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MELENDEZ v. KIRKPATRICK

United States District Court, W.D. New York.
Oct 8, 2010

MEMORANDUM DECISION AND ORDER

CLARK WADDOUPS, District Judge. INTRODUCTION

Plaintiffs Monica S. James, Bernadette Hoffman, Lorrie Moore, and Tiara Prisbrey allege that Gene McFarland — President of Frank's Westates Services, Inc. ("Frank's") — sexually harassed them on various occasions during their time of employment by Frank's. Plaintiffs now seek redress on the four causes of action stated in their complaint. Defendants move for summary judgment on all claims. The court denies the motion for the first cause of action for hostile work environment, and the third cause of action against Mr. McFarland for intentional infliction of emotional distress. The court grants summary judgment in favor of Defendants on all other causes of action for the reasons discussed below.

MOTIONS TO STRIKE

Plaintiffs have moved to strike various portions of the affidavits submitted by Defendants. "The court may strike from a pleading an insufficient defense or any redundant, immaterial, impertinent, or scandalous matter." However, on this motion the court "did not apply or consider the complained-of affidavit evidence when ruling on the motion for summary judgment." Therefore, because the court finds that the evidence "is not material to the outcome," the motions to strike are denied as moot.

Fed R. Civ. P. 12(f).

Rich Floors, L.L.C. v. Jaylon, Inc., No. 08-cv-02291-LTB-BNB, 2010 U.S. Dist. LEXIS 42652, at *29 (D. Colo. Apr. 5, 2010).

Cannon v. Minn. Mining and Mfg. Co., 2009 U.S. Dist. LEXIS 10308, at *20 n. 3 (D. Utah February 11, 2009).

FACTUAL BACKGROUND

Frank's Weststates Services, Inc. provides casing running services to the oil industry. Plaintiffs Monica S. James, Bernadette Hoffman, Lorrie Moore, and Tiara Prisbrey were all employees of Frank's working in various capacities, and Defendant Gene McFarland was Frank's president during the time of the alleged harassment. Plaintiffs' complaint alleges that during their employment they had each been subjected to sexual harassment by Mr. McFarland. Each Plaintiff has previously filed a Charge of Discrimination with the Utah Anti-Discrimination Labor Division and E.E.O.C., and has also been provided a Notice of Right to Sue.

Ms. Moore worked as a welder, and Ms. James, Ms. Prisbrey, and Ms. Hoffman all worked as dispatchers. Ms. James also repaired torque gauges.

Regarding the particular instances of harassment specific to Ms. James, the record indicates that Mr. McFarland had invited her to sit on his lap and talk about the first thing that comes up. He called her a hot-blooded Mexican and told her that she would need a large coat to cover her big "bumps." He had pulled her hair, called her sexy, and talked to her about lesbians. Ms. James has stated that Mr. McFarland's treatment led directly to a loss of sleep, caused her to become edgy, and feel depressed and angry. Ms. James has also testified that as part of the harassment, the type of work she was assigned was changed and that her rate of payment was lowered.

Ms. Hoffman has testified that Mr. McFarland harassed her by pretending to take a strand of her hair and laying it across his chest said "all I need is just one to make people wonder." When she was sick, Mr. McFarland told her that that she should "drink a hot toddy and get under four blankets and sweat it out with an old man" like him. Ms. Hoffman has also testified that Mr. McFarland would tell her that he took Viagra, and had on occasion tried to look down her shirt. Although Ms. Hoffman thought she could handle it initially, the record indicates that Mr. McFarland's treatment caused Ms. Hoffman to cry, gain weight, and lose sleep. As a result of Mr. McFarlan's treatment, Ms. Hoffman also became abrupt with people, paranoid, withdrawn, and suffered headaches. Ms. Hoffman has also testified that she tried to find help but found none, and had finally had enough.

Ms. Moore has testified that Mr. McFarland sexually harassed her by telling her that she did her best work on her back and said on another occasion that he'd rather be under her than have her run over him. He told a co-worker that Moore needed "a good horse F-ing." The record indicates that McFarland had told stories that made her feel "uneasy and uncomfortable," and that the stress due to his harassment resulted in Ms. Moore having sleeping trouble, headaches, depression, and taking up smoking again. Moreover, Ms. Moore testified that Mr. McFarland's granddaughter had caused Ms. Moore and her son problems in collecting their checks and dealing with payroll.

Ms. Prisbrey testified that after Mr. McFarland had walked in on her in the bathroom he would not leave. She has also testified that Mr. McFarland had also looked down her blouse, asked where she got those "bumps" on her shirt, and had talked to her about his sex life. Mr. McFarland's harassment resulted in her being unable to sleep, gaining weight, and feeling both depressed and anxious. Ms. Prisbrey has also testified that she was forced to quit because of the treatment that she received.

Other general evidence of a harassing environment includes Mr. McFarland hitting men in the groin, calling another worker "Chesty," and trying to grab the same worker's breast. Other employees at Frank's watched pornographic films, and one of the employees, Val Francisco, had been seen by Ms. Hoffman lying across McFarland's desk with her dress down and her breasts hanging out. This evidence is offered to show that Frank's work place was one of frequent sexual innuendo and sexually pervasive discussion.

SUMMARY JUDGMENT STANDARD

Defendants' motion for summary judgment will be granted, only "if the pleadings, the discovery and disclosure materials on file, and any affidavits show that there is no genuine issue as to any material fact and the movant is entitled to a judgment as a matter of law." In moving for summary judgment, "[t]he movant has the burden of showing that there is no genuine issue of fact;" however, "the plaintiff is not thereby relieved of his own burden of producing . . . evidence that would support a jury verdict." Likewise, the role of the Court is not to weigh the evidence, but to "determine whether there is a genuine issue for trial."

Fed.R.Civ.P. 56(c)(2).

Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 256 (1986).

Id. at 249.

I. FIRST CAUSE OF ACTION — TITLE VII HOSTILE ENVIRONMENT

The Supreme Court has held that Title VII of the Civil Rights Act of 1964 makes it,

"an unlawful employment practice for an employer . . . to discriminate against any individual with respect to his compensation, terms, condition or privileges of employees, because of such individual's race, color, religion, sex, or national origin. . . .' [T]his language is not limited to economic or tangible discrimination, but also prohibits employers from requiring people to work in a discriminatory hostile or abusive environment. . . . When the workplace is permeated with discriminatory intimidation, ridicule, and insult, that is sufficiently severe or pervasive to alter the conditions of the victim's employment and create an abusive working environment, Title VII is violated."

"For hostile work environment sexual harassment to be actionable, it must be sufficiently severe or pervasive `to alter the conditions of the victim's employment and create an abusive working environment.'" This analysis consists of an objective and subjective component. The first is to determine whether the sexual conduct complained of is "sufficiently severe or pervasive to alter the conditions of the victim's employment and create a hostile or offensive work environment." The second is to decide whether the victim "subjectively perceive[s] the environment to be abusive. . . . " Because plaintiffs must demonstrate both of these prongs, Defendants' motion for summary judgment will be successful if they can show that "there is no genuine issue as to any material fact" on either prong. Lastly, so long as a supervisor's harassment did not culminate into a tangible employment action against the Plaintiffs, Defendants' motion for summary judgment may also be granted if Defendants successfully prove the hostile work environment affirmative defense by showing that (1) Frank's took reasonable care to prevent and correct promptly any sexually harassing behavior, and that (2) Plaintiffs unreasonably failed to avail themselves of these preventative and corrective opportunities, or otherwise avoid harm. A. The Objective Prong: Severity and Pervasiveness

Stahl v. Sun Mircrosys., 19 F.3d 533, 537-38 (10th Cir. 1994).

Faragher v. City of Boca Raton, 524 U.S. 775, 787-88 (1998) (stating that "a sexually objectionable environment must be both objectively and subjectively offensive, one that a reasonable person would find hostile or abusive, and one that the victim in fact did perceive to be so.")

Stahl, 19 F.3d at 538 (internal citations omitted).

