Sharon Karibian v. Columbia University, John Borden, Defendants-Cross-Claimants-Appellees v. Mark Urban, Defendant-Cross-Defendant-Appellee, 14 F.3d 773, 2d Cir. (1994)
Sharon Karibian v. Columbia University, John Borden, Defendants-Cross-Claimants-Appellees v. Mark Urban, Defendant-Cross-Defendant-Appellee, 14 F.3d 773, 2d Cir. (1994)
3d 773
63 Fair Empl.Prac.Cas. (BNA) 1038,
63 Empl. Prac. Dec. P 42,825, 62 USLW 2477,
89 Ed. Law Rep. 41
Elizabeth L. Koob, New York City (Joan Magoolaghan, Cara Cherry, Law
Student, Koob & Magoolaghan, New York City, of counsel), for plaintiffappellant.
Diane S. Wilner, New York City (Lee S. Gayer, Joel B. Rothman, Wilner
& Associates, P.C., of counsel), for defendants-appellees Columbia
University and John Borden.
Karen M. Moran, Washington, DC (James R. Neely, Jr., Deputy Gen.
Counsel, Gwendolyn Young Reams, Associate Gen. Counsel, Vincent J.
Blackwood, Asst. Gen. Counsel, U.S. E.E.O.C. Office of General
Counsel, of counsel), for the E.E.O.C. as amicus curiae.
Clifford M. Solomon, Corwin Solomon & Tanenbaum, P.C., New York
City, for defendant-cross-defendant-appellee Mark Urban.
Isabelle Katz Pinzler, Sara L. Mandelbaum, Women's Rights Project,
American Civil Liberties Union, Ellen J. Vargyas, Deborah L. Brake,
National Women's Law Center, submitted an amici curiae brief, for the
Women's Rights Project of the ACLU and the National Women's Law
Sharon Karibian appeals from a judgment entered in the United States District
Court for the Southern District of New York (Thomas P. Griesa, Chief Judge)
granting summary judgment to defendants Columbia University and John
Borden, and dismissing Karibian's complaint of employment discrimination.
Karibian's complaint alleged that sexual harassment committed by her
supervisor, defendant Mark Urban, constituted discrimination by Columbia on
the basis of sex, in violation of Title VII of the Civil Rights Act of 1964, 42
U.S.C. Sec. 2000e-2(a)(1), and section 296 of New York's Executive Law.
Karibian additionally alleged various state law tort claims against Columbia,
Borden and Urban.
In the district court, Karibian proceeded under both available theories of sexual
harassment: quid pro quo, and hostile work environment. In granting summary
judgment to defendants, the district court held that Columbia could not be liable
under a quid pro quo theory because Karibian failed to prove any actual
economic loss resulting from Urban's harassment. On her hostile work
environment theory, the court held that Columbia was not liable to Karibian
because it did not have notice of Urban's harassment and had provided a
reasonable avenue for harassment complaints. Karibian v. Columbia Univ., 812
F.Supp. 413 (S.D.N.Y.1993).
BACKGROUND
4
This case involves Urban's alleged conduct towards Karibian while the two
were employees of Columbia. Urban conceded that he and Karibian had a
sexual relationship while he was her supervisor; however, the nature of that
relationship--i.e., whether consensual or coercive--remains hotly disputed. We
limit our discussion to Karibian's version of events.
At first, Karibian told no one about her relationship with Urban. After some
time, however, Karibian contacted two counselors at Columbia. In September
1988, Karibian contacted Columbia's Panel on Sexual Harassment, and met
with Panel member Mary Murphy. Karibian told Murphy that she was afraid
her boss would retaliate against her if she stopped sleeping with him. Shortly
thereafter, Karibian met with Columbia's Equal Opportunity Coordinator, Ruth
Curtis. At Karibian's request, both meetings were held confidential, and neither
resulted in any investigation of Urban. According to Karibian, both Murphy
and Curtis discouraged her from actively pursuing a complaint against Urban.
In April 1989, Karibian came to work upset and told her immediate Telefund
supervisor, Loren Spivack, of a particularly violent sexual encounter with
Urban. Spivack, a PMI employee, notified PMI's president, Ron Erdos. Neither
Spivack nor Erdos informed anyone at Columbia about the incident.
