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NO. COA01-1199
NORTH CAROLINA COURT OF APPEALS
Filed: 20 August 2002
DIANA WELLS,
Plaintiff
v
.
NORTH CAROLINA DEPARTMENT OF CORRECTION, a department of the
State of North Carolina, STATE OF NORTH CAROLINA, THEODIS BECK,
Secretary of the Department of Correction, DUNCAN DAUGHTRY,
individually and as Superintendent of the Department of
Correction, Newport Branch, and ANTHONY FLORENCE, individually
and as supervisor of the Department of Correction, Newport
Branch,
Defendants
Appeal by plaintiff from judgment entered 9 July 2001 by Judge
Jay D. Hockenbury in Carteret County Superior Court. Heard in the
Court of Appeals 4 June 2002.
Patterson, Harkavy & Lawrence, L.L.P., by Martha A. Geer;
and Davis, Murrelle & Lyles, P.A., by Edward L. Murrelle,
for plaintiff-appellant.
Attorney General Roy Cooper, by Assistant Attorney General
Thomas H. Moore, for defendants-appellees.
WALKER, Judge.
On 29 October 1999, plaintiff filed an amended complaint
asserting a claim against defendants in their official capacities
for wrongful workplace retaliation in violation of N.C. Gen. Stat.
§ 126-84, et seq. (the Whistleblower Act). Plaintiff also asserted
claims against defendants Duncan Daughtry (Daughtry) and Anthony
Florence (Florence) in their individual capacities for intentional
infliction of emotional distress and negligent infliction of
emotional distress. On 9 July 2001, the trial court entered
summary judgment for defendants on all claims. In her complaint, plaintiff alleged that in 1998, while
employed as an office assistant at the Carteret Correctional Center
in Newport (Carteret), she reported that her supervisor, Florence,
had made inappropriate, sexual comments, overtures, and gestures
towards her. She further alleged that, although the Equal
Employment Opportunities/Title VII (EEO) section of the Department
of Corrections (DOC) determined her report was unfounded,
defendants wrongfully retaliated against her by creating a
hostile work environment. Specifically, plaintiff asserted that,
after she made her report, defendants: (1) forced her to return
back to Florence's supervision, (2) required her to perform an
excessive amount of work equivalent for two people, and (3) gave
her below average and unsatisfactory job evaluations. As a
result, plaintiff developed headaches, chest pain, depression,
fatigue, decreased motivation, and decreased energy for which she
needed medical treatment and was ultimately forced to resign her
position.
In support of their motion for summary judgment, defendants
provided affidavits from DOC Eastern Region Director Joseph Lofton
(Lofton), former Programs Supervisor at Carteret Wallace Lunsford
(Lunsford), Florence, and Daughtry. In Daughtry's affidavit, he
stated that, as the Superintendent of Carteret, he became aware of
difficulties in communications between plaintiff and Florence
concerning job assignments in January of 1998. To alleviate the
problem, Daughtry transferred plaintiff to the direct supervision
of Lunsford. Nonetheless, plaintiff continued to provide clericalsupport to . . . Florence and others in his department. According
to Daughtry, he was not informed of plaintiff's allegations of
sexual harassment until December of 1998. Following the EEO's
determination that the allegations were unsubstantiated and after
receiving instructions from Lofton, he returned plaintiff to
Florence's direct supervision. At that time, another office
assistant was on long-term sick leave and Lunsford was in the
process of transferring to another correctional facility.
Therefore, it became necessary to reassign the clerical duties
normally handled by these two employees to other staffers,
including plaintiff. Daughtry further averred that plaintiff
received a Below Good rating from Lunsford and Florence during
her last year of employment. He attributed the rating to
plaintiff's problems with missing work, being tardy for work, . .
. poor relations with co-workers, and an incident in which
plaintiff failed to properly report that she had lost her set of
security keys.
In his affidavit, Lofton averred that, in November of 1998, he
received a request from Daughtry to investigate morale problems
at Carteret. At the time, he perceived the problems to be
centered around a complaint made by . . . plaintiff concerning her
interim appraisal . . . . Consequently, Lofton sent two officials
from the Eastern Region Office to Carteret to conduct an
investigation, during which plaintiff alleged that Florence had
sexually harassed her. In accordance with DOC policy, plaintiff's
allegation was forwarded to the EEO. Lofton further stated that,after the investigation, he was concerned of the finding . . .
that the programs staff at Carteret were afraid to give directions
to . . . plaintiff due to the perception of retaliation from her
husband, Charles Wells, a correctional sergeant at Carteret.