Harris, 510 U.S. at 21-22 (stating that "if the victim does not subjectively perceive the environment to be abusive, the conduct has not actually altered the conditions of the victim's employment, and there is no Title VII violation.)

Fed R. Civ. P. 56(c)(2).

Pinkerton v. Colo. D.O.T., 563 F.3d 1052, 1059 (10th Cir. 2009).

Title VII is not meant to be a "general civility code." As such, "simple teasing, offhand comments, and isolated incidents (unless extremely serious) will not amount to discriminatory changes in the terms and conditions of employment." Stated differently, the "ordinary tribulations of the workplace, such as the sporadic use of abusive language, gender-related jokes, and occasional teasing" do not amount to a hostile work environment. Rather, courts are directed to look for extreme conduct, and consider all circumstances including the "frequency of the discriminatory conduct; its severity; whether it is physically threatening or humiliating, or a mere offensive utterance, and whether it unreasonably interferes with an employee's work performance." It is also important to note that "[a] finding of pervasiveness or severity need not rest solely on actions aimed directly at a plaintiff, . . . but may also consider harassment of others in the workplace." This is so "because one of the critical inquiries in a hostile environment claim must be the environment." Thus, "incidents of sexual harassment directed at employees other than the plaintiff can be used as proof of the plaintiff's claim. . . . "

Faragher, 524 U.S. at 788.

Id. (internal citations omitted).

Id.

Id. at 787-88 (quoting Harris, 510 U.S. at 23).

Nieto v. Kapoor, 268 F.3d 1208, 1218 n. 7 (10th Cir. 2001).

Hicks v. Gates Rubber Co., 833 F.2d 1406, 1415 (10th Cir. 1987) (emphasis in the original).

Stahl, 19 F.3d at 538.

At the outset, "the severity and pervasiveness evaluation is particularly unsuited for summary judgment because it is quintessentially a question of fact." In the instant case, the Plaintiffs have submitted evidence of numerous instances of extreme behavior, ranging from crude jokes and innuendos, to sexually-motivated inquiries, comments, gestures, discussions, touchings, and other activities. The examples are numerous, and it is clear that sexual content permeated Frank's work place. The court is therefore compelled to believe that a reasonable jury could conclude that the frequency, severity, and nature of what occurred as stated in the record establishes Frank's as a hostile work environment. Therefore, Defendants' motion cannot prevail on this prong.

Herrera v. Lufkin Indus., 474 F.3d 675, 680 (10th Cir. 2007) (quoting McCowan v. All-Star Maint., Inc., 273 F.3d 917, 923 (10th Cir. 2001)).

See supra Factual Background, at 2-4.

B. The Subjective Prong: The Victim's Perception of an Abusive Environment

To succeed on their motion, Defendants may also show that the Plaintiffs did not perceive their individual work environments as sufficiently hostile. Defendants also fail on this prong. Each Plaintiff has testified that she was aware of the sexually-laden activity that had and was occurring at Franks, and that it made her feel varying levels of distress. Moreover, Defendants have not presented any undisputed evidence that would compel a finding that Plaintiffs' concerns were feigned or unreasonable. Whether Plaintiffs perceived Frank's to be an abusive environment is an issue of material fact and a conclusion that a reasonable jury could make.

Faragher v. City of Boca Raton, 524 U.S. 775, 787 (1998).

See supra Factual Background, at 2-4.

C. Defendants' Hostile Work Environment Affirmative Defense

Frank's contends that it has shown the affirmative defense to a hostile work environment beyond dispute. This contention fails. The Tenth Circuit has found that an employer may be vicariously liable to a victimized employee for an actionable hostile work environment created by a supervisor in two situations:

"First, the employer is vicariously liable when the supervisor's harassment culminates in a tangible employment act, such as discharge, demotion, or undesirable reassignment. In that situation, the employer has no affirmative defense available. Second, an employer may be vicariously liable for a hostile work environment, even absent a tangible employment action. However, in that circumstance, the employer will not be liable if it proves the following affirmative defense by a preponderance of the evidence: (1) it `exercised reasonable care to prevent and correct promptly any sexually harassing behavior,' and (2) the plaintiff `unreasonably failed to take advantage of any preventive or corrective opportunities provided by the employer or to avoid harm otherwise.'"

At the time of the alleged conduct, Mr. McFarland was the President of Frank's and clearly a "supervisor" for purposes of Title VII. The court now considers in turn whether a tangible employment action was taken against each individual Plaintiff, and if not, whether the affirmative defense applies. In every case, the factual disputes preclude the court from finding as a matter of law that the affirmative defense bars the plaintiffs' claims.

See Swinton v. Potomac Corp., 270 F.3d 794, 804 (9th Cir. 2001) (finding that "an employee is a member of management if a supervisor possessing substantial authority and discretion to make decisions concerning the terms of the harasser's or harassee's employment, such as authority to counsel, investigate, suspend, or fire the accused harasser, or to change the conditions of the harassee's employment.")

i. A Factual Dispute Exists Over Whether an Actual Tangible Employment Action Was Taken Against Ms. James.

Ms. James asserts that because of her response to the sexual harassment, Frank's changed the work she did and lowered her rate of pay. These actions by Frank's, supported by the evidence, are sufficient to prove a change in her employment status. Defendants argue that other reasons existed for those changes and that the changes were instituted for her benefit and safety. There is, however, evidence from which a jury could reject Frank's assertions and accept Ms. James claims. As such, there is an issue of material fact that precludes Frank's from prevailing on the affirmative defense on a motion for summary judgment.

(Def.'s Mem. In Supp. of Mot. For Summ. J. on Claims of Pl. James, xiv.)

Id. at xiv-xvi.

ii. A Factual Dispute Exists Over Whether a Constructive Tangible Employment Action Was Taken Against Ms. Hoffman and Ms. Prisbrey.

Ms. Hoffman and Ms. Prisbrey assert that they were constructively discharged. If a reasonable jury could find this to be the case, then the affirmative defense is not available to Frank's because the Supreme Court has found that a constructive discharge is a tangible employment act. "Under the constructive discharge doctrine, an employee's reasonable decision to resign because of unendurable working conditions is assimilated to a formal discharge for remedial purposes. The inquiry is objective: Did working conditions become so intolerable that a reasonable person in the employee's position would have felt compelled to resign?" The Tenth Circuit has provided further guidance, explaining that "[w]orking conditions must be so severe that the plaintiff simply had no choice but to quit. In contrast, a plaintiff who voluntarily resigns cannot claim that he or she was constructively discharged."

Pa. State Police v. Suders, 542 U.S. 129, 140-41 (U.S. 2004) ("[A]n employer does not have recourse to the Ellerth/Faragher affirmative defense when a supervisor's official act precipitates the constructive discharge; absent such a `tangible employment action,' however, the defense is available to the employer whose supervisors are charged with harassment.")

Id. at 141.

Exum v. U.S. Olympic Comm., 389 F.3d 1130, 1135 (10th Cir. 2004) (citations omitted).

Defendants argue that Ms. Hoffman and Ms. Prisbrey were not constructively terminated, but the record demonstrates that a dispute of material facts exists on this question. For example, Ms. Hoffman testified that just prior to terminating her employment she had told John Smith, "I've had enough. I have tried to go to people. I've tried to find help. And nobody is helping and I've had enough." Likewise, Ms. Prisbrey testified that "[b]ecause of the treatment, I quit my job." Ms. Prisbrey further testified that she decided to terminate her employment at Frank's because she didn't think it was a very good place for her to be working and that although she really liked the job, it wasn't a very good environment. She further said that she had tried to talk to her supervisor about things she thought should be changed, and while she did not specifically mention Gene McFarland, she did mention that there was "a lot of crude, rudeness around there and that I didn't think that it should be socially acceptable there." The defendants argue that Ms. Prisbrey voluntarily left her job at Frank's, an assertion they support by citing her testimony that she had already accepted employment elsewhere. Nevertheless, the evidence is sufficient for a jury to find that Mr. McFarland's conduct was a material factor in her decision to leave. Thus, both Ms. Hoffman's and Ms. Prisbrey's claims are supported by sufficient evidence for a jury to find that the various forms of harassment they endured effectively led to their terminations. Defendants have not presented evidence that disproves this evidence of constructive discharge as a matter of law, and a resolution of the matter should be left to the trier of fact.

