Michael A. Souza, Complainant,v.Tommy G. Thompson, Secretary, Department of Health and Human Services, Agency.

Equal Employment Opportunity CommissionFeb 21, 2002
01995130 (E.E.O.C. Feb. 21, 2002)

01995130

02-21-2002

Michael A. Souza, Complainant, v. Tommy G. Thompson, Secretary, Department of Health and Human Services, Agency.


Michael A. Souza v. Department of Health and Human Services

01995130; 01A02779

February 21, 2002

.

Michael A. Souza,

Complainant,

v.

Tommy G. Thompson,

Secretary,

Department of Health and Human Services,

Agency.

Appeal Nos. 01995130; 01A02779

Agency Nos. HCF-362-94; 97-043-HCF

Hearing Nos. 370-97-x2528; 370-98-x2476

DECISION

Michael A. Souza (complainant) timely initiated appeals with the

Equal Employment Opportunity Commission (EEOC or Commission) from

final agency decisions (FAD) dated May 11, 1999, and January 20, 2000,

concerning his complaints alleging that he was discriminated against on

the bases of his sex (male) national origin, (Portugese/Hispanic), and

age (date of birth: January 12, 1951) in violation of Title VII of the

Civil Rights Act of 1964, as amended, 42 U.S.C. � 2000e et seq. (1994 &

Supp. IV 2000) and the Age Discrimination in Employment Act of 1967, as

amended, 29 U.S.C. � 621 et seq. (1994 & Supp. IV 2000). Accordingly,

the appeals are accepted pursuant to 29 C.F.R. � 1614.405.

In complaint no. HCF-362-94, complainant alleged that he was discriminated

against on the basis of his age, sex, and national origin when he was

given a cash award in the amount of $500 on September 1, 1993, which

complainant deemed an inadequate reward for the work he performed, which

saved the agency an estimated $1.25 million. In complaint no. 97-043-HCF,

complainant alleged that he was discriminated against on the basis of

reprisal (prior Title VII, ADEA)<1> when he was not selected for the

position of Health Insurance Specialist, GS-107-13 in March of 1997. For

the following reasons, the Commission consolidates these complaints and

AFFIRMS the agency's final decisions.

The record reveals that complainant, a Health Insurance Specialist,

GS-107-12 at the agency's Medicare Division of the Health Care Financing

Administration (the division) in San Francisco, California, filed formal

EEO complaints with the agency in December 1993, and June 1997, alleging

that the agency discriminated against him as referenced above. At the

conclusion of the investigations, complainant received a copy of the

investigative reports and requested hearings before EEOC Administrative

Judges (AJ).

In both complaints the AJ issued a decision without a hearing, finding

no discrimination. In complaint no. HCF-362-94, the AJ concluded that

assuming arguendo, that complainant established a prima facie case

of age, sex or national origin discrimination when he only received a

$500.00 award, instead of the greater amount suggested by the Office of

Personnel Management in its Federal Personnel Manual (FPM), complainant

could not show that a similarly situated person not within his protected

groups was treated more favorably. Specifically, the AJ found that the

person complainant compared himself to, his supervisor (S-1), was not

similarly situated. The AJ found that S-1 was complainant's second line

supervisor, had a different job, worked under a different supervisor,

and was subject to different standards. Second, the complainant compared

two different budget years, 1993, the year in which he received his

$500.00 Special Achievement Award, and 1990, the year in which S-1

received a $1500.00 Performance Award. The AJ concluded that complainant

presented no claim or any evidence that a similarly situated employee of

a different protected group who saved the agency a substantial amount of

money in the 1993 budget year, as complainant did, received a greater

monetary award. Finally, the AJ concluded that the agency introduced

a legitimate non-discriminatory reason for its action, namely, that the

total awards budget for the division in 1993 was limited, and complainant

failed to show that the agency reason was pretextual.

