3) provides that where the agency �fail[s] without good

cause shown to respond fully and in [a] timely fashion to requests

for documents, records, comparative data, statistics, affidavits,

or the attendance of witness(es), . . . the Commission on appeal may,

in appropriate circumstances [ ] draw an adverse inference that the

requested information, or the testimony of the requested witness, would

have reflected unfavorably on the party refusing to provide the requested

information.� Complainant did not indicate with any specificity what

information he sought to have unsealed by the agency. Indeed, the

record does not show any specific request for evidence by complainant

made to the agency. Nor does complainant show he has been harmed by the

failure to unseal the records in the MSPB proceeding. Furthermore, it is

well settled that engaging in generic whistle-blowing is not protected

EEO activity. Accordingly, we do not find that the agency should be

sanctioned by its failure to seek to unseal the records in the MSPB

proceeding and decline to draw an adverse inference against the agency.

Merits of the Case

In general, claims alleging disparate treatment are examined under the

tripartite analysis first enunciated in McDonnell Douglas Corporation

v. Green, 411 U.S. 792 (1973); Prewitt v. USPS, 662 F.2d 292 (5th

Cir. 1981) (disability cases); Loeb v. Textron, 600 F.2d 1003 (1st

Cir. 1979)(requiring a showing that age was a determinative factor, in

the sense that "but for" age, complainant would not have been subject

to the adverse action at issue); Hochstadt v. Worcester Foundation for

Experimental Biology, Inc., 425 F.Supp. 318, 324 (D. Mass.), aff'd, 545

F.2d 222 (1st Cir. 1976)(applying McDonnell Douglas to reprisal cases).

A complainant must first establish a prima facie case of discrimination

by presenting facts that, if unexplained, reasonably give rise to

an inference of discrimination, i.e., that a prohibited reason was

a factor in the adverse employment action. McDonnell Douglas, 411

U.S. at 802; Furnco Construction Corp. v. Waters, 438 U.S. 567 (1978).

Next, the agency must articulate a legitimate, nondiscriminatory reason

for its action(s). Texas Department of Community Affairs v. Burdine,

450 U.S. 248 (1981). After the agency has offered the reason for its

action, the burden returns to the complainant to demonstrate, by a

preponderance of the evidence, that the agency's reason was pretextual,

that is, it was not the true reason or the action was influenced by

legally impermissible criteria. Burdine, 450 U.S. at 253; St. Mary's

Honor Center v. Hicks, 509 U.S. 502 (1993).

Complainant may establish a prima facie case of discrimination by showing

that he is a member of a protected group and that he was treated less

favorably than other similarly situated employees outside her protected

group. See Potter v. Goodwill Industries of Cleveland, 518 F.2d 864,

865 (6th Cir. 1975). Complainant may also set forth evidence of acts

from which, if otherwise unexplained, an inference of discrimination

can be drawn. Furnco, 438 U.S. at 576.

The established order of analysis in discrimination cases, in which the

first step normally consists of determining the existence of a prima

facie case, need not be followed in all cases. Where the agency has

articulated a legitimate, nondiscriminatory reason for the personnel

action at issue, the factual inquiry can proceed directly to the third

step of the McDonnell Douglas analysis, the ultimate issue of whether

complainant has shown by a preponderance of the evidence that the agency's

actions were motivated by discrimination. U.S. Postal Service Board of

Governors v. Aikens, 460 U.S. 711, 713-14 (1983); Hernandez v. Department

of Transportation, EEOC Request No. 05900159 (June 28, 1990).

1. Non-Promotion

The agency has articulated a legitimate, nondiscriminatory reason

for its failure to promote complainant to GS-13, i.e., that the

complainant was a poor performer, and thus essentially that those

promoted were better qualified than complainant. Complainant has

not shown pretext. Complainant does not argue that he was at least as

well or better qualified than those individuals selected for promotion.