Defendants also erroneously argue that the Faragher defense is available to them even if Defendants were constructively discharged. Defendants point to Suders, which does note that "[u]nlike an actual termination, which is always effected through an official act of the company, a constructive discharge need not be." Suders, 542 U.S. at 148. However, the point is misapplied. Suders simply suggests that constructive discharge is not necessarily an official act of the company, but does nothing to preclude the possibility. Where a supervisor has allegedly harassed and constructively discharged an employee as Plaintiffs claim, the case is one of an official company act and fits squarely within Pinkerton's first category.

(Hoffman Dep., 18.)

(Prisbrey Dep., 38.)

(Prisbrey Dep., 75, 70-73.) This discussion took place at the time Ms. Prisbrey had given notice. During this discussion, Ms. Prisbrey describes herself as having been fired.

Defendants note that her exit interview form says that Ms. Hoffman's reason for leaving was because, "She tried everything she could to find child care for her children but was not successful." However, this is simply what was written by Frank's representative. The court cannot conclude that this is dispositive in light of Ms. Hoffman's testimony. (Def.'s. Mem. In Supp. of Mot. For Summ. J. on claims of Pl. Hoffman, Ex. 5.)

iii. A Factual Dispute Exists as to Whether Frank's Can Succeed in Proving Its Affirmative Defense Against Plaintiff Moore.

Unlike the other Plaintiffs, Ms. Moore has presented no evidence that the alleged harassment by Mr. McFarland resulted in any form of tangible employment action against her. Ms. Moore contends that Mr. McFarland's granddaughter caused her and her son problems with payroll. However, nothing provided in the record can reasonably support a conclusion that these actions were a culmination of Mr. McFarland's harassment. Rather, the only available evidence tends to show that they stemmed from personal issues between Ms. Moore and payroll personnel. Because Ms. Moore has failed to present evidence from which a jury could conclude that Frank's took a tangible employment action against her, the Title VII affirmative defense is available to Defendants.

(Moore Dep., 27-28.)

As of her deposition, Ms. Moore had remained in employment with Franks. (Moore Dep. 13, ¶ 23-25).

Nevertheless, to succeed on this affirmative defense on a motion for summary judgment, Defendants must prove as a matter of law: (1) Frank's "exercised reasonable care to prevent and correct promptly any sexually harassing behavior," and (2) that Plaintiffs "unreasonably failed to take advantage of any preventive or corrective opportunities provided by [Frank's] or to avoid harm otherwise." To succeed on the defense, a defendant must establish both prongs. In this case, Defendants concede that a material fact is in dispute regarding the second prong, thus precluding summary judgment on this defense. Defendants acknowledge in their supporting memorandum that "Ms. Moore's own testimony regarding who she reported to and when is conflicting because Ms. Moore stated in her Intake Questionnaire that she did not report any harassment and then a year later in her deposition claimed that she did report the alleged harassment at the time it took place. Thus, it is impossible to determine when she reported the alleged harassment to Frank's." Defendants' statement is an admission that a factual issue exists, and the court cannot determine, as a matter of law, that Moore "unreasonably failed to take advantage of any preventive or corrective opportunities." As such, Defendant's motion for summary judgment regarding Plaintiff Moore's first cause of action must fail.

Faragher v. City of Boca Raton, 524 U.S. 775, 807 (1998).

(Def.'s Mem. in Supp. of Mot. For Summ. J. on Claims of Pl. Moore, 7.)

II. THE REMAINING CAUSES OF ACTION FAIL AS A MATTER OF LAW

A. Second Cause of Action — Title VII — Negligent Training, Supervision and Retention

In their second cause of action, Plaintiffs allege that Frank's was "negligent in its failure to properly supervise and train Defendant McFarland, and ultimately in its retention of him in that [Frank's] failed to take prompt, adequate and effective remedial action once its management level employees knew or should have known of his actions." Defendants argue that this claim is barred as a matter of law by the exclusive remedy provided by the Utah Workers' Compensation Act. Plaintiffs respond, however, that if a claim of negligent supervision is available under Title VII against Frank's as they allege, the claim is protected under the supremacy clause and cannot be preempted by a state statute.

(Compl., ¶ 24.)

(Def.'s Mem. in Supp. of Mot. For Summ. J. on Claims of Pl. Moore, 10; James, 10; Hoffman, 10; Prisbrey, 11.)

( U.S. Const. art. VI, c.2)

The court need not address the preemption issue because Plaintiffs fail to allege that Frank's was negligent in training, supervising, and retaining someone that makes the negligence claim actionable. As the Ninth Circuit has explained:

"A plaintiff may state a case for harassment against the employer under one of two theories: vicarious liability or negligence. Which route leads to employer liability depends on the identity of the actual harasser, specifically whether he is a supervisor of the employee, or merely a co-worker. If the harasser is a supervisor, the employer may be held vicariously liable. If, however, the harasser is merely a co-worker, the plaintiff must prove that the employer was negligent. . . . "

In this case, it is undisputed that Mr. McFarland was a supervisor. Plaintiffs do not allege, nor would the evidence support, that he was merely a co-worker. Plaintiffs have therefore elected to proceed against Frank's on a theory of vicarious liability. Having elected that theory of liability, plaintiffs are precluded from pursuing an alternate theory based on negligence. Because there is no factual dispute that Mr. McFarland is not considered a mere co-worker but a supervisor, the claim against Frank's for negligence fails. The court therefore grants summary judgment in favor of Defendants on the second cause of action. B. Third Cause of Action — Intentional Infliction of Emotional Distress

McFarland is the only individual claimed in this cause of action to have been negligently supervised.

See Swinton v. Potomac Corp., 270 F.3d 794, 804 (9th Cir. 2001) (finding that "an employee is a member of management if a `supervisor possessing substantial authority and discretion to make decisions concerning the terms of the harasser's or harassee's employment, such as authority to counsel, investigate, suspend, or fire the accused harasser, or to change the conditions of the harassee's employment.")

Plaintiffs' third cause of action against both Frank's and Mr. McFarland is for the intentional infliction of emotional distress.

i. Plaintiffs' Claim Against Frank's for Intentional Injury.

Frank's argues that this claim should be dismissed because Plaintiffs' exclusive remedy for damages arising from any emotional distress is under the Utah workers' Compensation Act, unless Plaintiffs proffer evidence from which a jury could find that Frank's intended or directed Mr. McFarlands harassing actions. Frank's is generally correct. The Utah Supreme Court held in Mounteer that the Workers' Compensation Act provides the exclusive remedy for intentional infliction of emotional distress claims stemming from the actions of an employee. Recovery for the intentional infliction of emotional distress is possible, however, despite the Workers' Compensation Act if a plaintiff can prove that the employer "intended or directed the injurious act." If it is clear from the nature of the conduct alleged that the supervisor's act was indisputably intentional, then further analysis is not necessary to determine that the claim is barred.

(Def.'s Mem. In Supp. of Mot. For Summ. J. on Claims of Pl. Moore, 13.)

Helf v. Chevron U.S.A., Inc., 2009 UT 11, ¶ 22, 203 P.3d 962 (Utah 2009) ("[T]he exclusive remedy provision barred `any common law action against the employer unless he or she intended or directed the injurious act of the co-worker'"); Mounteer v. Utah Power Light Co., 823 P.2d 1055, 1058 (Utah 1991) (stating "[u]nless plaintiff can prove that [the employer] intended or directed [the harasser's actions], his damages arising from any emotional distress can be compensated only under the workers' compensation scheme.")

Helf, 2009 UT 11, ¶ 30-31 (stating that if the supervisor's act is "indisputably intentional, rather than negligent," then it is "not necessary to apply the `intent to injure' test to determine whether the injury was the product of negligence or intent.") See also, e.g., Bryan v. Utah Int'l, 533 P.2d 892 (Utah 1975); Mounteer, 823 P.2d at 1055.