Following receipt of an EEO letter concluding that plaintiff's
allegations of sexual harassment could not be substantiated, he
ordered that plaintiff be moved back under Florence's direct
supervision. His reasons for doing so were to put [plaintiff]
back where she belonged in the organizational chart, to dispel the
staff concerns that [plaintiff] could move around at will in the
institution whenever she voiced dissatisfaction at her supervisor,
and to also alleviate [plaintiff's] concerns that she had been
'demoted. . . .' Finally, Lofton noted that, in May of 1999, he
received a grievance from plaintiff regarding a Below Good
performance evaluation for the period of 1 April 1998 to 31 March
1999. After reviewing the evaluation, he declined to act on
plaintiff's grievance; nevertheless, he informed plaintiff she
could appeal his decision to the Secretary of Correction.
In his affidavit, Florence denied having sexually harassed
plaintiff. He further averred that in December of 1997, he became
concerned about plaintiff's repeated tardiness and her lack of
attention to some specific job assignments. . . . Although he
attempted to voice his concerns directly to plaintiff, Florence
found her response made it clear that she did not think that my
concerns . . . were something that I should have addressed with
her. Soon thereafter, Daughtry transferred plaintiff toLunsford's direct supervision. In the summer of 1998, Florence
noted an improvement in plaintiff's job performance and, in an
effort to reenforce this behavior, he recommended that plaintiff
be named Employee of the Month for July of 1998. However, in the
succeeding months, plaintiff became upset with Lunsford's
supervision and received Below Good ratings from Lunsford in her
performance log for the months of August and September. When
plaintiff was returned to his direct supervision, Florence issued
a memorandum in which he re-distributed the clerical duties
formerly performed by Lunsford and the office assistant who was on
leave. In his opinion, plaintiff was not assigned any duties
outside of her job description. Once plaintiff expressed concern
that she was doing the workload of two people, he and Daughtry
met with plaintiff and compared plaintiff's job description to that
of the office assistant on leave. According to Florence, [o]ur
review showed that [plaintiff] was not being given any assignments
outside of her job description and that she did not do most of the
job tasks on [the absent office assistant's] job description.
Finally, in his affidavit, Lunsford corroborated the
statements of Daughtry and Florence that plaintiff was transferred
to his direct supervision in order to resolve communication
problems between Florence and plaintiff. He further averred that,
while under his supervision, plaintiff frequently complained to me
about her work, specifically about the tasks she was assigned to
do. Lunsford noted that plaintiff had a history of either being
tardy or not showing up for work and she never built up asubstantial balance of sick or vacation time. Although he
encouraged plaintiff to improve on these points, plaintiff was
resistant to constructive criticism on how to go about improving
both her job performance and attendance problems.
Among the evidence plaintiff presented in response to
defendants' summary judgment motion was her affidavit, in which she
stated that, during an investigation in December of 1998, she
truthfully answered some questions regarding what [she] perceived
to have been sexual harassment and a hostile work environment
caused by . . . Florence. She further maintained that defendants'
contention concerning the fact that she did not receive any
additional job assignments following her report was untrue. She
then listed certain new duties which she asserted were previously
assigned to the other office assistant that she assume[d] after
she returned to Florence's direct supervision. Plaintiff also
presented various performance evaluations. In a 1996 evaluation,
plaintiff received an overall Good rating from her previous
supervisor, Jerry Moore, who specifically noted that plaintiff
takes on her duties in a professional manner, assists other
staff very well, and has demonstrated good work habits.
Plaintiff contrasted this rating with a Below Good rating she
received on her 1999 evaluation based on Below Good performances
in supervision, planning and organization, and communication
and Unsatisfactory performances in safety and security and
performance stability. Notwithstanding the overall Below Good
rating, plaintiff averred that she worked hard and did not havetrouble with co-workers. Lastly, plaintiff provided an affidavit
from a former co-worker, James Montanye, who stated that in 1999
Florence had complimented plaintiff's work in computing gain
time.