10
Around July of 1989, Karibian applied for the position of Annual Giving
Development Officer at Columbia. Columbia did not immediately consider
Karibian for the position because Urban delayed forwarding her resume to the
personnel department. Although Columbia eventually considered Karibian's
application, she did not get the job. About the same time, Karibian applied for
and received a promotion to the position of Project Director, the highest
position within Telefund. As Project Director, Karibian reported directly to
Urban at UDAR.
11
12
At this point, Columbia took steps to resolve the problem. Borden asked Urban
to write a chronology of his relationship with Karibian, and removed him from
direct supervisory authority over Karibian. (According to Urban's chronology,
his relationship with Karibian was entirely consensual.) Without crediting either
Karibian's or Urban's characterization of their relationship, Columbia forced
Urban to resign--for reasons that remain somewhat vague. In August 1990,
Columbia closed the Telefund office and Karibian was laid off.
13
Karibian then brought this suit against Columbia, Borden and Urban, claiming
that Urban's sexual harassment violated Title VII. Following discovery, the
district court granted defendants' motion for summary judgment.
14
The court began its analysis by recognizing that Title VII encompasses two
theories of sexual harassment: quid pro quo, and hostile work environment. 812
F.Supp. at 416. Rejecting Karibian's quid pro quo claim, the court ruled that
this theory requires proof of "actual--rather than threatened--economic loss
because of gender or because a sexual advance was made and rejected." Id.
Because Karibian had not suffered any economic detriment during her
relationship with Urban--in fact, she had been promoted and had received pay
raises during the relevant time--the court ruled that Karibian had no valid claim
for quid pro quo harassment. Id.
15
The district court also rejected Karibian's hostile work environment theory.
Relying on Kotcher v. Rosa & Sullivan Appliance Center, Inc., 957 F.2d 59 (2d
Cir.1992), the court held that Karibian "must prove 'that the employer either
provided no reasonable avenue for complaint or knew of the harassment but did
nothing about it.' " 812 F.Supp. at 416 (quoting Kotcher, 957 F.2d at 63).
Applying this standard, the court ruled that (1) Columbia provided a reasonable
avenue for making complaints, and (2) once Columbia got actual notice of
Urban's misconduct in 1990, it promptly took adequate curative measures. On
the latter point, the court rejected Karibian's argument that her confidential
disclosures to Murphy and Curtis were sufficient to put Columbia on notice of
Urban's harassment. The court also rejected Karibian's alternative argument that
notice to her supervisors at PMI, an independent contractor, constituted notice
to Columbia. Having disposed of Karibian's federal claim, the court went on to
dismiss Karibian's pendent state law claims for lack of jurisdiction.
Karibian now appeals. 1
DISCUSSION
16
By its terms, Title VII prohibits discrimination on the basis of sex with respect
to the "compensation, terms, conditions, or privileges" of employment. 42
U.S.C. Sec. 2000e-2(a)(1) (1988). Although neither the statute nor its
legislative history fleshes out the meaning of this sweeping prohibition, it is
now established law that sexual harassment in the workplace violates "Title
VII's broad rule of workplace equality." Harris v. Forklift Sys., Inc., --- U.S. ---, ----, 114 S.Ct. 367, 371, 126 L.Ed.2d 295 (1993). While the law of sexual
harassment continues to develop at a brisk pace, a plaintiff seeking relief for
sexual harassment may presently proceed under two theories: (1) quid pro quo,
and (2) hostile work environment. See Meritor Sav. Bank, FSB v. Vinson, 477
U.S. 57, 64-65, 106 S.Ct. 2399, 2404-05, 91 L.Ed.2d 49 (1986); Kotcher, 957
F.2d at 62. Karibian believes that Urban's harassment fits both paradigms; and
we address each in turn.
Because the quid pro quo harasser, by definition, wields the employer's
authority to alter the terms and conditions of employment--either actually or
apparently--the law imposes strict liability on the employer for quid pro quo
harassment. See Kotcher, 957 F.2d at 62 ("The supervisor is deemed to act on
behalf of the employer when making decisions that affect the economic status
of the employee."); Carrero, 890 F.2d at 579 ("[T]he harassing employee acts
as and for the company, holding out the employer's benefits as an inducement
to the employee for sexual favors.").