In this case, Plaintiffs fail to provide evidence sufficient for a jury to find that Frank's intended or directed Mr. McFarland to inflict emotional distress on plaintiffs. Neither the complaint nor any factual submission identifies Frank's as the acting party. The complaint only refers to Mr. McFarland "and others." In fact, Plaintiffs argue in their memorandum in opposition that this claim is valid because "McFarland intentionally inflicted emotional distress on them." Nothing, however, is said of Frank's. Moreover, it is indisputable that Mr. McFarland's conduct was intentional. This is not a case in which it could be argued that Mr. McFarland was making statements that could be reasonably believed to further or advance the business interests of Frank's. As such, Plaintiffs' remedies against Frank's for the intentional infliction of emotional distress are limited to those provided for by the Workers' Compensation Act. Frank's motion for summary judgment on this claim is granted.

(Compl., ¶¶ 8, 10, 18, 22, 26, 27, 28, 29.) Plaintiffs do allege (¶ 30) that Westate's corporate officers "intentionally and deliberately failed to take action in response to requests from the Utah employees to control Defendant McFarland's improper and offensive actions;" however, it does not follow that Frank's therefore "intended or directed" McFarland's acts to intentionally inflict emotional distress.

(Consol. Mem. Opposing Mot. For Summ. J., 70.)

ii. Plaintiffs' Claim Against Mr. McFarland for Intentional Infliction of Emotional Distress.

Under Utah law, for a claim for intentional infliction of emotional distress to be successful, a plaintiff must show that (i) the defendant's conduct was outrageous and intolerable in that it offended the generally accepted standards of decency and morality; (ii) the defendant intended to cause, or acted in reckless disregard of the likelihood of causing, emotional distress; (iii) the plaintiff suffered severe emotional distress; and (iv) the defendant's conduct proximately caused the plaintiff's emotional distress.

Retherford v. AT T Commc'n, 844 P.2d 949, 970-71 (Utah 1992).

First, in Retherford v. AT T Commc'n the Supreme Court of Utah has found that "the conduct generally labeled sexual harassment is outrageous and intolerable and, when performed with the requisite intent, satisfies the elements of the tort of intentional infliction of emotional distress." Indeed, the sexual conduct at issue in that case is not substantially different in character than the conduct alleged in this case. For Mr. McFarland to argue that the conduct was

Id. at 978.

not outrageous and intolerable is only to beg the question of the underlying harassment, which the court believes a reasonable jury could find.

Mr. McFarland also fails on the second element because a jury could find that Mr. McFarland acted intentionally or with reckless disregard of the likelihood of causing, emotional distress. The evidence is sufficient to find that Mr. McFarland persisted in his behavior knowing that it was not welcomed by the plaintiffs. For example, Ms. Prisbrey testified that when Mr. McFarland walked in on her in the bathroom, he first went to close the door, but then opened the door to watch her from the doorway, forcing her to stand up and pull up her pants. Furthermore, he disregarded her screams. Ms. Moore testified that she complained when Mr. McFarland told her she did her best work on her back and told her stories of his sexual exploits, but he nevertheless continued. Ms. James testified that she expressively told Mr. McFarland no when he wanted her to sit on his lap. His response was to laugh at her. Finally, when Ms. Hoffman complained to various individuals at Frank's about McFarland's repeated sexual innuendoes, they said they would take care of it. Nevertheless, Mr. McFarland's conduct continued. Moreover, McFarland's conduct continued even after Frank's management supposedly visited with Mr. McFarland about his conduct. McFarland's own testimony is that his repeated sexual references didn't mean anything, thereby evidencing his complete lack of sensitivity both to the outrageous nature of his conduct and to the emotional distress it was causing. Such evidence is sufficient for a jury to find that McFarland continued with the offensive sexual misconduct knowing, or at least was acting recklessly, and that it was causing distress and emotional pain to Plaintiffs.

(Prisbrey Dep., 41-42.)

(Moore Dep., 17-19.)

(James Dep., 26-29.)

(Hoffman Dep., 61-62.)

(McFarland Dep., 86-92.)

On the third element, the distress must be so severe that no reasonable person could be expected to endure it. "It includes all highly unpleasant mental reactions, such as fright, horror, grief, shame, humiliation, embarrassment, anger, chagrin, disappointment, worry, and nausea. It is only where it is extreme that the liability arises. . . . " The Supreme Court of Utah has also directed that although the "standard for determining the outrageousness of the alleged conduct is objective," the standard "for determining whether a plaintiff has experienced emotional distress is subjective." The subjective analysis is individualized for each plaintiff, and does not consider whether an ordinarily sensitive person would have experienced such suffering.

Schuurman v. Shingleton, 2001 UT 52 ¶ 23, 26 P.3d 227.

In re Estate of Grimm, 784 P.2d 1238, 1246 (quoting Restatement (Second) of Torts § 46 cmt. j).

Retherford, 844 P.2d at 976 n. 17.

Id. at 976.

Ms. James testified at her deposition that she suffered weight gain, trouble sleeping, edginess, crying, mood swings, and depression, all attributable to McFarland's treatment. Ms. Prisbrey testified that she became unable to sleep and put on ten pounds due to the incidents and accompanying stress at Frank's. She testified that she had consulted with doctors and was prescribed various medications and that she felt depression and anxiety, although not clinically diagnosed. Ms. Moore testified that the emotional distress resulted in her taking up smoking again, and caused trouble sleeping, headaches, and depression. Ms. Hoffman testified that she suffered emotional distress while working at Frank's, evidenced by her crying, loss of control, weight gain, loss of sleep, being abrupt with people, paranoia, headaches, and issues with her self-esteem. This evidence is sufficient to create an issue of fact on this element.

(James Dep., 121-124.)

(Prisbrey Dep., 99-101.)

(Prisbrey Dep., 101.)

(Moore Dep., 50-57.)

(Hoffman Dep., 82-98).

The fourth element requires that the defendant's conduct proximately caused the plaintiff's emotional distress. All of the plaintiffs testified that the distress they experienced was a direct result of Mr. McFarland's actions toward them. This evidence is sufficient for a jury to find in favor of the plaintiffs on this element.

Ms. James testified that her experience at Frank's was the sole cause of her symptoms (James Dep., 121-124). Ms. Prisbrey testified that her experience at Frank's was the sole cause of her inability to sleep at night and the fact that she gained weight. (Prisbrey Dep., 100.) Ms. Moore has testified that Mr. McFarland's treatment is the sole reason she started smoking again, had headaches, and had sleeping difficulties. (Moore Dep., 51, 54-55.) Hoffman testified that her symptoms are due to Mr. McFarland's harassment. (Hoffman, Dep., 82-98).

Therefore, because a reasonable jury could find that each of the elements necessary for a claim of intentional infliction of emotional distress has been met in each of Plaintiffs' cases, the motion for summary judgment on this claim in favor of Mr. McFarland is denied.

C. Fourth Cause of Action — Retaliation

As a basis for their fourth cause of action, Plaintiffs James and Moore assert that "[a]fter they complained of the actions of McFarland and others Plaintiff's [ sic] James and Moore were the subject [ sic] of retaliation by the Defendants." The complaint alleges that retaliatory actions were taken due to Plaintiffs James and Moore having exercised their rights under Title VII to complain of the hostile environment and the actions of McFarland. Defendants argue that the court lacks subject matter jurisdiction because the plaintiffs have not exhausted their administrative remedies and that, in the alternative, Plaintiffs do not meet the necessary elements to overcome the motion for summary judgment. In opposition, Plaintiffs fail to address either argument or even to discuss this cause of action.

(Compl., ¶ 33.)

(Compl., ¶¶ 36, 39).

(Def.'s Mem. In Supp. of Mot. For Summ. J. on Claims of Pl. Moore, 16.)