Furthermore, complainant's FY 1992 PMAS Performance Rating (Investigation

Exhibit 16) (rating period 3/24/92 to 9/30/92) finds that complainant

was rated �Unacceptable.� He was rated �Fully Successful� on two

critical elements (�Prepares Investigative Plan� and �Maintains all Case

Documentation�). He was rated �Unacceptable� on one critical element

(�Conducts Complex Investigations�). This assessment was done by the

Special Agent in Charge (SAIC) in the Chicago Office for work complainant

had done while in Chicago. According to the SAIC, for anyone rated

unacceptable in one critical element, the person's overall rating would

be unacceptable. The rating official attached a two-page narrative in

justification of the �unacceptable rating.� Investigation Exhibit 16

also includes a Performance Improvement Period letter dated January

15, 1993, with considerable detail as to the agency's expectation of

complainant's improvement of performance for the future, as well a

discussion of complainant's past performance deficiencies. Complainant

has not attempted to rebut the specific

deficiencies outlined in the PMAS Performance Rating or the Performance

Improvement Period letter dated January 15, 1993.<7>

2. Application of Performance Standards.

The agency has articulated a legitimate, nondiscriminatory reason for

its application of performance standards, i.e., that the application was

based on complainant's work and performance. The FAD found that there

was no evidence to support complainant's claim. Complainant, on appeal,

points to a memorandum, dated May 16, 1997, from a special agent in the

Los Angeles Field Office to the SAIC of the Los Angeles Field Office,

essentially involving matters in that Office. The memorandum does

not relate to the application of performance standards, concerning

complainant and the Chicago Field Office. Complainant has not proven

beyond his mere assertion, nor does the record contain evidence that

complainant was discriminated against in the agency's application of

its performance standards. As previously indicated, complainant has

not attempted to rebut the specific deficiencies outlined in the PMAS

Performance Rating or the Performance Improvement Period letter dated

January 15, 1993. Under such circumstances, we conclude that complainant

has not shown pretext.

3. �Unacceptable� Performance Rating.

The agency primarily relies on the fact that no action was taken by

it, concerning complainant's work performance in Chicago, because

the MSPB found the detail to Chicago to be in violation of the MSPB's

reinstatement decision. Even so, the agency has articulated a legitimate,

nondiscriminatory reason for the issuance of the �unacceptable�

performance rating, i.e., that the rating was based on complainant's work

and performance. As previously indicated, complainant has not attempted

to rebut the specific deficiencies outlined in the PMAS Performance

Rating or the Performance Improvement Period letter dated January 15,

1993, which was intended to be in effect from January 1993 to March 1993.

Therefore, we conclude that complainant has not shown pretext.

4. Adverse Material in Complainant's Personnel File

Complainant alleges that someone put information into his personnel file,

indicating that he had a speech impediment. The FAD concluded that this

was previously litigated before the MSPB. Complainant does not dispute

this finding on appeal, and we have no reason to believe otherwise.

We therefore need not further address this matter.

5. Retaliation (including the Racial Slurs allegation)

With regard to retaliation discrimination, the Commission has stated

that:

The anti-reprisal provision of Title VII protects those who participate

in the EEO process and also those who oppose discriminatory employment

practices. Participation occurs when an employee has made a charge,

testified, assisted, or participated in any manner in an investigation,

proceeding or hearing. Participation also occurs when an employee files

a labor grievance, if the employee raised issues of unlawful employment

discrimination in the grievance. . . . A variety of activities has been

found to constitute opposition . . . . Because the enforcement of Title

VII depends on the willingness of employees to oppose unlawful employment

practices or policies, courts have interpreted section 704(a) of Title

VII as intending to provide �exceptionally broad protection to those

who oppose such practices'. . . ."

Whipple v. Department of Veterans Affairs, EEOC Request No. 05910784

(February 21, 1992) (citations omitted).

To establish a prima facie case of reprisal discrimination, complainant

must show that (1) he engaged in prior protected activity; (2) the

acting agency official was aware of the protected activity; (3) he was

subsequently disadvantaged by an adverse action; and, (4) there is a

causal link. The causal connection may be shown by evidence that the

adverse action followed the protected activity within such a period of

time and in such a manner that a reprisal motive is inferred. Simens

v. Department of Justice, EEOC Request No. 05950113 (March 28, 1996)

(citations omitted). "Generally, the Commission has held that nexus may

be established if events occurred within one year of each other." Patton

v. Department of the Navy, EEOC Request No. 05950124 (June 27, 1996).

In addition, the Commission has issued policy guidance evaluating

retaliation claims in the EEOC Compliance Manual, Volume I, Retaliation,

�8 ( May 20, 1998). There, it is pointed out that the retaliation

provisions prohibit any discrimination that is reasonably likely to

deter a complainant or others from engaging in protected activity.

Id. at 8-14 through 8-15. The retaliation

provisions do not restrict the actions that can be challenged to

those that affect the terms and conditions of employment. Id. at 8-15.

Accordingly, a violation will be found if an employer retaliates against

a worker for engaging in protected activity through threats, harassment in

or out of the workplace, or any other adverse treatment that is reasonably

likely to deter protected activity by that individual or other employees.