Regarding complaint no. 97-043-HCF, complainant argued that the

selecting official and the interviewing panel, with the exception of

one member, was the same for the non-selection which was the subject

of his EEO complaint in 1996, one year prior to the present complaint.

The AJ found that complainant satisfied the first three elements of a

prima facie case of retaliation, in that complainant participated in

protected EEO activity, the selection panel, with the exception of one

member, knew of his prior EEO activity, and complainant was subsequently

denied the promotion to the position at issue in the complaint. However,

the AJ concluded that complainant failed to prove by a preponderance of

the evidence that a causal nexus existed between his EEO activity and

his non-selection. The AJ found complainant's arguments unpersuasive,

as a significant period of time had passed since complainant's prior

EEO activity and the instant non-selection.

Complainant also argued that the selectee had no subject matter experience

and was not as qualified as he for the position at issue. The AJ found

that the facts did not support such a conclusion. The AJ concluded

that a panel of agency experts reviewed the applications and ranked the

applicants, and that while complainant and the selectee were obviously

excellent employees, and both made the best qualified list, there was only

one position. The agency's final decisions implemented the AJ decisions.

On appeal, in complaint no. HCF-362-94, complainant, through his attorney,

contends that the AJ erred when she adopted the agency's recitation

of the facts. Specifically, complainant argued that complainant's

supervisor (S-1) received a $1,500.00 award using the agency's same

internal procedures for a different award year under the same project,

while complainant was only awarded $500.00, and that it was erroneous

for the AJ to issue a summary judgment finding that S-1 was not a proper

comparator because S-1's award was for a different budgetary year.

Further, complainant argued that he was similarly situated to S-1 in

that the regional administrator was responsible for all awards within his

district including the awards to S-1 and complainant. Complainant also

argued that the agency failed to introduce �concrete� evidence that

its budgetary constraints precluded awarding more money than $500.00,

nor did it explain its methodology in calculating the awards.

The agency responded indicating that complainant was not similarly

situated to S-1 in that 1) issuing monetary awards is completely at

the agency's option, and is always dependent upon available funds in

a given fiscal year, and as such, no cross-fiscal-year comparisons

were appropriate; 2) S-1 was a supervisor, complainant was not, they

had different supervisory chains, and their duties and responsibilities

were vastly different; 3) complainant improperly attempts to compare his

special act or service award with S-1's performance-based merit award,

when the awards were in entirely different categories for recognition

deriving from totally distinct systems, each serving a unique purpose.

Further, the agency contended that the by then obsolete FPM simply

provided general parameters for civil service awards, and did not mandate

specific payment amounts or ranges for awards, nor did it require that a

special act/service award be calculated based upon a fixed percentage of

savings realized. Finally, the agency contended that assuming arguendo

that complainant saved the agency $1.25 million, a group of other division

employees saved the agency eight times the amount that complainant saved,

yet only received $500.00 in award money.

On appeal, in complaint no. 97-043-HCF, complainant contends that the AJ

erred when she issued a summary judgment finding that there was no causal

nexus between complainant's prior EEO activity and his non-selection.

Complainant's attorney argued a temporal nexus existed because this

complaint was filed while his other EEO complaints, filed in 1996,

were still pending. Further, complainant's attorney argued that the

selectee was not �clearly more qualified� than complainant as her final

score of 97.3 was only 4.3 points higher than complainant's score of 93.

The agency offered no new contentions on appeal.

The U.S. Supreme Court has held that summary judgment is appropriate where

a court determines that, given the substantive legal and evidentiary

standards that apply to the case, there exists no genuine issue of

material fact. Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 255

(1986). In ruling on a motion for summary judgment a court does not

sit as a fact finder. Id. The evidence of the non-moving party must

be believed at the summary judgment stage and all justifiable inferences

must be drawn in the non-moving party's favor. Id. A disputed issue of

fact is "genuine" if the evidence is such that a reasonable fact finder

could find in favor of the non-moving party. Celotex v. Catrett, 477

U.S. 317, 322-23 (1986); Oliver v. Digital Equip. Corp., 846 F. 2d 103,

105 (1st Cir. 1988). A fact is "material" if it has the potential to

affect the outcome of the case. If a case can only be resolved by

weighing conflicting evidence, summary judgment is not appropriate.