The Tenth Circuit has found that "[a] plaintiff must generally exhaust his or her administrative remedies prior to pursuing a Title VII claim in federal court. Thus, a plaintiff normally may not bring a Title VII action based upon claims that were not part of a timely-filed E.E.O.C. charge for which the plaintiff has received a right-to-sue letter." The Charges of Discrimination submitted by Ms. James and Ms. Moore to the Utah Anti-Discrimination Labor Division and E.E.O.C. both allege discrimination based on sex, but fail to allege retaliation. The Notice of Right to Sue does not, therefore, evidence that these Plaintiffs have exhausted their administrative remedies on this claim, and as such, summary judgment is granted in favor of Defendants on the Fourth Cause of Action — Retaliation.

Simms v. Okla. ex rel. Dep'r of Mental Health Substance Abuse Serv., 165 F.3d 1321, 1326 (10th Cir. 1999).

See Moore's Charge of Discrimination, Doc. 31-8; James's Charge of Discrimination Doc. 50-1, ex. 1.

CONCLUSION

For the reasons stated, the court rules as follows:

1. Plaintiffs' Motions to Strike DENIED as moot.
2. Defendants' motion for summary judgment on Plaintiffs' First Cause of Action — Title VII Hostile Environment is DENIED;
3. Defendants' motion for summary judgment on Plaintiffs' Third Cause of Action — Intentional Infliction of Emotional Distress against Mr. McFarland is DENIED;
4. Defendants' motion for summary judgment on Plaintiffs' Second Cause of Action — Title VII — Negligent Training, Supervision and Retention is GRANTED;
5. Defendants' motion for summary judgment on Plaintiffs' Third Cause of Action — Intentional Infliction of Emotional Distress against Frank's is GRANTED;
6. Defendant's motion for summary judgment on Plaintiffs' Fourth Cause of Action — Retaliation is GRANTED.

DATED this 8th day of October, 2010.

f them. 60 N.Y.2d at 273-74. Faced with the question of whether intoxication could negate the mens rea for depraved indifference murder, the New York Court of Appeals held that the trial court properly declined to instruct the jury that Register's intoxication could be considered in deciding whether he was guilty of depraved indifference murder. The Court of Appeals explained that depraved indifference murder "differs from intentional murder in that it results not from a specific, conscious intent to cause death, but from an indifference to or disregard of the risks attending defendant's conduct." Id. at 274. Thus, under Register, the elements of depraved indifference murder under P.L. § 125.25(2) included (1) a mens rea of "recklessness," referring to a defendant's "conscious disregard of a substantial risk;" (2) an actus reus, defined as a defendant "engaging in conduct which creates a grave risk of death to another person;" and (3) an "additional requirement" mandating that the conduct occur "[u]nder circumstances evincing a depraved indifference to human life." 60 N.Y.2d at 276. This last element referred not to a mens rea or actus reus, but instead to "the factual setting in which the risk creating conduct must occur-objective circumstances which are not subject to being negatived by evidence of defendant's intoxication." Id. Although, as Register recognized, depraved indifference murder

"resembled" reckless manslaughter, the focus of the offense of depraved indifference murder "[was] not upon the subjective intent of the defendant . . . but rather upon an objective assessment of the degree of risk presented by defendant's reckless conduct." Id. at 277 (citations omitted) (emphasis added). Stated another way, under Register and its progeny, "[t]he depravity and indifference of the crime was assessed objectively based on a review of the circumstances constituting the offense." Rustici v. Phillips, 497 F. Supp.2d 452, 484 (E.D.N.Y. 2007) (citing People v. Sanchez, 98 N.Y.2d 373, 381, 82 (N.Y. 2002) (reaffirming Register and stating that it is the "defendant's disregard of the risk [which] elevates and magnifies the degree of recklessness, itself establishing the required circumstances evincing depraved indifference to human life")).

People v. Sanchez was issued on July 9, 2002, slightly less than three months after Melendez's conviction on May 24, 2002. Sanchez "ratified Register's continued authority." Policano, 7 N.Y.3d at 602, and represented "not the creation of a new legal principle, but the application of long-settled New York law to new facts," id. The Second Circuit has recently stated that reviewing courts may properly rely on Sanchez "as a means of understanding the applicable law as it existed at the time of [petitioner's] trial. . . ." Policano v. Herbert, 430 F.3d 82, 92 (2d Cir. 2005); Policano v. Herbert, 507 F.3d 111, 115 n. 4 (2d Cir. 2007); Policano, 7 N.Y.3d at 599-600, 602-03.

In Sanchez, the defendant and the victim were acquaintances and on the night of the murder, were both at the home of Sanchez's girlfriend during a birthday party for her daughter. 98 N.Y.2d at 375. After the defendant and the victim exchanged "harsh words . . . in a hallway near the foyer entrance of the apartment," id., the only eyewitness to the incident testified that she observed defendant walking through the entrance doorway from the hallway where two children were playing in the foyer, away from the victim, who was behind the partially opened door. Then the eyewitness saw defendant abruptly turn around and fire a gun pointed at the victim's chest. The defendant then fled. The entire incident took only a matter of seconds. Sanchez, 98 N.Y.2d at 375-76. Although acquitted of intentional murder, the defendant in Sanchez was found guilty of depraved indifference murder. A majority of the New York Court of Appeals held that the jury could have found that the murder was not intentional, because the two men were friends, the shooting appeared to have been "sudden, spontaneous and not well-designed to cause imminent death," and the jury may have concluded that this was an "instantaneous, impulsive shooting-perhaps to disable or frighten [the victim], rather than to kill him." The Sanchez court found that "a jury [thus] reasonably could have found that defendant's homicidal level of mental culpability was reckless rather than intentional." Id. at 377-78.

Sanchez clarified that Register did not stand for the proposition that "ordinary recklessness" was sufficient to establish depraved indifference murder. Rather, what was required under Register's depraved indifference formulation was a showing of "heightened" or "extreme recklessness," that is, "the conscious disregard of circumstances revealing the exceptional risk of death from the defendant's conduct. . . ." 98 N.Y.2d at 380. Sanchez explained that the "crux of [depraved indifference] murder . . . [as defined by Register] is recklessness exaggerated by indifference to the circumstances objectively demonstrating the enormity of the risk of death from the defendant's conduct." Id. Thus, "when the risk of death is manifestly extreme and unjustified . . . a defendant's disregard of the risk elevates and magnifies the degree of recklessness, itself establishing the required circumstances evincing depraved indifference to human life." 98 N.Y.2d at 381.

The New York Court of Appeals, noting that a jury could have found that Sanchez did not intend to kill his victim, found that under Register, "based on an objective assessment of the risk defendant recklessly created and disregarded, the likelihood of causing death from defendant's conduct was so obviously severe that it evinced a depraved indifference to human life. Surely, pointing a gun at [the victim], without the slightest justification, discharging it within not more than 18 inches of his body and striking him in the chest, would permit a jury rationally to conclude that defendant demonstrated an indifference to human life so depraved as to be deserving of the same punishment as intentional murder; that it was virtually a knowing, although not intentional, homicide. Sanchez, 98 N.Y.2d. at 384 (emphasis in original). The Sanchez court concluded that "[defendant's] conduct involved such a high risk of death that it could also lead to the conclusion that it was intentional supports rather than detracts from characterizing it as evincing depraved indifference to human life." Id. The Sanchez court opined that "purposeful homicide itself is the ultimate manifestation of indifference to the value of human life." Id.

The Sanchez case also clarified that Register did not stand for the proposition that "ordinary recklessness" was sufficient to establish depraved indifference murder. Register instead required a showing of "heightened" or "extreme recklessness-the conscious disregard of circumstances revealing the exceptional risk of death from the defendant's conduct. . . ." Sanchez, 98 N.Y.2d at 380. As defined by Register, the Sanchez court explained, the "crux of [depraved indifference] murder . . . is recklessness exaggerated by indifference to the circumstances objectively demonstrating the enormity of the risk of death from the defendant's conduct." Id.; see also id. at 381 ("[W]hen the risk of death is manifestly extreme and unjustified . . . a defendant's disregard of the risk elevates and magnifies the degree of recklessness, itself establishing the required circumstances evincing depraved indifference to human life." Id. at 381.