After reviewing the affidavits, pleadings and other materials
submitted by the parties, the trial court determined that
plaintiff's evidence establish[ed] a prima facie case of
retaliation, but that defendants' evidence rebutted the
Plaintiff's prima facie showing by establish[ing] that there were
legitimate, nondiscriminatory reasons for all acts or omissions
that the Plaintiff . . . alleged were retaliatory. . . . The
trial court then concluded that plaintiff fail[ed] to establish
any evidence of pretext on the part of the Defendants for their
stated legitimate, nondiscriminatory reasons. . . . In addition,
the trial court determined that all alleged wrongful acts or
omissions by Defendants Duncan Daughtry and Anthony Florence
occurred within the scope of their employment and, as such, the
doctrine of sovereign immunity bars plaintiff's emotional distress
actions.
I.
We first address whether plaintiff's retaliation claim comes
within the provisions of the Whistleblower Act. Defendants contend
that retaliation claims such as the one made by plaintiff must come
before the State Personnel Commission pursuant to N.C. Gen. Stat.§ 126-36(b). Therefore, defendants argue that summary judgment was
appropriate as plaintiff had no remedy under the Whistleblower Act.
Under N.C. Gen. Stat. § 126-36(b):
[A]ny State employee or former State employee
who has reason to believe that the employee
has been subjected to any of the following
shall have the right to appeal directly to the
State Personnel Commission:
. . .
(2) Retaliation for opposition to
harassment in the workplace based
upon age, sex, race, color, national
origin, religion, creed, or
handicapping condition, whether the
harassment is based upon the
creation of a hostile work
environment or upon a quid pro quo.
N.C. Gen. Stat. § 126-36(b)(2001).
On the other hand, the Whistleblower Act states in pertinent
part:
It is the policy of this State that State
employees shall be encouraged to report
verbally or in writing to their supervisor,
department head, or other appropriate
authority, evidence of activity by a State
agency or State employee constituting:
(1) A violation of State or federal
law, rule or regulation;
. . .
No State employee shall retaliate against
another State employee because the employee,
or a person acting on behalf of the employee
reports. . . [a violation of the Whistleblower
Act].
. . .
Any State employee injured by a violation of
the [Whistleblower Act] may maintain an actionin superior court for damages, an injunction,
or other remedies provided . . . .
N.C. Gen. Stat. § 126-84
et seq.
Defendants maintain that because N.C. Gen. Stat. § 126-36(b)
specifically addresses workplace harassment, the State Personnel
Commission was the exclusive forum for plaintiff's action. In
response, plaintiff contends that since harassment in the workplace
is a violation of state and federal law, her action under the
Whistleblower Act is proper.
Based on our analysis of these two statutes, we do not
interpret N.C. Gen. Stat. § 126-36(b) as precluding plaintiff's
Whistleblower action. Indeed, the statute merely provides
plaintiff with
the right to appeal her wrongful retaliation claim
directly to the State Personnel Commission. N.C. Gen. Stat. § 126-
36(b)(emphasis added). Such right to appeal does not otherwise
bar an action which meets the requirements of the Whistleblower
Act. Furthermore,
when N.C. Gen. Stat. § 126-36(b) is read
in para
materia with the Whistleblower Act, the two statutes are not
irreconcilable.
See Occaneechi Band of the Saponi Nation v. N.C.
Comm'n of Indian Affairs, 145 N.C. App. 649, 654, 551 S.E.2d 535,
539,
disc. rev. denied, 354 N.C. 365, 556 S.E.2d 575 (2001)
(When
multiple statutes address a single matter or subject, the statutes
must be construed
in para materia, 'as together constituting one
law,' and harmonized to give effect to each statute whenever
possible). We conclude the two statutes create alternative means
for an aggrieved party to seek relief.
See generally Swain v.
Elfland, 145 N.C. App. 383, 389, 550 S.E.2d 530, 535,
cert. denied,354 N.C. 228, 554 S.E.2d 832 (2001)(holding N.C. Gen. Stat. § 136-
34.1(a)(7) and the Whistleblower Act provide two avenues to
redress violations of the Whistleblower statute)
(See footnote 1)
.
Accordingly,
the trial court did not err in determining that plaintiff's
Whistleblower action was properly before the court.
II.
We next consider whether a genuine issue of material fact
exists regarding plaintiff's Whistleblower action. The law, as it
pertains to this area, was first addressed by this Court in Kennedy
v. Guilford Tech. Community College, 115 N.C. App. 581, 448 S.E.2d
280 (1994). Initially, the plaintiff must establish a prima facie
case of retaliation, the elements of which are: (1) the plaintiff's
engagement in a 'protected activity,' (2) an 'adverse employment
action' occurring subsequent to the 'protected activity,' and
(3) the plaintiff's engagement in the 'protected activity' was a
'substantial or motivating factor' in the 'adverse employment
action.' Id. at 584, 448 S.E.2d at 282 (quoting McCauley v.
