Walton v. North Carolina Department of Agriculture and Consumer Services et al
Filing
94
ORDER granting 70 Motion for Summary Judgment; denying as moot 72 Motion to Exclude Testimony of Plaintiff's Proposed Expert Witnesses; denying as moot 73 Motion to Exclude Testimony of Plaintiff's Experts; and, granting 74 Mot ion for Summary Judgment - The court further REMANDS plaintiff's remaining claims against Brogden to the General Court of Justice, Superior Court Division, Wake County, North Carolina. Signed by District Judge Louise Wood Flanagan on 11/29/2011. (Baker, C.)
IN THE UNITED STATES DISTRICT COURT
FOR THE EASTERN DISTRICT OF NORTH CAROLINA
WESTERN DIVISION
NO.5:09-CV-302-FL
ANGELA D. WALTON,
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Plaintiff,
v.
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NORTH CAROLINA DEPARTMENT
OF AGRICULTURE AND
CONSUMER SERVICES and
ROBERT N. BROGDEN, JR.,
Defendants.
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ORDER
This matter comes before the court on motions of Robert N. Brogden, Jr. ("Brogden") (DE
# 70) and North Carolina Department ofAgriculture and Consumer Services ("NCDOA") (DE # 74)
for summary judgment. Also before the court are Brogden's and NCDOA's motions to exclude
testimony (DE ## 72, 73). These matters are ripe for adjudication.
STATEMENT OF THE CASE
On June I, 2009, plaintiff filed the instant action in Wake County Superior Court, claiming
assault and battery against both defendants and violation of Title VII of the Civil Rights Act, 42
U.S.C. § 2000e et seq., against NCDOA. On July 2, 2009, defendants removed the action to this
court. Thereafter, Brogden filed answer. NCDOA responded with motion to dismiss for lack of
subject matter jurisdiction, lack ofpersonal jurisdiction, and failure to state a claim upon which relief
may be granted.
Plaintiff filed amended complaint on October 5, 2009, wherein she withdrew any claim for
punitive damages against NCDOA. However, she added claims of intentional and negligent
infliction of emotional distress against both defendants, and, in the alternative, a claim against
NCDOA for violation of the North Carolina constitution. On October 19,2009, NCDOA moved
to dismiss plaintiffs supplemental state claims.
Brogden moved in response to the amended complaint to strike these allegations because
plaintiff had not sought leave of court. On November 17,2009, plaintiff moved for leave to amend
her amended complaint. On November 23,2009, NCDOA partially withdrew its first motion to
dismiss as it pertained to plaintiffs sexual harassment claim.
On February 17,2010, the court entered order granting plaintiffs motion to amend the
amended complaint. The court also dismissed plaintiffs assault and battery, intentional infliction
of emotional distress, negligent infliction of emotional distress, and state constitutional claims
against NCDOA. Plaintiffs Title VII claim against NCDOA and state tort claims against Brogden
remained pending.
Brogden answered plaintiffs second amended complaint on March 2, 2010, and NCDOA
answered on March 23, 2010. On June 20, 2011, defendants filed motions for summary judgment
and to exclude testimony ofplaintiff's proposed expert witnesses. Plaintiffresponded on August 8,
2011. Brogden replied on August 22, 2011. NCDOA replied on August 23, 2011.
STATEMENT OF FACTS
Angela D. Walton ("plaintiff') began employment with NCDOAon or about August 1,2001,
as Office Assistant IV in the NCDOA Horticultural Crops Research Station in Clinton, North
Carolina (the "Research Station"). Brogden, Research Station Superintendent, was plaintiffs
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immediate supervisor. I Dr. Sandy Maddox was Division Director of the Research Station and
supervised Brogden.
On November 3, 2004, plaintiff attended a course at NCDOA's Cherry Research Station in
Goldsboro, North Carolina, on sexual harassment in the workplace and NCDOA's policies related
thereto. 2 The course was conducted by Pamela Taylor, Employee Relations Director, and Linda
Jefferson, a then management official, both ofNCDOA Human Resources. The presenters defined
unlawful workplace harassment, detailed NCDOA policy, and discussed grievance procedures.
Attendees were instructed to report any sexual harassment to Human Resources within thirty
calendar days of the misconduct. In the alternative, employees could file complaints directly with
the Office of Administrative Hearings and/or the Equal Employment Opportunity Commission.