"[V]iewing the evidence in the light most favorable to the prosecution," Jackson, 443 U.S. at 319, at the time of petitioner's conviction, a reasonable jury applying the law as explicated by the New York Court of Appeals in Register and Sanchez, could have found the evidence presented at petitioner's trial sufficient to establish guilt beyond a reasonable doubt of depraved indifference murder. Indeed, the facts in Melendez's case are quite comparable to those present in Sanchez, in which the New York Court of Appeals sustained the jury's finding of depraved indifference murder. As the Fourth Department found on Melendez's direct appeal, his "act of holding a gun that ultimately discharged close to the victim's face in the course of a scuffle was an act sufficiently reckless to create a grave and substantial risk of death." People v. Melendez, 11 A.D.3d 983 (App. Div. 4th Dept. 2004). Similarly, in Sanchez, the New York Court of Appeals found that

based on an objective assessment of the risk [as dictated by Register] defendant [Sanchez] recklessly created and disregarded, the likelihood of causing death from defendant's conduct was so obviously severe that it evinced a depraved indifference to human life. Surely, pointing a gun at [the victim], without the slightest justification, discharging it within not more than 18 inches of his body and striking him in the chest, would permit a jury rationally to conclude that defendant demonstrated an indifference to human life so depraved as to be deserving of the same punishment as intentional murder; that it was virtually a knowing, although not intentional, homicide.
Sanchez, 98 N.Y.2d at 384 (emphasis in original). Significantly, the fact that Sanchez's conduct "involved such a high risk of death that it could also lead to the conclusion that it was intentional support[ed] rather than detract[ed] from characterizing it as evincing depraved indifference to human life. . . ." Id. According to majority in Sanchez, "purposeful homicide itself is the ultimate manifestation of indifference to the value of human life." Id.

Furthermore, the jury in Melendez's case was entitled to reject his trial testimony claiming that he acted in self-defense and rather credit his statement contemporaneously given to the police after the shooting that he had not intended to kill Hewitt. In his statement, petitioner told the police that Hewitt had gotten into a fight with one of petitioner's friends. Petitioner explained to the police as follows: Hewitt "got up off the ground and as he was getting back in the passenger's side of the pickup truck, I went up and shot him. I didn't mean for the gun to go off. I was just trying to scare the guy." T. 641. Petitioner ended his written statement by stating "I didn't mean for this to happen that night." T. 642. Accepting Melendez's statement to police, the jury could have found that, as in People v. Sanchez, Melendez's actions were "sudden, spontaneous and not well-designed to cause imminent death," Sanchez, 98 N.Y.2d at 377-78, and "instantaneous, impulsive-perhaps to disable or frighten [Hewitt], rather than to kill him," id. The jury, crediting the version of events given in Melendez's confession, could have concluded that his "homicidal level of mental culpability was reckless rather than intentional[,]" id. Thus, under Register and Sanchez, a rational trier of fact, applying the law in effect at the time of Melendez's conviction, could have found guilt under a depraved indifference theory based on the evidence at trial, viewed in the light most favorable to the prosecution.

The sea-change in New York's law on depraved indifference murder began after Sanchez, while Melendez's appeal was pending before the Fourth Department. Specifically, after petitioner's conviction in May 2002, and before August 15, 2005, the date on which petitioner's conviction became final, the New York Court of Appeals issued three decisions narrowing the applicability of the depraved indifference murder statute: People v. Hafeez, 100 N.Y.2d 253 (N.Y. 2003), People v. Gonzalez, 1 N.Y.3d 464 (N.Y. 2004) and People v. Payne, 3 N.Y.3d 266 (N.Y. 2004). In Hafeez, the New York Court of Appeals affirmed the Appellate Division's reversal of a depraved indifference murder conviction under a theory of accomplice liability where the evidence showed that the co-defendant had "plotted his revenge for months in advance and effectuated a plan on the night of the stabbing by a scheme intended to place the victim in a position where he would be vulnerable to attack." Defendant Hafeez lured the victim out of the bar, where his co-defendant was waiting with a knife "concealed . . . in his sleeve poised to slip into his hand;" "[t]he plan culminated in a single deliberate wound to the chest that perforated the victim's heart." The New York Court of Appeals deemed it "a quintessentially intentional attack directed solely at the victim." Hafeez, 100 N.Y.2d at 258. According to the Hafeez court, "there exist[ed] no valid line of reasoning that could support a jury's conclusion that defendant possessed the mental culpability [of heightened recklessness] required for depraved indifference murder," where "both defendants were focused on first isolating, and then intentionally injuring the victim." Id. at 259.

The Hafeez court further found that a prosecutor seeking a conviction under the depraved indifference statute must prove that a defendant's conduct was "`imminently dangerous and presented a very high risk of death to others'" besides the victim. 100 N.Y.2d at 259 (quoting Register, 60 N.Y.2d at 274). The conduct described in Hafeez — a premeditated attack which involved luring the victim to an isolated spot, and which culminated in a single, intentional stab wound to the victim's chest-did not meet this standard since it did not present a "very high risk of death to others," Hafeez, 100 N.Y.2d at 259. Thus, Sanchez was distinguished as "involv[ing] the sudden shooting of a victim by a defendant who reached around from behind a door and fired into an area where children were playing, presenting a heightened risk of unintended injury" to non-participants. Hafeez, 100 N.Y.2d at 259.

Gonzalez followed upon the heels of Hafeez. There, the New York Court of Appeals determined that defendant Gonzalez could not be convicted of depraved indifference murder where he shot the victim multiple times, with some shots fired at close range-specifically, once in the chest, once in the face from a distance of six to eighteen inches, six times in the head from approximately six inches away, and twice in the back. Gonzalez, 1 N.Y.3d at 465-66. Noting that "[a] defendant acts intentionally with respect to a result `when his conscious objective is to cause such a result,'" id. at 467 (quoting N.Y. PENAL LAW § 15.05), the Gonzalez court found that the only "reasonable" conclusion from the evidence was to find "defendant was guilty of an intentional shooting and no other." 1 N.Y.3d at 467 (quotation marks omitted). The Gonzalez court clarified that depraved indifference murder still could be found where the defendant's conduct was directed at a "single victim," id. at 467. The court reiterated its prior reasoning from Hafeez that Sanchez differed from the one-on-one killing scenario present in Gonzalez because Sanchez involved "`the sudden shooting of a victim by a defendant who reached around from behind a door and fired into an area where children were playing, presenting a heightened risk of unintended injury.'" Id. (quoting Hafeez, 100 N.Y.2d at 259).

The third case of the trio was People v. Payne, and it was upon this case that Melendez's appellate counsel premised the motion for reargument. In Payne, the defendant and the victim had been friends for decades but the relationship recently had become strained. 3 N.Y.3d at 269. After a day of heavy alcohol consumption, Payne erupted in anger upon discovering that the victim had spoken to his girlfriend. Armed with a shotgun, Payne went to the victim's home and shot him at point-blank range. Payne was convicted of depraved indifference murder, and the Appellate Division affirmed the conviction. The New York Court of Appeals reversed, finding that the defendant could not have committed depraved indifference murder. Id.