Greensboro City Bd. of Educ., 714 F. Supp. 146, 151 (M.D.N.C.
1987)); see also Hanton v. Gilbert, 126 N.C. App. 561, 571, 486
S.E.2d 432, 439, disc. rev. denied, 347 N.C. 266, 493 S.E.2d 454
(1997). Once a prima facie case is made, the defendant must then
'articulate a legitimate, non-discriminatory reason for the
adverse [employment] action.' Kennedy, 115 N.C. App. at 585, 448S.E.2d at 282 (quoting Melchi v. Burns Int'l Sec. Servs. Inc., 597
F.Supp. 575, 582 (E.D. Mich. 1984)). Finally, if the defendant .
. . meets its burden [of production], the plaintiff must then come
forward with evidence to show 'that the legitimate reason was a
mere pretext for the retaliatory action.' Id. [T]hus, 'a
plaintiff retains the ultimate burden of proving that the [adverse
employment action] would not have occurred had there been no
protected activity' engaged in by the plaintiff. Id.
As with other summary judgment determinations, the trial court
must view the evidence in the light most favorable to the non-
movant. Id. at 583, 448 S.E.2d at 281. All reasonable inferences
are drawn in the non-movant's favor. Id. While a trial court's
findings and conclusions in support of a summary judgment may be
helpful, they are to be disregarded on appeal. See Sunamerica
Financial Corp. v. Bonham, 328 N.C. 254, 261, 400 S.E.2d 435, 440
(1991); and Mosley v. National Finance Co., 36 N.C. App. 109, 111,
243 S.E.2d 145, 147, disc. rev. denied, 295 N.C. 467, 246 S.E.2d 9
(1978).
Plaintiff presents two alternative grounds as to why the trial
court's grant of summary judgment on her Whistleblower action was
improper: (1) the trial court failed to apply the appropriate
analytical model to her action, and (2) even if the trial court
applied the appropriate model, she presented sufficient evidence to
withstand summary judgment.
A. Proper Analytical Model
Plaintiff first argues that rather than utilizing the pretext
model of analysis articulated in Kennedy, the trial court should
have used a mixed-motive model resembling the one set forth by the
United States Supreme Court in Price Waterhouse v. Hopkins, 490
U.S. 228, 104 L. Ed. 2d 268 (1989). We disagree.
In Price Waterhouse, the Court recognized two distinct means
for analyzing actions brought under Title VII of the 1964 Civil
Rights Act--the pretext model and the mixed-motive model. The
traditional pretext model follows the analysis developed in
McDonnell Douglas Corp. v. Green, 411 U.S. 792, 36 L. Ed. 2d 668
(1973) and its progeny, Texas Dept. of Community Affairs v.
Burdine, 450 U.S. 248, 67 L. Ed. 2d 207 (1981) and St. Mary's Honor
Ctr. v. Hicks, 509 U.S. 502, 125 L. Ed. 2d 407 (1993), and was
applied to Whistleblower actions by this Court in Kennedy.
However, in Price Waterhouse, the Court recognized the shortcomings
of using the pretext model in cases where the evidence clearly
shows that the adverse employment decision was the result of a
mixture of legitimate and illegitimate motives. Price
Waterhouse, 490 U.S. at 232, 104 L. Ed. 2d 276. Thus, in cases in
which the plaintiff's prima facie case presents direct evidence
that decisionmakers placed substantial negative reliance on an
illegitimate criterion, the burden of persuasion shifts to the
defendant, who must then demonstrate that it would have made the
same decision even absent the illegitimate criterion. Id. at 258,
277, 104 L. Ed. 2d at 293, 305 (emphasis added). The evidence
required to trigger use of the mixed-motive model is evidence ofconduct or statements that both reflect directly the alleged
[illegitimate criterion] and that bear directly on the contested
employment decision. Fuller v. Phipps, 67 F.3d 1137, 1142 (4th
Cir. 1995).
As plaintiff points out, this Court recently applied the
mixed-motive/pretext distinction to an action brought under N.C.