Based on the record before the court, the Research Station was a crude work environment
where sexual comments abounded. The relevant conduct here first began in March, 2007. Plaintiff
claims that Brogden exposed his penis to her repeatedly for two months, rubbed his clothed genitals
against her shoulder, and took plaintiffs hand and asked her to feel how hot his penis was. Brogden
maintains that he suffered from involuntary erections, due in part to a vasectomy procedure.
However, Brogden denies exposing his penis to plaintiff and denies ever touching her.
After about the second time Brogden exposed himself to plaintiff, she told Steven Warren,
Plaintiffand Brogden identify Brogden as the Research Station's Superintendent. NCDOA
designates him Research Operations Manager. Nonetheless, all agree that Brodgen was plaintiffs
immediate supervisor.
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Brogden attended a similar course on January 6, 2000.
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another employee at the farm. 3 Warren discouraged plaintiff from further pursuing her complaint.
Plaintiff also told 1. Mack Lewis, a maintenance mechanic, and Milton Sonny Dixon, a research
technician. Again, no one helped. Finally, on May 9,2007, plaintiff went to Dr. Maddox's house
and informed her of Brogden's conduct. Dr. Maddox told plaintiff to take several days off from
work.
Dr. Maddox then confronted Brogden and informed him that if he resigned, further
investigation would cease. Brogden resigned on or about May 17,2007.
Plaintiff returned to work on May 14,2007. But she felt ostracized at NCDOA, resigned on
November 16, 2007, and accepted a position at another state agency.
DISCUSSION
A.
Standard of Review
Summary judgment is appropriate when no genuine issue of material fact exists and the
moving party is entitled to judgment as a matter oflaw. Fed. R. Civ. P. 56(c); Anderson v. Liberty
Lobby, Inc., 477 U.S. 242, 247 (1986). In determining whether a genuine issue of material fact
exists for trial, the court must view the inferences drawn from the underlying facts in the light most
favorable to the nonmoving party. United States v. Diebold, Inc., 369 U.S. 654,655 (1962). Only
disputes between the parties over facts that might affect the outcome of the case properly preclude
the entry of summary judgment. Anderson, 477 U.S. at 247-48. Accordingly, the court must
examine the materiality and the genuineness of the alleged fact issues in ruling 'on this motion. Id,
at 248-49.
3 Plaintiffmaintains the Warren was the supervisorofthe farm. However, the organizational
chart for the Research Station designates Warren as Research Specialist.
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B.
NCDGA's Affirmative Defense
Title VII of the Civil Rights Act of 1964 states: "It shall be an unlawful employment practice
for an employer ... 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. § 2000e2(a)( I). "[A] plaintiff may establish a violation of Title VII by proving that discrimination based on
sex has created a hostile or abusive work environment." Meritor v. Sav. Bank, FSB v. Vinson, 477
U.S. 57. 66 (1986). To prevail on a Title VII hostile work environment claim, plaintiff must
establish four elements: (I) unwelcome conduct; (2) based on plaintiff s gender; (3) sufficiently
pervasive or severe to alter the conditions of employment and to create a hostile work environment;
and (4) some basis for imputing the liability to plaintiffs employer, NCDDA. Matvia v. Bald Head
Island Management, Inc., 259 F.3d 261, 266 (4th Cir. 2001).
If plaintiff establishes the above elements, the employer may raise an affirmative defense if
no tangible employment action was taken against the employee. Id. (citing Faragher v. City of Boca
Raton, 524 U.S. 775, 807-08 (1998) and Burlington Industries, Inc. v. Ellerth, 524 U.S. 742, 764-65
(1998)). The Faragher / Ellerth defense requires the employer to establish: "(a) that the employer
exercised reasonable care to prevent and correct promptly any sexually harassing behavior, and (b)
that the plaintiff employee unreasonably failed to take advantage of any preventative or corrective
opportunities provided by the employer or to avoid harm otherwise." Matvia, 259 F.3d at 266-67.
For present purposes, the court assumes arguendo that plaintiff may establish the four
elements necessary to prevail on a Title VII hostile work environment claim. Here, plaintiff does
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not allege that NCDOA took tangible employment action against her.
Therefore, the court
determines below whether NCDOA has established the two elements of the Faragher / Ellerth
defense.
I.