Id. at 8-15 through 8-16. The guidance goes on to suggest that the

degree of harm suffered by the individual goes to the issue of damages,

not liability. Id. at 8-14, citing Hashimoto v. Dalton, 118 F.3d 671,

676 (9th Cir. 1997).

To the extent complainant argues that he was retaliated against

through non-promotion, the application of performance standards, and

the �unacceptable� performance rating, we have already found that the

agency has articulated nondiscriminatory reasons for those actions, and

that complainant has failed to show pretext. With respect to the adverse

material in his personnel file (speech impediment) and the racial slurs

allegations, the record suggests that these matters were previously

addressed in the MSPB proceeding.<8> Indeed, the FAD found these

allegations were previously litigated before the MSPB, and complainant

presented no concrete evidence of such behavior by the agency after his

reinstatement in Chicago. Complainant's affidavit (Investigation Exhibit

6) and his February 1990 Grievance Report (Appeal Exhibit 3) further

confirm that the adverse material in his personnel file and racial slurs

allegations are based on actions prior to his reinstatement at the agency

and involved his then-supervisor at the Dallas, TX, office.

6. Harassment

Complainant has also alleged that he was subjected to harassment.

The harassment of an employee based on his/her race, color, sex,

national origin, age, disability, or religion is unlawful, if it is

sufficiently patterned or pervasive. McKinney v. Dole, 765 F.2d 1129,

1138-39 (D.C. Cir. 1985). To prevail on his harassment claims, however,

complainant must show that he was subjected to harassment because

of discriminatory factors with regard to an issue in his complaint.

In assessing allegations of harassment, the Commission examines factors

such as the frequency of the alleged discriminatory conduct, its severity,

whether it is physically threatening or humiliating and if it unreasonably

interferes with an employee's work performance. Harris v. Forklift

Systems, Inc., 510 U.S. 17 (1993). Consistent with the Commission's

policy and practice of determining whether a complainant's harassment

claims are sufficient to state a hostile or abusive work environment

claim, the Commission has repeatedly found that claims of a few isolated

incidents of alleged harassment usually are not sufficient to state a

harassment claim. See Phillips v. Department of Veterans Affairs, EEOC

Request No. 05960030 (July 12, 1996); Banks v. Health and Human Services,

EEOC Request No. 05940481 (February 16, 1995). In determining whether an

objectively hostile or abusive work environment existed, the trier of

fact should consider whether a reasonable person in the complainant's

circumstances would have found the alleged behavior to be hostile or

abusive.

To establish a prima facie case of hostile environment harassment,

complainant must show that: (1) he is a member of a statutorily protected

class; (2) he was subjected to harassment in the form of unwelcome verbal

or physical conduct involving the protected class; (3) the harassment

complained of was based on the statutorily protected class; and (4)

the harassment affected a term or condition of employment and/or had the

purpose or effect of unreasonably interfering with the work environment

and/or creating an intimidating, hostile, or offensive work environment.

Humphrey v. United States Postal Service, EEOC Appeal No. 01965238

(October 16, 1998); 29 C.F.R. � 1604.11.

To the extent complainant argues that the failure to promote, the

wrongful application of performance standards, and the performance rating

were harassment, we have already discussed these matters and found the

allegations to be without merit. To the extent complainant argues that

the agency put adverse material into his personnel file and engaged in

racial slurs, we have already discussed that these matters were addressed

in the MSPB proceeding, and complainant presented no concrete evidence

of such behavior by the agency after his reinstatement in Chicago.

CONCLUSION

Even to the extent the evidence presented in the MSPB termination

proceeding may have provided additional relevant background, it would

not have been dispositive, in view of the complainant's present failure

to meet his burden of persuasion involving the claims presently under

consideration by the Commission. Therefore, after a careful review of the

record, including complainant's contentions on appeal, we AFFIRM the FAD.

STATEMENT OF RIGHTS - ON APPEAL

RECONSIDERATION (M0900)

The Commission may, in its discretion, reconsider the decision in this

case if the complainant or the agency submits a written request containing

arguments or evidence which tend to establish that:

1. The appellate decision involved a clearly erroneous interpretation

of material fact or law; or

2. The appellate decision will have a substantial impact on the policies,

practices, or operations of the agency.

Requests to reconsider, with supporting statement or brief, must be filed

with the office of federal operations (OFO) within thirty (30) calendar

days of receipt of this decision or within twenty (20) calendar days of

receipt of another party's timely request for reconsideration. See 29

C.F.R. � 1614.405; Equal Employment Opportunity Management Directive for

29 C.F.R. Part 1614 (EEO MD-110), 9-18 (November 9, 1999). All requests

and arguments must be submitted to the Director, Office of Federal

Operations, Equal Employment Opportunity Commission, P.O. Box 19848,

Washington, D.C. 20036. In the absence of a legible postmark, the

request to reconsider shall be deemed timely filed if it is received by

mail within five days of the expiration of the applicable filing period.