Gen. Stat. § 143-422.1 (the Equal Employment Practices Act). See
Brewer v. Cabarrus Plastics, 146 N.C. App. 82, 551 S.E.2d 902,
appeal filed, (No. 560A01, 26 September 2001). In Brewer, the
plaintiff alleged that the defendant had discriminated against him
on the basis of race and had wrongfully retaliated for filing a
complaint of racial discrimination. Our Court determined that the
mixed-motive/pretext distinction applied, but concluded that
because the plaintiff had presented no direct evidence of
discrimination, the case was properly categorized as a pretext
model case. Id. at 86, 551 S.E.2d at 905.
Nonetheless, even if we were to assume the same distinction
also applies to a Whistleblower action, plaintiff here has failed
to proffer sufficient direct evidence of retaliation on the part of
defendants to warrant analysis using the mixed-motive model. The
substance of plaintiff's allegation is that defendants wrongfully
responded to her report of sexual harassment by: (1) returning her
to Florence's supervision, (2) requiring her to perform additional
work assignments, and (3) giving her a negative performance rating.
As direct evidence in support of her allegation, plaintiff cites
Lofton's affidavit in which he states that he returned plaintiff toFlorence's supervision to dispel the staff concerns that
[plaintiff] could move around at will in the institution whenever
she voiced dissatisfaction at her supervisor. Plaintiff also
cites a notation on her 1999 performance evaluation indicating that
she demonstrated difficulty in communicating with her supervisor
and that she had poor relations with co-workers.
We are not persuaded that plaintiff has presented the direct
evidence required to treat her Whistleblower action as a mixed-
motive case. By way of contrast, the plaintiff in Price Waterhouse
cited specific comments from the defendant's partners to support
her allegation of gender discrimination. This evidence included a
partner's suggestion that, in order to advance within the company,
she should 'walk more femininely, talk more femininely, dress more
femininely, wear make-up, have her hair styled, and wear jewelry.'
Price Waterhouse, 490 U.S. at 235, 104 L. Ed. 2d at 278.
Similarly, in Kubicko v. Ogden Logistics Services, 181 F.3d 544
(4th Cir. 1999), the plaintiff alleged that he was terminated in
retaliation for opposing a supervisor's sexual harassment of a
female co-worker. To substantiate his allegation, the plaintiff
provided specific statements and actions of his supervisor which
clearly reflected a retaliatory attitude. The evidence included
the supervisor's statement that the reason for the plaintiff's
termination was because the plaintiff had initiated the co-
worker's complaints of sexual harassment. Kubicko, 181 F.3d at
553. Unlike the evidence in Price Waterhouse and Kubicko,
plaintiff's evidence here does not establish a clear connection
between her sexual harassment complaint and the decision to return
her to Florence's supervision or the Below Good rating on her
performance evaluation. Although plaintiff argues such a
connection can be inferred, [s]imply because a . . . [wrongful]
reason might be inferred from a prima facie case does not mean that
a mixed motive case exists. Schleinger v. Des Moines Water Works,
925 F.2d 1100, 1101 (8th Cir. 1991). As is required in mixed-
motive model cases, plaintiff did not present any clear signs
that the alleged adverse employment action was directly related
to her sexual harassment complaint. Hence, we conclude the trial
court properly addressed her action as a pretext case. See Price
Waterhouse, 490 U.S. at 235, 104 L. Ed. 2d at 278.
B. Sufficiency of the Evidence
Plaintiff also maintains that she provided sufficient evidence
to raise an issue of fact concerning whether defendants' stated
reasons for the changes in her working conditions and her Below
Good performance evaluation were merely pretexts for their
retaliatory motives. This Court has previously held that, in a
Whistleblower action, once a defendant, moving for summary
judgment, presents evidence that the adverse employment action is
based on a legitimate non-retaliatory motive, the burden [of
production] shifts to the plaintiff to present evidence, raising a
genuine issue of fact, that his [engagement in a protected
activity] . . . [was] a substantial causative factor in the adverseemployment action, or provide an excuse for not doing so. Aune v.
University of North Carolina, 120 N.C. App. 430, 434-35, 462 S.E.2d
678, 682 (1995), disc. rev. denied, 342 N.C. 893, 467 S.E.2d 901
(1996)(citations omitted)(emphasis added). To raise a factual
issue regarding pretext, the plaintiff's evidence must go beyond
that which was necessary to make a prima facie showing by pointing
to specific, non-speculative facts which discredit the defendant's
non-retaliatory motive. See Kennedy, 115 N.C. App. at 589, 448
S.E.2d at 284.