NCDOA Exercised Reasonable Care in Preventing Sexually Harassing Behavior.
An employer's dissemination of an effective anti-harassment policy provides compelling
proof that the employer exercised reasonable care in preventing and promptly correcting sexual
harassment. Matvia, 259 F.3d at 268; Swann v. Source One Staffing Solutions, 778 F. Supp. 2d 611,
620 (E.D.N.C. 2011). An employee may rebut such proof by showing that "the employer adopted
or administered an anti-harassment policy in bad faith or that the policy was otherwise defective or
dysfunctional." Barrett v. Applied Radiant Energy Corp., 240 F.3d 262,266 (4th Cir. 2001).
Here, the facts establish that on November 3,2004, plaintiff attended a course, conducted by
NCDOA human resources, on preventing and correcting sexual harassment in the work place.
There, human resources officials defined sexual harassment, gave examples of prohibited conduct,
and instructed attendees that victims of harassment should "[s]ubmit written complaint within 30
calendar days of alleged harassing action to Human Resources." Taylor Aff.
~
9.
In addition, during the period in which the harassment allegedly occurred, NCDOA kept
posted in the employee break room a policy entitled, "North Carolina Department ofAgriculture and
Consumer Services, Disciplinary and Dismissal Policy, Grievance Policy and Procedures Including
Unlawful Workplace Harassment Procedures" ("grievance policy"). NCDOA's Mot. for Summ. 1.,
Ex.3. This policy, which plaintiffposted, gave employees who had suffered sexual harassment the
choice ofeither proceeding first through the department's internal process or proceeding directly to
the State Personnel Commission. Id. at 20. The document further instructed:
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An employee who alleges unlawful workplace harassment and elects to utilize the
agency's grievance procedure has 30 calendar days from the date of the harassing
action in which to file an unlawful workplace harassment complaint.
If the employee chooses to begin with the agency grievance procedure, he/she must
submit a signed and dated Grievant's Statement of Appeal form to the Human
Resources (HR) Director. The form must be received by the HR Director within 30
calendar days of the practice or act being grieved. A faxed or e-mail form is
acceptable, as long as it is received by the deadline to file.
Id. at 21.
Plaintiff responds that NCDDA' s sexual harassment training and posting of its grievance
policy did not amount to reasonable care to prevent sexual harassment. Plaintiff argues that
NCDDA did not make sufficiently clear to whom employees should report misconduct. In support,
plaintiff references the deposition testimony oftwo co-workers whom plaintiff consulted following
Brogden's alleged misconduct: Steve Warren ("Warren") and Sonny Dixon ("Dixon"). Both
testified in deposition that they didn't know the proper recipient of sexual harassment complaints.
The court holds that NCDDA exercised reasonable care to prevent sexually harassing
behavior. First, NCDDA disseminated a grievance policy that stated a procedure for bringing
harassment complaints. This alone is "compelling proof' that NCDDA exercised reasonable care.
Barrett, 240 F.3d at 266. Furthermore, NCDDA conducted training sessions, which both plaintiff
and Brogden attended, to instruct employees oftheir rights, define sexual harassment, and reinforce
the grievance procedure. Additionally, employees were informed in the training section and in the
written grievance policy that NCDDA forbad retaliation against an employee for reporting
harassment. Finally, NCDDA's grievance policy instructed employees to report harassment to
Human Resources, the Dffice of Administrative Hearings, and/or the Equal Employment
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Opportunity Commission. Therefore, plaintiff had a channel of complaint by which she could
bypass Brogden, her immediate supervisor.
2.
NCDOA Exercised Reasonable Care in Promptly Correcting Sexually Harassing
Behavior.
Plaintiff also argues that NCDOA, after learning ofplaintiffs allegations, failed to promptly
correct Brogden's sexually harassing behavior. In support, plaintiff notes that when she notified
Warren of Brogden's behavior, Warren discouraged plaintiff from reporting the harassment.
Plaintiff further alleges that Warren supervised ten employees at the Research Station and therefore
was a proper person to consult. However, the record clarifies that Warren did not have supervisory
authority over either plaintiffor Brodgen. When plaintifftold Warren of the harassment, she merely
informed a co-worker, not NCDOA.