19
Karibian argues that the district court erred when it required her to present
evidence of actual, rather than threatened, economic loss in order to state a
valid claim of quid pro quo sexual harassment. We agree. There is nothing in
the language of Title VII or the EEOC Guidelines to support such a
requirement. See Meritor, 477 U.S. at 64, 106 S.Ct. at 2404 ("[T]he language of
Title VII is not limited to 'economic' or 'tangible' discrimination.").
20
True, in the typical quid pro quo case, the employee who refuses to submit to
her supervisor's advances can expect to suffer some job-related reprisal. See,
e.g., Saulpaugh v. Monroe Community Hosp., 4 F.3d 134, 142 (2d Cir.1993).
Accordingly, in such "refusal" cases, evidence of some job-related penalty will
often be available to prove quid pro quo harassment. But that is not to say that
such evidence is always essential to the claim. In the nature of things, evidence
of economic harm will not be available to support the claim of the employee
who submits to the supervisor's demands. Lipsett, 864 F.2d at 913; see, e.g.,
Showalter v. Allison Reed Group, Inc., 767 F.Supp. 1205, 1212 (D.R.I.1991).
The supervisor's conduct is equally unlawful under Title VII whether the
employee submits or not. Under the district court's rationale, only the employee
who successfully resisted the threat of sexual blackmail could state a quid pro
quo claim. We do not read Title VII to punish the victims of sexual harassment
who surrender to unwelcome sexual encounters. Such a rule would only
encourage harassers to increase their persistence.
21
The relevant inquiry in a quid pro quo case is whether the supervisor has linked
tangible job benefits to the acceptance or rejection of sexual advances. It is
enough to show that the supervisor used the employee's acceptance or rejection
of his advances as the basis for a decision affecting the compensation, terms,
conditions or privileges of the employee's job. See, e.g., Showalter, 767 F.Supp.
at 1212 ("The obvious tangible job benefit the plaintiffs received for
succumbing to the harassment was the retention of their employment."). In this
case, Karibian stated that her work assignments, raises and promotions
depended on her continued responsiveness to Urban's sexual demands. In
addition, Karibian claimed that Urban implicitly threatened to fire her and to
damage her career if she did not comply. If true, Urban's conduct would
constitute quid pro quo harassment because he made and threatened to make
decisions affecting the terms and conditions of Karibian's employment based
upon her submission to his sexual advances.
22
23
Carrero was a quid pro quo case, and there we did say: "The gravamen of a quid
pro quo claim is that a tangible job benefit or privilege is conditioned on an
employee's submission to sexual blackmail and that adverse consequences
follow from the employee's refusal." 890 F.2d at 579 (emphasis added).
Carrero, however, was a "refusal" case, not a "submission" case; accordingly,
as one might expect, the job-related consequences of Carrero's refusal were
both obvious and "adverse." Consistent with the prima facie case outlined
above, Carrero satisfied Title VII because her supervisor made decisions
affecting her employment based on her response to his sexual advances. We
read Carrero 's reference to "adverse consequences," therefore, as descriptive of
the facts before the Court, not as establishing a sine qua non that employment
decisions be "adverse" in order to state a valid claim. Accordingly, there is no
inconsistency between Carrero and our conclusion that once an employer
conditions any terms of employment upon the employee's submitting to
unwelcome sexual advances, a quid pro quo claim is made out, regardless of
whether the employee (a) rejects the advances and suffers the consequences, or
(b) submits to the advances in order to avoid those consequences.
24
certainly relevant, it bears only on the issue whether the sexual advances were
unwelcome, not whether unwelcome sexual advances were unlawful. See
Meritor, 477 U.S. at 68, 106 S.Ct. at 2406 ("The correct inquiry is whether
respondent by her conduct indicated that the alleged sexual advances were
unwelcome...."). Ultimately, the question whether Karibian submitted to
Urban's advances out of a reasonable fear of some job-related reprisal is
properly one for the finder of fact. Because the district court erroneously
removed this central question from the factfinder by the grant of summary
judgment, we reverse.
II. Columbia's Liability for Hostile Work Environment
25
26
Karibian also contends that the district court erred when it held that Columbia
could be liable under a hostile work environment theory only if she satisfied the
standard applied in Kotcher v. Rosa & Sullivan Appliance Center, Inc., 957
F.2d 59 (2d Cir.1992). In Kotcher, we said that the plaintiff must prove that the
employer "either provided no reasonable avenue for complaint or knew of the
harassment but did nothing about it." 957 F.2d at 63. Karibian contends that
this standard is not applicable to all claims of hostile work environment, and
that a different standard obtains here. Columbia responds that the standard
described in Kotcher governs an employer's liability in this and every hostile
work environment case. Again, Karibian has the better argument.