Here, assuming arguendo that plaintiff has established a prima
facie case, defendants presented legitimate, non-retaliatory
reasons for the changes in plaintiff's working conditions and her
Below Good performance evaluation. Defendants noted in general
that plaintiff remained in the same job classification, earned the
same salary, and accrued the same benefits. In response to her
particular allegations, defendants asserted that the reasons for
plaintiff's return to Florence's direct supervision were: (1)
because Lunsford had left Carteret, (2) to place her where she
belonged within the organizational chart, and (3) to address staff
concerns that plaintiff could change supervisors whenever she
voiced her dissatisfaction. With respect to any additional work
duties assigned to plaintiff, defendants stated that such
assignment was necessary to cover the clerical work previously
performed by Lunsford and by an office assistant who was on leave.
Defendants further responded that, in any event, plaintiff was not
required to perform any duties outside of her job description andwas never required to work overtime. Finally, according to
defendants, plaintiff received an overall Below Good rating on
her performance evaluation due to her tardiness and absenteeism,
poor relations with co-workers, and failure to properly report a
lost set of security keys. Defendants also point out that
plaintiff had received Below Good ratings from Lunsford on
interim evaluations prior to her sexual harassment complaint.
As a response to defendants' reasons for returning her to
Florence's supervision, plaintiff asserts that [d]efendants have
offered no serious explanation for insisting that [plaintiff]
report to the person who harassed her, and, therefore, a jury
could consider punitive a requirement that [plaintiff] again work
with . . . Florence after [Daughtry] had previously decided
separation was necessary. In support of this position, plaintiff
cites Paroline v. Unisys Corp., 879 F.2d 100 (4th Cir. 1989), rev'd
in part on other grounds, 900 F.2d 27 (4th Cir. 1990)(per curiam).
However, in Paroline, the Court was not faced with the issue of
whether the plaintiff's evidence was sufficient to raise a factual
question of pretext. Rather, the Court addressed whether an
employee's established acts of sexual harassment could be imputed
to an employer. Id. at 106-07. In any event, plaintiff has failed
to present any evidence which would indicate that defendants'
stated reasons for returning her to Florence's supervision were not
in accordance with any DOC personnel policies or were not otherwise
legitimate. She merely renews her allegation that defendants had
no serious explanation. See Kennedy, 115 N.C. App. at 585, 448S.E.2d at 282 (An articulated reason is not 'legitimate' . . .
unless it has 'a rational connection with the business goal of
securing a competent and trustworthy work force.')(quoting Harris
v. Marsh, 679 F.Supp. 1204, 1285 (E.D.N.C. 1987), aff'd in part,
rev'd in part on other grounds by Blue v. U.S. Dept. of Army, 914
F.2d 525 (4th Cir. 1990), cert. denied, 499 U.S. 959, 113 L. Ed. 2d
645 (1991)).
Plaintiff further contends that, with respect to the
additional work duties, her evidence quantified that the
additional duties required as much as an additional 33 hours per
week, and that defendants did not include the job descriptions in
the record to support their reasons for demanding she assume the
duties of two people. However, even if we accept plaintiff's
calculations, such evidence does not discredit defendants assertion
that the additional job assignments were necessary to cover the
absence of other employees or that plaintiff was never required to
perform work outside of her job description or work overtime.
Lastly, regarding her Below Good performance evaluation,
plaintiff maintains that the 'telling temporal sequence' between
her sexual harassment complaint and her negative evaluation, by
itself, is sufficient [for] a jury to find pretext. As
authority, plaintiff cites this Court's first holding in Brewer v.
Cabarrus Plastics, 130 N.C. App. 681, 504 S.E.2d 580 (1998), disc.