See Barrett, 240 F.3d at 264-65 (finding that plaintiff
unreasonably failed to take advantage ofcorrective opportunities, even though plaintiff reported the
offender's misconduct to "at least seven other [co-workers], the CEO's son, a counselor, a police
officer, and two lawyers."); Dowdy v. North Carolina, 23 Fed App'x 121, 124 (4th Cir. 2001).
Plaintiff never informed NCDOA Human Resources about Brogden's alleged misconduct,
as instructed by the grievance policy. Nonetheless, when she informed Dr. Maddox, Brogden's
immediate supervisor, Dr. Maddox took immediate action in convincing Brogden to resign.
Accordingly, NCDOA exercised reasonable care in promptly correcting Brogden's alleged sexually
harassing behavior.
3.
Plaintiff Unreasonably Failed to Take Advantage of any Preventative or Corrective
Opportunities Provided by NCDOA or to Avoid Harm Otherwise.
The second element of the Faragher / Ellerth affirmative defense requires defendant to
establish "that the plaintiff employee unreasonably failed to take advantage of any preventative or
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corrective opportunities provided by the employer or to avoid harm otherwise." Matvia, 259 F.3d
at 266-67. Here, NCDOA contends that plaintiff, in failing to report Brogden's alleged misconduct
to either NCDOA Human Resources or to Brogden's supervisor, Dr. Maddox, unreasonably failed
to take advantage ofNCDOA's corrective opportunities.
Plaintiff first responds that she did report Brogden's misconduct to Warren, who plaintiff
alleges supervised ten employees at the Research Station.
However, the Research Station
organizational chart makes clear, and plaintiff does not appear to dispute, that Warren did not have
supervisory authority over either plaintiff or Brogden. Taylor 2nd Aff., Ex. 1. Rather, Warren was
either plaintiff s organizational equal or inferior. Instead, as instructed, plaintiff should have
reported Brogden's alleged misconduct to NCDOA human resources or to Dr. Maddox. In failing
to do so, she unreasonably failed to take advantage ofcorrective opportunities.
See,~, Barrett,
240
F.3d at 264-65; Dowdy v. North Carolina. 23 Fed. App'x 121, 124 (4th Cir. 200 I).
Next, plaintiff argues that her fear of retaliation prevented her from reporting Brogden's
alleged misconduct to the appropriate person(s). Brogden was generally well-liked at the Research
Station, and plaintiff feared that her accusations would simply attract incredulity. However, the
Fourth Circuit does not "recognize a nebulous 'fear of retaliation' as a basis for remaining silent."
Barrett, 240 F.3d at 268. Instead, if such retaliation does occur, Title VII provides a remedy. Id. at
267. Furthermore, plaintiffs belief in the futility of reporting the alleged harassment "is not a
reasonable basis for failing to take advantage of any preventative or corrective opportunities
provided by the employer." ld. at 268.
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For the foregoing reasons, the court finds that NCDDA has established the Faragher / Ellerth
affinnative defense. Accordingly, NCDDA is entitled to summary judgment on plaintiffs Title VII
claim against it.
C.
Plaintiffs Remaining State Law Claims
Plaintiffs only remaining claims are against Brogden individually for battery, assault,
intentional infliction of emotional distress, and negligent infliction of emotional distress. Diversity
of citizenship does not exist between plaintiff and Brogden, as both are North Carolina citizens.
Having fully resolved the federal claims, the court declines to exercise supplemental jurisdiction over
the remaining state law claims and remands plaintiffs remaining claims against Brogden to the
General Court of Justice, Superior Court Division, Wake County, North Carolina.
28 U.S.c. §
1447(c).
CONCLUSION
For the foregoing reasons, the court:
1.
GRANTS NCDDA's motion for summary judgment (DE # 74);
2.
DENIES as moot NCDDA's motion to exclude testimony (DE # 73);
3.
DENIES as moot without prejudice to renewal on remand Brogden's motion for
summary judgment (DE # 70);
4.
DENIES as moot without prejudice to renewal on remand Brogden's motion to
exclude testimony (DE # 72);
5.
REMANDS plaintiffs remaining claims against Brogden to the General Court of
Justice, Superior Court Division, Wake County, North Carolina;
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6.
DIRECTS the Clerk of Court to mail a certified copy of this order of remand to the
clerk of said state court; and
7.
DIRECTS the Clerk of Court to close the case.
SO ORDERED, this
the~ day of November, 2011.
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