The Payne court held that there was a "manifest intent to kill." 3 N.Y.2d at 271. This holding, however, did not undermine Sanchez, because Sanchez did not fit into this category of homicides. Payne reiterated its comments in Gonzalez and Hafeez that Sanchez was fundamentally different because it was of the type of "homicides in which a defendant lacking the intent to kill (but oblivious to the consequences and with depraved indifference to human life) shoots into a crowd or otherwise endangers bystanders." Id. The Payne court explained,

As the drafters of the Penal Law put it, depraved indifference murder is "extremely dangerous and fatal conduct performed without specific homicidal intent but with a depraved kind of wantonness: for example, shooting into a crowd, placing a time bomb in a public place, or opening the door of the lions' cage in the zoo" (Denzer and McQuillan, Practice Commentary, McKinney's Cons[olidated] Laws of NY, Book 39, Penal Law § 125.25, at 235 (1967)).
Thus, if a defendant fatally shoots the intended victim once, it could be murder, manslaughter in the first or second degree or criminal negligence (or self-defense), but not depraved indifference murder. Moreover, it should be obvious that the more the defendant shoots (or stabs or bludgeons) the victim, the more clearly intentional is the homicide. Firing more rounds or inflicting more wounds does not make the act more depravedly indifferent, but more intentional. Absent the type of circumstances in, for example, Sanchez (where others were endangered), a one-on-one shooting or knifing (or similar killing) can almost never qualify as depraved indifference murder.
Payne, 3 N.Y.3d at 272-73. The Payne court relied upon its decision in Hafeez, which also had been relied upon in Gonzalez, to distinguish the Sanchez case as a one-on-one killing that could qualify as a depraved indifference murder. Payne, 3 N.Y.3d at 271 (quoting Hafeez, 100 N.Y.2d at 259) ( Sanchez "`involved the sudden shooting of a victim by a defendant who reached around from behind a door and fired into an area where children were playing, presenting a heightened risk of unintended injury.'"). In sum, Payne affirmed Sanchez's holding when it defined depraved indifference murder as "extremely dangerous and fatal conduct performed without specific homicidal intent but with a depraved kind of wantonness. . . ." Payne, 3 N.Y.3d at 272 (quotation marks omitted).

This trio of cases- Hafeez, Gonzalez, and Payne-issued after Sanchez (which ratified Register) and before Melendez's conviction became final-represented a gradual, but perceptible, change in the New York Court of Appeals' interpretation of the "under circumstances evincing a depraved indifference to human life" element of depraved indifference murder. In the interim between Register and Payne, the standard morphed from an objective assessment of the degree-of-risk of death presented by the defendant's conduct into something that more resembled an assessment of the defendant's mental state. However, according to the New York Court of Appeals, it had continued to "adhere [] to a mens rea of recklessness in Hafeez, Gonzalez, [and] Payne." Policano, 7 N.Y.3d at 602-03.

Notwithstanding this shift in the law, and in particular, the Payne decision, Melendez's conviction for deprived indifference murder can be sustained because, viewing the evidence in the light most favorable to the prosecution and, there still was legally sufficient evidence to find guilt beyond a reasonable doubt. In other words, the incremental changes to the law of depraved indifference made in Hafeez, Gonzalez, and Payne do not affect the legality of Melendez's conviction.

First, unlike the instant case, the uncontroverted evidence in Hafeez, Gonzalez, and Payne foreclosed the New York Court of Appeals from reaching any "reasonable conclusion" other than that each of the defendants acted with "a manifest intent to kill." In Hafeez, 100 N.Y.2d at 259, the victim was lured out of a bar for the express purpose of being the target of an intentional attack. In Gonzalez, 1 N.Y.3d at 467, the defendant repeatedly fired at the victim, striking him 10 times at close range. In Payne, 3 N.Y.3d at 269-71, the defendant armed himself with a shotgun before deliberately confronting the victim. Here, in contrast, evidence presented to the jury in this case did not establish a "manifest intent to kill" on Melendez's part. Melendez's statement to the police immediately after the incident contained several averments that he did not mean to shot or kill Hewitt. Although Melendez fired several times into the air as he ran away, he only fired one shot at Hewitt. This is not like the situation in Gonzalez, where it was "obvious that the more the defendant shoots (or stabs or bludgeons) the victim, the more clearly intentional is the homicide. Firing more rounds or inflicting more wounds does not make the act more depravedly indifferent, but more intentional." Payne, 3 N.Y.3d at 272.

"[A] reviewing court `faced with a record of historical facts that supports conflicting inferences must presume-even if it does not affirmatively appear in the record-that the trier of fact resolved any such conflicts in favor of the prosecution and must defer to that resolution.'" Policano v. Herbert, 507 F.3d at 117 (quoting Jackson v. Virginia, 443 U.S. at 326). As discussed in detail above, the evidence presented at petitioner's trial is sufficient to support a rational jury's conclusion that Melendez lacked a "conscious objective" to kill Hewitt, and "instead [petitioner was] recklessly indifferent, depravedly so, to whether [Hewitt's] death occur[red]." Gonzalez, 1 N.Y.3d at 467-68.

Furthermore, although Hafeez, Gonzalez, and Payne narrowed the circumstances in which a defendant could be convicted of depraved indifference murder, particularly with respect to a one-on-one killing, the New York Court of Appeals continued to uphold Sanchez because that case "`involved the sudden shooting of a victim by a defendant who reached around from behind a door and fired into an area where children were playing, presenting a heightened risk of unintended injury,'" Payne, 3 N.Y.3d at 271 (quoting Hafeez, 100 N.Y.2d at 259) (emphasis supplied)). The defendant's actions in Sanchez thus endangered others. It bears noting that the New York Court of Appeals in Sanchez did not explicitly rely upon the danger posed by the defendant's actions to individuals besides the intended victim; nor did the Sanchez court suggest that this factor was critical to its finding that the defendant acted with depraved indifference to human life. In subsequent decisions, see Hafeez, Gonzalez, and Payne, however, the New York Court of Appeals repeatedly distinguished Sanchez on this ground (i.e., danger to unintended victims). This Court notes that Melendez's case, although a one-on-one shooting, falls within the Sanchez "danger to others exception." Viewing the evidence in the light most favorable to the prosecution, Jackson, 443 U.S. at 319, the Court finds that Melendez's actions presented a risk of danger to the bystanders watching the incident involving Hewitt. Hewitt's friend was sitting next to him when Melendez fired his gun near Hewitt's head. And, there were other individuals standing less than a foot away from the victim at the time of the shooting. Melendez initially told the police that he was wielding a gun to in order "scare" Hewitt; although he later testified at trial that he was acting in self-defense. The Court, however, must view the available evidence on this point in the light most favorable to the prosecution, and therefore must accept his statements to the police. At the time Melendez fired his gun, there was a crowd of onlookers gathered closely around Hewitt, and Palermo was seated right next to Hewitt in the truck. A rational jury could have found that petitioner, by his actions, had recklessly endangered others in addition to the victim, and presented "a heightened risk of unintended injury," Hafeez, 100 N.Y.2d at 259; Gonzalez, 1 N.Y.3d at 468; Payne, 3 N.Y.3d at 271.

After Melendez's conviction became final in 2005, the New York Court of Appeals issued two decisions, which articulate its current interpretation of the depraved indifference murder statute. See People v. Suarez, 6 N.Y.3d 202 (N.Y. 2005); People v. Feingold, 7 N.Y.3d 288 (N.Y. 2006). In Suarez, issued a few months after petitioner's conviction became final, the New York Court of Appeals considered two cases involving one-on-one stabbings. Notably, the Court recognized that it was "depart[ing] slightly from the Register formulation" by "mak[ing] clear that the additional requirement of depraved indifference has meaning independent of the gravity of the risk." In both appeals in Suarez, the convictions for depraved indifference murder were reversed. The Suarez court reiterated its observations in Payne that the "`use of a weapon can never result in depraved indifference murder when . . . there is a manifest intent to kill,'" and that "`a one-on-one shooting or knifing (or similar killing) can almost never qualify as depraved indifference murder.'" Suarez, 6 N.Y.3d at 208 (quoting Payne, 3 N.Y.3d at 271, 272) (emphasis in original)). Suarez also circumscribed the situations in which "[a] defendant may be convicted of depraved indifference murder when but a single person is endangered," 6 N.Y.3d at 212, to those cases in which "the defendant intends neither to seriously injure, nor to kill, but nevertheless abandons a helpless and vulnerable victim in circumstances where the victim is highly likely to die," and those cases in which "a defendant-acting with a conscious objective not to kill but to harm-engages in torture or a brutal, prolonged and ultimately fatal course of conduct against a particularly vulnerable victim[,]" id. at 212-13. Finally, the New York Court of Appeals in Suarez cited its much earlier decision in People v. Roe, 74 N.Y.2d 20 (N.Y. 1989), where the defendant in a game of so-called "Polish roulette" shot the victim at point-blank range