rev. denied, 350 N.C. 91, 527 S.E.2d 662 (1999) and the decisions
in Quinn v. Green Tree Credit Corp., 159 F.3d 759 (2nd Cir. 1998)
and Shirley v. Chrysler First, Inc., 970 F.2d 39 (5th Cir. 1992). However, Brewer and Shirley concerned whether the passage of a
certain amount of time precluded as a matter of law the plaintiff's
establishment of a prima facie case and not whether the plaintiff
had established pretext. Brewer, 130 N.C. App. at 691, 504 S.E.2d
at 586-87 (holding that the passage of fifteen months between the
filing of an EEOC charge and the plaintiff's termination did not
negate a causal connection between the two events), and Shirley,
970 F.2d at 43-44 (holding that the passage of fourteen months
between the plaintiff's initial EEOC charge and the defendant's
alleged retaliatory conduct was not legally conclusive proof
against retaliation). Additionally, the holding in Quinn is
distinguishable from this case in view of the fact that in Quinn
[n]early all of the record evidence supporting the [defendant's]
asserted non-retaliatory reason . . . was generated by two of [the
plaintiff's] alleged harassers . . . and followed her initial
[complaint] . . . . Quinn, 159 F.3d at 770. In contrast, the
record here shows that plaintiff received Below Good ratings from
Lunsford on her interim appraisals prior to her sexual harassment
complaint. Plaintiff also has not presented any facts to discredit
defendants' assertion that her overall Below Good performance
evaluation was due to her tardiness and absenteeism, poor relations
with co-workers, and loss of a set of security keys. Therefore, we
conclude plaintiff failed to produce sufficient evidence to raise
a factual question concerning whether defendants' legitimate, non-
retaliatory reasons for the change in her work conditions and her
Below Good performance evaluation were merely pretextual. Accordingly, the trial court properly granted summary judgment to
defendants on plaintiff's Whistleblower action.
III.
Lastly, we address whether the trial court properly granted
summary judgment in favor of Florence and Daughtry on plaintiff's
emotional distress claims. Plaintiff contends the trial court
erred in determining that these claims were barred based on the
doctrine of sovereign immunity. Florence and Daughtry maintain
that, because they were sued only in their official capacities,
summary judgment was proper.
In
Meyer v. Walls
, 347 N.C. 97, 489 S.E.2d 880 (1997), our
Supreme Court outlined the guidelines for determining whether a
claim for relief may be made against an individual who is employed
by the State. The first determination to be made is whether the
complaint seeks recovery from a named defendant in his official or
individual capacity or both. If the court determines that the
defendant is being sued in his individual capacity, it must next
determine whether the individual is a public official or public
employee. This determination is important for negligence claims
because, [p]ublic officials cannot be held individually liable for
damages caused by mere negligence in the performance of their
governmental or discretionary duties; public employees can.
Meyer, 347 N.C. at 112, 489 S.E.2d at 888. However, if the
plaintiff alleges an intentional tort claim, a determination is
unnecessary since, in such cases, neither a public official nor a
public employee is immunized from suit in his individual capacity.
See Hawkins v. State, 117 N.C. App. 615, 630, 453 S.E.2d 233, 242,
disc. rev. denied, 342 N.C. 188, 463 S.E.2d 79 (1995).
The crucial question for determining whether
a defendant is sued in an individual or
official capacity is the nature of the relief
sought, not the nature of the act or omission
alleged. If the plaintiff seeks an injunction
requiring the defendant to take an action
involving the exercise of a governmental
power, the defendant is named in an official
capacity. If money damages are sought, the
court must ascertain whether the complaint
indicates that the damages are sought from the
government or from the pocket of the
individual defendant. If the former, its an
official-capacity claim; if the latter, it is
an individual-capacity claim; and if it is
both, then the claims proceed in both
capacities.
Meyer, 347 N.C. at 110, 489 S.E.2d at 887 (
quoting Anita R. Brown-
Graham & Jeffrey S. Koeze,
Immunity from Personal Liability under
State Law for Public Officials and Employees: An Update, Loc. Gov't
L. Bull. 67 (Inst. of Gov't, Univ. of N.C. at Chapel Hill), Apr.
1995, at 7)
. Whether the allegations relate to actions outside
the scope of [the] defendant's official duties is not relevant in
determining whether the defendant is being sued in his or her
official or individual capacity.
Id. at 111, 489 S.E.2d at 888.
Here, our review of the record reveals that, in the caption of
her complaint, plaintiff designated that Florence and Daughtry were
being sued in both their official and individual capacities.
Additionally, in the prayer for relief for her emotional distress
claims, plaintiff seeks monetary damages directly from Florence and
Daughtry and not from the other named defendants. Thus, we
conclude Florence and Daughtry were sued in their individualcapacities with respect to these claims. Moreover, because
intentional infliction of emotional distress is an intentional
tort, Florence and Daughtry were not entitled to immunity as to
this claim.
In accordance with the holding in
Meyer, we next consider
whether Florence and Daughtry are public officials and therefore
are immune from plaintiff's claim for negligent infliction of
emotional distress. As our Supreme Court has noted:
Our courts have recognized several basic
distinctions between a public official and a
public employee, including: (1) a public
office is a position created by the
constitution or statutes; (2) a public
official exercises a portion of the sovereign
power; and (3) a public official exercises
discretion, while public employees perform
ministerial duties.