See 29 C.F.R. � 1614.604. The request or opposition must also include

proof of service on the other party.

Failure to file within the time period will result in dismissal of your

request for reconsideration as untimely, unless extenuating circumstances

prevented the timely filing of the request. Any supporting documentation

must be submitted with your request for reconsideration. The

Commission will consider requests for reconsideration filed after

the deadline only in very limited circumstances. See 29 C.F.R. �

1614.604(c).

COMPLAINANT'S RIGHT TO FILE A CIVIL ACTION (S0900)

You have the right to file a civil action in an appropriate United States

District Court within ninety (90) calendar days from the date that you

receive this decision. If you file a civil action, you must name as

the defendant in the complaint the person who is the official agency head

or department head, identifying that person by his or her full name and

official title. Failure to do so may result in the dismissal of your

case in court. "Agency" or "department" means the national organization,

and not the local office, facility or department in which you work. If you

file a request to reconsider and also file a civil action, filing a civil

action will terminate the administrative processing of your complaint.

RIGHT TO REQUEST COUNSEL (Z1199)

If you decide to file a civil action, and if you do not have or cannot

afford the services of an attorney, you may request that the Court appoint

an attorney to represent you and that the Court permit you to file the

action without payment of fees, costs, or other security. See Title VII

of the Civil Rights Act of 1964, as amended, 42 U.S.C. � 2000e et seq.;

the Rehabilitation Act of 1973, as amended, 29 U.S.C. �� 791, 794(c).

The grant or denial of the request is within the sole discretion of

the Court. Filing a request for an attorney does not extend your time

in which

to file a civil action. Both the request and the civil action must be

filed within the time limits as stated in the paragraph above ("Right

to File A Civil Action").

FOR THE COMMISSION:

______________________________

Carlton M. Hadden, Director

Office of Federal Operations

January 9, 2001

Date

1The Rehabilitation Act was amended in 1992 to apply the standards in

the Americans with Disabilities Act (ADA) to complaints of discrimination

by federal employees or applicants for employment.

2 On November 9, 1999, revised regulations governing the EEOC's

federal sector complaint process went into effect. These regulations

apply to all federal sector EEO complaints pending at any stage in

the administrative process. Consequently, the Commission will apply

the revised regulations found at 29 C.F.R. Part 1614 in deciding the

present appeal. The regulations, as amended, may also be found at the

Commission's website at www.eeoc.gov.

3 Since complainant has not raised any concern about his request for a

hearing, we do not believe it is before the Commission on appeal.

4 A mixed case complaint is a discrimination complaint, filed with

the agency, that relates to or stems from an action that may also be

appealed to the MSPB. It appears from the FAD that matters involving

allegations four (adverse material on speech impediment in his personnel

file-Rehabilitation Act) and five (racial slurs-Title VII) were addressed

in the MSPB proceeding. The MSPB's proceeding would thus appear to

involve a mixed case complaint, embracing protected activity.

5 Res judicata thus precludes claims which a plaintiff actually raised

or could have raised in a prior suit when (1) there is a final judgment

in a prior suit on the merits; (2) the decision in the prior suit is

rendered by a court of competent jurisdiction; (3) the parties in both

suits are identical; and (4) both suits involve the same cause of action.

See Citibank N.A. v. Data Lease Fin. Corp., 904 F.2d 1498, 1501 (11th

Cir. 1990).

6Under the doctrine of collateral estoppel, �once an issue is actually

and necessarily determined by a court of competent jurisdiction, that

determination is conclusive in subsequent suits based on a different

cause of action involving a party to the prior litigation.� Montana

v. United States, 440 U.S. 147, 153 (1979), citing Parklane Hosiery

Co., Inc. v. Shore, 439 U.S. 322, 326 n.5 (1979)); see EEOC Request

No. 05940948 (June 3, 1996).

7 Complainant does summarily state that one of his cases which was

going to be used against him in his performance rating, resulted in

a certificate of commendation to complainant from the United States

Attorney General. Assuming this to be true, it would not counter balance

the deficiencies in complainant's performance as outlined by the SAIC.

8 These allegations in the MSPB proceeding, however, would appear to

provide the necessary protected activity condition precedent to an

allegation of retaliation.