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JOFFRE M. MATTERA, Plaintiff, v. JP MORGAN CHASE CORP. and JOHN F. O'NEILL, JR., in his Official and Indi

MEMORANDUM and ORDER

WILLIAM CARTER, Magistrate Judge

Pursuant to the Court's order entered on August 27, 2010, defendant Apria Healthcare, Inc. (Apria) has submitted further documents for an in camera review to determine whether the documents are privileged or must be produced in response to discovery requests. In a Memorandum and Order entered on August 26, 2010, the Court set forth the general standards and requirements it must consider when determining whether a document is protected by the attorney-client privilege under Tennessee law. See Doc. 40, pp. 1-6. This discussion in the undersigned's August 26, 2010 Memorandum and Order is incorporated herein by reference. Of particular importance in this case is the role in-house counsel played during the decision making process leading to plaintiff's termination. Therefore, the undersigned will repeat the law concerning the applicability of the attorney-client privilege based on the role played by in-house counsel.

Attorney-Client Privilege and the Role of In-House Counsel

It is now generally accepted that communications between an attorney and client of primarily a business nature are outside the scope of the privilege. See e.g., Edwards v. Whitaker, 868 F.Supp 226, 228 (M.D.Tenn. 1994) ("the [attorney-client] privilege only applies if the lawyer is providing legal advice or services, and it will not protect disclosure of non-legal communications where the attorney acts as a business or economic advisor.") This issue of the principle nature of the advice given by the attorney, i.e., business or legal, most often arises when in-house counsel offers advice to its corporate employer. See e.g., In re Southern Industrial Banking Corp., 35 B.R. 643, 647 (Bankr. E.D. Tenn. 1983). (while "the involvement of an attorney in the commercial endeavors of a corporation does not per say vitiate the attorney-client privilege, . . . the participation of general counsel in the business of the corporation likewise does not automatically cloak the business activity with the protection of the attorney-client privilege."); Puckett v. Arvin/Calspan Field Serv., 1986 WL 16714 **3 — **4 (6th Cir. 1986) (holding in-house counsel was acting in an administrative capacity during corporation's staff meeting and thus attorney-client privilege did not apply to conversation which occurred during meeting.); Georgia Pacific Corp. v. GAF Roofing Mfg. Corp., 1996 WL 29392*3-*4 (S.D.N.Y. Jan. 25, 1996) (holding that in-house counsel who acted as negotiator as to certain provisions of a contract between two corporations was acting in a business capacity thereby rendering the attorney-client privilege inapplicable.). See also North American Mortgage Investors v. First Wisconsin Nat'l Bank of Milwaukee, 69 F.R.D. 9, 11 (E.D. Wis. 1975) wherein the court stated:

It is self-evident that a claim of an attorney-client relationship must fail unless one party to the relationship is in fact functioning as an attorney. The corporate capacity of the client and the fact that the attorney is "house counsel" do not render the privilege unavailing. [However], [t]he possession of a law degree and admission to the bar is not enough to establish a person as an attorney for purposes of determining whether the attorney-client privilege applies. For the privilege to exist, the lawyer must not only be functioning as an advisor, but the advice must be predominately legal, as opposed to business, in nature.

(Internal citations omitted). See also Amway Corp. v. Procter Gamble Co., 2001 WL 1818698 *5 (W.D. Mich. Apr. 3, 2001) ("Where . . . in-house counsel appears as one of many recipients of an otherwise business-related memo, the federal courts place a heavy burden on the proponent to make a clear showing that counsel is acting in a professional legal capacity and that the document reflects legal, as opposed to business, advice."); In re Grand Jury Subpoenas, 803 F.2d 493, 496 (9th Cir. 1986) ("The privilege does not permit an attorney to conduct his client's business affairs in secret"); Rusnak v. Dollar General Corp., 2005 WL 284074 *1 (S.D. Ohio 2005) ("A lawyer, who functions as an investigator, is not functioning as a lawyer and not entitled to assert the [attorney-client] privilege.")

I could find no Tennessee decision which squarely addresses the issue of the attorney-client privilege as it applies to in-house counsel who perform different functions within a corporation. However, the cases discussed above which focus on the primary nature of the communications between client and attorney to determine if the communications are privileged comports seamlessly with the purpose of the attorney-client privilege under Tennessee law: "the purpose of the privilege is to shelter the confidences a client shares with his or her attorney when seeking legal advice, in the interest of protecting a relationship that is a mainstay of our system of justice." Bryan v. State, 848 S.W.2d 72, *79 (Tenn.Cr. App. 1992) (emphasis added). Thus, I conclude that if the Tennessee Supreme Court were faced with such an issue, it would apply the same standards as those discussed above. Accordingly, I further conclude that a communication between a client and his attorney which serves primarily a business or administrative purpose as opposed to providing legal advice is a communication not protected by the attorney-client privilege. The Work Product Doctrine

The work product doctrine, articulated by the Supreme Court in Hickman v. Taylor, 329 U.S. 495 (1947), protects the mental processes of an attorney from inquiry by an opposing party. Hickman, 329 U.S. at 511. "The doctrine is designed to allow an attorney to `assemble information, sift what he considers to be relevant from the irrelevant facts, prepare his legal theories and plan his strategy without undue and needless interference . . . to promote justice and to protect [his] client's interests.'" In re Columbia/HCA Healthcare Corp. Billing Practices Litigation, 293 F.3d 289, 294 (6th Cir. 2002) (brackets original) (quoting Hickman, 329 U.S. at 510).