In the context of an administrative proceeding under Title VII, an AJ

may properly consider summary judgment only upon a determination that

the record has been adequately developed for summary disposition.

In complaint no. HCF-362-94, the Commission notes that the record

indicated that other similarly situated employees in complainant's work

unit under the same chain of command, not of complainant's national

origin, both male and female, were given Special Act awards of lesser

amounts or were given no awards in 1993. In addition, some of these

employees realized savings for the agency that were up to eight times

greater than complainant's but they too received $500 awards. Further,

complainant introduced no evidence to show that the agency was required

to give special act/service awards in the amounts suggested in the FPM.

We also concur with the AJ's conclusion that complainant was not similarly

situated to his supervisor for purposes of calculating the awards.

In complaint no. 97-043-HCF, complainant argues that a causal nexus

exists, based on the temporal relation of the events because he

had a pending EEO claim during the selection process. However,

he failed to show that the agency's legitimate non-discriminatory

reason was pretextual, in that he has not shown by a preponderance of

the evidence that he was plainly superior to the selectee, or that the

agency harbored discriminatory animus towards him. In Wrenn v. Gould,

808 F.2d 493 (6th Cir. 1987), the court held that an employer's stated

legitimate reason must be reasonably articulated and nondiscriminatory,

but does not have to be a reason that the trier of fact would act on or

approve. An employer is entitled to make his own business judgments. The

reasonableness of the employer's decision may of course be probative

of whether it is pretext. The trier of fact must understand that its

focus is to be on the employer's motivation, however, and not on its

business judgment. Loeb v. Textron, Inc., 600 F.2d 1003, 1012 , n. 6

(1st Cir. 1979). The Commission can not second guess an employer's

business decisions but can focus only on an employer's motivation for

such decisions. See Texas Department of Community Affairs v. Burdine,

450 U.S. 248, 259 (1981). Complainant has not adduced evidence probative

of a pretextual explanation. For instance, complainant has not shown

that the selection process was flawed nor did he cite other events which

rose to the level of retaliatory animus. We note that the record does

not show that complainant's qualifications were so plainly superior to

those of the selectee as to warrant a finding of pretext. Bauer v. Bailar,

647 F.2d 1037, 1048 (10th Cir. 1981). Further, while complainant argued

that the selectee had no subject matter experience for the division she

was applying for, the record indicates that she had similar experiences to

his in relevant areas such as working with government contractors and the

agency's legal counsel on issues concerning Medicare laws; the selectee

similarly was required to engage in technical writing, and identify over

payments and under payments. Moreover, complainant did not show where the

selectee failed to satisfy the requirements of the vacancy announcement.

Therefore, after a careful review of the record, the Commission finds that

the AJ's decision properly summarized the relevant facts and referenced

the appropriate regulations, policies, and laws. We note that complainant

failed to present evidence that any of the agency's actions were in

retaliation for complainant's prior EEO activity or were motivated by

discriminatory animus toward complainant's age, sex or national origin.

We discern no basis to disturb the AJ's decision. Therefore, after a

careful review of the record, including complainant's contentions on

appeal, the agency's response, and arguments and evidence not specifically

addressed in this decision, we AFFIRM the FAD.

STATEMENT OF RIGHTS - ON APPEAL

RECONSIDERATION (M0701)

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

February 21, 2002

______________________________

Date

1The records indicate that complainant filed two prior equal employment

opportunity (EEO) complaints. Specifically, agency complaint

nos. HCF-362-94, the subject of this appeal, and HCF-007-96, which was

previously appealed to the Commission under EEOC Appeal No. 01975757.

An appeal decision finding no discrimination was issued by the Commission

on June 23, 1999 on HCF-007-96.