Isenhour v. Hutto, 350 N.C. 601, 610, 517 S.E.2d 121, 127
(1999)(citations omitted). 'Discretionary acts are those
requiring personal deliberation, decision and judgment' while
[m]inisterial duties . . . are absolute and involve 'merely [the]
execution of a specific duty arising from fixed and designated
facts.'
Id. (
quoting Meyer, 347 N.C. at 113-14, 489 S.E.2d at
889).
Aside from their respective job titles, the record does not
detail the job responsibilities of Florence and Daughtry. Also,
neither defendant has cited authority which specifically
categorizes their position as a public official. Hence, we are
unable to conclude that either Florence or Daughtry is a public
official entitled to immunity on plaintiff's claim for negligentinfliction of emotional distress. Nevertheless, the trial court's
grant of summary judgment as to plaintiff's emotional distress
claims can be sustained on other grounds.
See Shore v. Brown, 324
N.C. 427, 428, 378 S.E.2d 778, 779 (1989)(If the granting of
summary judgment can be sustained on any grounds, it should be
affirmed on appeal. If the correct result has been reached, the
judgment will not be disturbed even though the trial court may not
have assigned the correct reason for the judgment entered).
Regarding plaintiff's intentional infliction of emotional
distress claim, plaintiff's evidence fails to demonstrate that
Florence's and Daughtry's conduct was 'so outrageous in character,
and so extreme in degree, as to go beyond all possible bounds of
decency, and to be regarded as atrocious and utterly intolerable in
a civilized community.'
Hogan v. Forsyth Country Club Co., 79
N.C. App. 483, 493, 340 S.E.2d 116, 123,
disc. rev. denied, 317
N.C. 334, 346 S.E.2d 140 (1986)(
quoting Restatement (Second) of
Torts § 46, Comment d (1965)). Indeed, Lofton ordered that
plaintiff be returned to Florence's supervision and the Below
Good evaluation was based in part on observations made by
Lunsford. Even assuming Florence and Daughtry did not always agree
with plaintiff, their decisions concerning plaintiff's working
conditions did not go beyond all possible bounds of decency.
See
e.g. Stamper v. Charlotte-Mecklenburg Bd. of Ed., 143 N.C. App.
172, 174-75, 544 S.E.2d 818, 820 (2001)(holding that conduct of a
principal and other officials in subjecting teacher to more than 15
classroom observations and conference meetings, videotaping herwhile she was teaching a lesson, and transferring her to a school
which was a long distance away from her children's school was not
sufficiently extreme and outrageous conduct to support a claim
for intentional infliction of emotional distress). Therefore, we
conclude, as a matter of law, that their alleged actions do not
rise to a level of extreme and outrageous conduct necessary to
support an action for intentional infliction of emotional distress.
See Hogan, 79 N.C. App. at 490, 340 S.E.2d at 121 (It is a
question of law for the court to determine, from the materials
before it, whether the conduct complained of may reasonably be
found to be sufficiently outrageous as to permit recovery).
With respect to plaintiff's claim for negligent infliction of
emotional distress, such an action has three elements: (1)
defendant engaged in negligent conduct; (2) it was reasonably
foreseeable that such conduct would cause the plaintiff severe
emotional distress and (3) defendant's conduct, in fact, caused
severe emotional distress.
Robblee v. Budd Services, Inc., 136
N.C. App. 793, 795, 525 S.E.2d 847, 849,
disc. rev. denied, 352
N.C. 676, 545 S.E.2d 228 (2000). Based on our review of the
record, we conclude that plaintiff failed to forecast sufficient
evidence that it was reasonably foreseeable that Florence's and
Daughtry's decision to change her working conditions would cause
her severe emotional distress. Therefore, summary judgment on
plaintiff's negligent infliction of emotional distress claim was
also appropriate. In sum, we hold the trial court properly entered summary
judgment for all defendants on plaintiff's Whistleblower claim and
we further conclude that Florence and Daughtry were entitled to
summary judgment on plaintiff's emotional distress claims.
Accordingly, the decision of the trial court is
Affirmed.
Judges McCULLOUGH and BRYANT concur.
Footnote: 1 The record does not indicate plaintiff filed a wrongful
retaliation claim with the State Personnel Commission. Thus,
unlike
Swain, this case does not present an issue of claim
preclusion.
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