without knowing whether he had chambered a "live" or a "dummy" round, as an example of the "few other extraordinary cases involving conduct that endangered only one person, where the evidence showed not just recklessness, but depraved indifference to human life." Id. at 213. The Suarez court concluded that in situations other than these, "a jury is foreclosed, as a matter of law, from considering a depraved indifference murder charge whenever death is the result of a one-on-one confrontation." Id. Suarez stated that "the mere presence of third persons at the scene of a killing does not convert an intentional homicide directed at a particular victim into depraved indifference murder unless others are actually endangered." 6 N.Y.3d at 213 n. 7 (emphasis in original). In Gonzalez, for example, a case where the depraved indifference conviction was reversed, the defendant, after shooting the victim, had "`waved the gun at the only eyewitness-the barber-warned him not to say anything and walked out the door[.]'" Id. (quoting Gonzalez, 1 N.Y.3d at 466) (citation omitted)). Nevertheless, the Suarez court again affirmed the conviction in Sanchez, following the same line of reasoning it had emphasized in Hafeez, Gonzalez and Payne, namely, that Sanchez had acted with depraved indifference because "`others were endangered.'" Id. (quoting Payne, 3 N.Y.2d at 272).

People v. Feingold, decided in 2006, involved a defendant convicted of first degree reckless endangerment at a nonjury trial after he attempted to commit suicide by sealing his apartment and turning on the gas, which led to an unintended explosion that heavily damaged neighboring apartments. 7 N.Y.3d at 289-90. Feingold first acknowledged that the statutory language defining first degree reckless endangerment, i.e., "`when, under circumstances evincing a depraved indifference to human life, [a person] recklessly engages in conduct which creates a grave risk of death to another person,'" N.Y. PENAL LAW § 120.25, was identical to the language contained in P.L. § 125.25(2), which defines depraved indifference murder. Feingold, 7 N.Y.3d at 290 n. 1. Feingold recognized that after Register and Sanchez, the Hafeez, Gonzalez, Payne and Suarez decisions had "pointed the law in a different direction." 7 N.Y.3d at 292-94. Although "the Suarez court did not explicitly overrule Register and Sanchez, we conclude [in Feingold] that the law has changed to such an extent that People v. Register and People v. Sanchez should no longer be followed." Id. Feingold said "explicitly what . . . Suarez stopped short of saying: depraved indifference to human life is a culpable mental state," 7 N.Y.3d at 294, rather than an element found by examining the objective set of factual circumstances of the incident. Because the judge, acting as factfinder at defendant's bench trial in Feingold clearly found that he did not possess the mens rea of depraved indifference to human life, the majority reduced his conviction to second degree reckless endangerment under N.Y. Penal Law § 120.20. Id. at 295, 297 n. 3.

Because Suarez and Feingold were decided after Melendez's conviction became final, and in light of the Second Circuit's affirmance in the case of Guzman v. Greene, this Court will not go on to consider what effect, if any, Feingold would have had on this case had it been decided while Melendez's appeal were still pending. Guzman v. Greene, No. 06-1456-pr, 337 Fed. Appx. 27, *29, 2009 WL 2019892, at **1 (2d Cir. July 14, 2009) ("We note, finally, that People v. Feingold, 7 N.Y.3d 288, 819 N.Y.S.2d 691, 852 N.E.2d 1163 (2006), which overruled People v. Register, 60 N.Y.2d 270, 469 N.Y.S.2d 599, 457 N.E.2d 704 (1983) and People v. Sanchez, 98 N.Y.2d 373, 748 N.Y.S.2d 312, 777 N.E.2d 204 (2002), were decided after Guzman's conviction became final. We therefore need not discuss how, if at all, this case would have been affected if Feingold had been decided earlier.") (summary order), aff'g Guzman v. Greene, 425 F. Supp.2d 298 (E.D.N.Y. 2006) (denying habeas relief on the basis that sufficient evidence supported defendant's conviction for depraved indifference murder and performing independent retroactivity analysis and finding Feingold and Suarez should not apply retroactively). The Court notes that the New York Court of Appeals in Policano, although not presented with retroactivity as a certified question from the Second Circuit, went out of its way to hold that Hafeez, Gonzalez, Payne, Suarez and Feingold, all of which were issued after the defendant's conviction became final, should not apply retroactively to the defendant's case. Policano, 7 N.Y.3d at 604; accord, e.g., People v. Jean-Baptiste, 11 N.Y.3d 539, 901 N.E.2d 192, 872 N.Y.S.2d 701 (N.Y. 2008).

B. Claim Two: Ineffective assistance of trial counsel based upon failure to preserve the insufficiency-of-the-evidence claim

Melendez contends that he was denied his Sixth Amendment right to the effective assistance of trial counsel because his defense attorney failed to properly preserve his challenge to the sufficiency of the evidence. In order to establish a claim of ineffective assistance of counsel, a defendant must show that his counsel provided deficient representation, and that the petitioner suffered prejudice as a result of that deficient performance. See Strickland v. Washington, 466 U.S. 668, 687-688 (1984). Prejudice requires a demonstration of a "reasonable probability" of a different outcome. See id. A reviewing court may review the Strickland prongs in either order, and there is no reason to consider both if a petitioner makes an inadequate showing on one. Id. at 697.

Here, respondent argues that petitioner's contention was rendered moot by the fact that the Fourth Department ultimately exercised its interest of justice jurisdiction and reviewed the merits of the legal-insufficiency claim despite the fact that it was not properly preserved. Petitioner thus cannot demonstrate that trial counsel's failure to preserve the claim since the Fourth Department reviewed the claim notwithstanding the lack of preservation. Because Melendez cannot demonstrate a reasonable probability of a different outcome resulting from trial counsel's omission, he cannot establish prejudice, and his Strickland claim must fail.

C. Claim Three: The Appellate Division erroneously denied re-argument of petitioner's appeal.

Melendez sought re-argument of his appeal, specifically with respect to the depraved indifference holding, on the basis that the Appellate Division had misapprehended the underlying facts as evidenced by its comment that the shooting took place "in the course of a scuffle." Melendez states in his petition that "all evidence at trial showed that while a scuffle had occurred, the scuffle was between the decedent and a third party and it had ended well before the petitioner shot and killed the decedent." Petitioner, ¶ 22(C) (Docket No. 1). Respondent argues that the victim, having been beaten and knocked to the ground, was just about to be driven away from the scene by his friend when he was shot by Melendez. Under these circumstances, respondent argues, the Appellate Division's characterization of the shooting as having occurred "in the course of a scuffle" is a fair one and cannot be called an "unreasonable determination of the facts in light of the evidence" presented at trial. Resp't Mem. (citing 28 U.S.C. § 2254(d)(2)).

As an initial matter, the Court questions whether this claim presents a Federal constitutional issue cognizable on habeas review. "Motions for reargument are addressed to the sound discretion of the Judge who decided the prior motion and may be granted upon a showing that the court overlooked or misapprehended the facts or law or for some reason mistakenly arrived at its earlier decision[.]" Rodney v. New York Pyrotechnic Products Co., Inc., 112 A.D.2d 410, 411, 492 N.Y.S.2d 69, 70 (App. Div. 2d Dept. 1987) (citing Delcrete Corp. v. Kling, 67 A.D.2d 1099, 1099-1100, 415 N.Y.S.2d 148, 150 (App. Div. 4th Dept. 1979)). In any event, the Court agrees with respondent's argument that the Appellate Division fairly characterized the facts. Thus, there was no "misapprehension" and the appellate court properly declined to grant reargument on that basis. This claim is totally without merit and is dismissed.

III. Conclusion

For the reasons set forth above, Melendez's request for a writ of habeas corpus is denied and the petition is dismissed. Because Melendez has failed to make a substantial showing of the denial of a constitutional right, see 28 U.S.C. § 2253(c)(2), the Court declines to issue a certificate of appealability.

IT IS SO ORDERED.

Dated: October 8, 2010 Rochester, New York