27
28
29
30
We have not yet had occasion to address the proper standard of employer
liability where, as here, the plaintiff's supervisor created a discriminatorily
abusive work environment through the use of his delegated authority. Common
law principles of agency suggest that in such circumstances the employer's
liability is absolute.
31
The Restatement of Agency notes that an employer will be liable for the torts of
its employees committed "while acting in the scope of their employment," or, if
not acting in the scope of employment, if the employee "purported to act or to
speak on behalf of the principal and there was reliance upon apparent authority,
or he was aided in accomplishing the tort by the existence of the agency
relation." Restatement (Second) of Agency Secs. 219(1) & (2)(d) (1958).
Hence, when a supervisor makes employment decisions based on an
employee's response to his sexual overtures, it is fair to hold the employer
responsible because "the supervisor is acting within at least the apparent scope
of the authority entrusted to him by the employer." Henson, 682 F.2d at 910.
32
Cir.1990); Sparks v. Pilot Freight Carriers, Inc., 830 F.2d 1554, 1559-60 (11th
Cir.1987); Watts v. New York City Police Dep't, 724 F.Supp. 99, 106 n. 6
(S.D.N.Y.1989). In contrast, where a low-level supervisor does not rely on his
supervisory authority to carry out the harassment, the situation will generally be
indistinguishable from cases in which the harassment is perpetrated by the
plaintiff's co-workers; consequently, the Kotcher standard of employer liability
will generally apply, and the employer will not be liable unless "the employer
either provided no reasonable avenue for complaint or knew of the harassment
but did nothing about it." Kotcher, 957 F.2d at 63. See 29 C.F.R. Sec.
1604.11(d); see also Lopez v. S.B. Thomas, Inc., 831 F.2d 1184, 1189 (2d
Cir.1987); Snell v. Suffolk County, 782 F.2d 1094, 1104 (2d Cir.1986). Cf.
Hirschfeld, 916 F.2d at 579 (employer not liable absent evidence that
supervisor "ever invoked [his] authority in order to facilitate his harassment of
plaintiff").
33
34
Columbia argues that holding it liable for Urban's harassment is contrary to the
standard of employer liability we applied in Kotcher. We disagree. In Kotcher,
the gist of the plaintiff's hostile work environment claim was that her
supervisor subjected her to repeated vulgar comments and gestures. 957 F.2d at
61. We held that the employer would not be liable for the supervisor's
misconduct unless the employer provided no reasonable avenue for complaint,
or unless it knew of the supervisor's misconduct but did nothing about it. 957
F.2d at 63. As support for this standard of liability, we relied on Snell v.
Suffolk County, 782 F.2d 1094, 1104 (2d Cir.1986), in which the harassment
was perpetrated by the plaintiff's co-workers. In both Kotcher and Snell we
simply applied the law of agency to the facts before us and concluded that
liability for the misconduct alleged could not be imputed to the employer. In
neither Kotcher nor Snell, however, did the harasser use his actual or apparent
authority to further the harassment alleged. Thus understood, our holding today
is complementary to Kotcher, not inconsistent with it.
CONCLUSION
36
37
Honorable Gerald W. Heaney, of the United States Court of Appeals for the
Eighth Circuit, sitting by designation
In the district court, Karibian also alleged that Columbia closed the Telefund
office in retaliation for Karibian's sexual harassment complaint. See 812
F.Supp. at 417. In her main brief on appeal, Karibian does not argue the point
separately. Rather, Karibian simply characterizes the "premature" closing of the
Telefund office as "retaliatory" in the context of her argument that Columbia's
complaint procedures were inadequate
We have no obligation to review issues that are raised, but not independently
and sufficiently developed, in an appellant's main brief. See Freeman United
Coal Mining Co. v. OWCP, 957 F.2d 302, 305 (7th Cir.1992). We conclude
that for purposes of appeal, Karibian has forfeited--if not abandoned--any
independent claim she may have had for retaliatory discharge by subsuming
that argument within her hostile work environment argument. See, e.g., Brown
v. Trustees of Boston Univ., 891 F.2d 337, 362 (1st Cir.1989).