The work product doctrine, as it applies to documents and tangible things, is now embodied in Fed.R.Civ.P. Rule 26(b)(3). Under Rule 26, if documents and other tangible things were prepared in anticipation of litigation by or for the other party or by or for the other party's representative, a party may obtain discovery of the materials "only upon a showing that the party seeking discovery has substantial need of the materials in the preparation of the party's case and that the party is unable without undue hardship to obtain the substantial equivalent of the materials by other means." Fed.R.Civ.P. 26(b)(3).

"The work-product doctrine is a procedural rule of federal law;" thus, Rule 26(b)(3) applies in diversity cases. In re Professionals Direct Ins. Co, 578 F.3d 432 (6th Cir. 2009). The party seeking work product protection bears the burden to show such protection is warranted. In re Columbia/HCA Healthcare Corp. Billing Practices Litigation, 293 F.3d at 294. Even if a party is able to show substantial need and undue burden to obtain "fact work product," "opinion work product," material reflecting the attorney's mental impressions, opinions, or legal theories, remains unobtainable. Id.

Often, application of the work product doctrine turns on the meaning of "in anticipation of litigation." The Sixth Circuit addressed this issue in In re Professionals Direct Ins. Co, 578 F.3d 432 (6th Cir. 2009). In that case, an insurance company sought a writ of mandamus to vacate a discovery order by the district court requiring it to produce documents which the insurance company alleged were work product. The discovery order had been issued in the underlying action, brought by a law firm against the law firm's malpractice insurance company, in which the law firm alleged breach of contract and bad faith in the insurance company's processing of a malpractice claim against the law firm.

In examining this issue of when work product protection attached, the Sixth Court instructed:

To determine whether a document has been prepared "in anticipation of litigation," and is thus protected work product, we ask two questions: (1) whether that document was prepared "because of" a party's subjective anticipation of litigation, as contrasted with ordinary business purpose; and (2) whether that subjective anticipation was objectively reasonable. United States v. Roxworthy, 457 F.3d 590, 594 (6th Cir. 2006). If a document is prepared in anticipation of litigation, the fact that it also serves an ordinary business purpose does not deprive it of protection, id. at 598-99, but the burden is on the party claiming protection to show that anticipated litigation was the "driving force behind the preparation of each requested document." Roxworthy, 457 F.3d at 595 (quoting Nat'l Union Fire Ins. Co. of Pittsburgh v. Murray Sheet Metal Co., 967 F.2d 980, 984 (4th Cir. 1992)).
In re Professionals Direct Ins. Co, 578 F.3d at 439. In applying these principals, the Court stated, "[m]aking coverage decisions is a part of the ordinary business of insurance and if the `driving force' behind the preparation of these documents was to assist Professional Direct in deciding coverage, then they are not protected by the work-product doctrine." Id. The Court concluded the district court had properly ordered the disclosure of documents the insurance company had generated after the law firm had notified the insurance company of a potential malpractice claim but before the insurance company had issued a second reservation of right letter to the law firm. Id. at 439. Many of the documents which the Sixth Circuit held were properly disclosed had been prepared by attorneys for the insurance company whom the Court found "had dual functions" in that "[t]hey were advising Professionals Direct on the business decision of whether to deny coverage and they were doing legal work in anticipation of litigation." Id. at 439. If the driving force behind preparation of these documents was to assist Professional Direct in deciding coverage, then these documents were not protected by the work product doctrine, even if prepared by attorneys. Id.; accord., Caremark Inc., v. Affiliated Computer Serv. Inc., 195 F.R.D. 610, 616 (N.D. Ill. 2000) ("[i]f a document would have been created regardless of whether litigation was anticipated or not, it is not work product."); Guidry v. Jen Marine LLC, 2003 WL 22038377 *5 (E.D. La. Aug. 22, 20003) ("if the party asserting the privilege cannot make a factual showing that the primary purpose of the insurance investigation was in anticipation of litigation, the court may conclude that the investigation was conducted in the ordinary course of investigating a potential insurance claim.")

Accordingly, as with the attorney-client privilege inquiry, the Court must consider the function an attorney is fulfilling at the time the document at issue is created. Documents created for an ordinary business purpose by an attorney functioning as a business advisor will not be considered as having been created in anticipation of litigation, even if one could foresee that the document would become relevant if litigation were eventually commenced.

The documents submitted by Apria raise the always difficult and uncomfortable question of the "hat" in-house counsel wears. Based on the considerations discussed above, I conclude that the documents bearing on the reduction in force (RIF), Apria's selection of the plaintiff as the employee to terminate in the RIF, and the timing of plaintiffs termination in the RIF should be produced. These documents discuss the reasons for plaintiff's selection as the person to be terminated in the RIF, when the RIF should be executed, i.e., when plaintiff should be terminated, and how other employee disciplinary actions shall be approached. These types of considerations are part of the normal process of determining who is to be terminated in a RIF and when and how to carrying out a RIF; they are normal HR functions.

Apria has simply not prevailed in its burden to show that in-house counsel, Lan Farrell, was providing legal advice and/or legal guidance regarding the RIF and plaintiff's termination in the RIF. The documents submitted by Apria do not, by themselves, indicate her role was one of a legal advisor, and no affidavit has been submitted to explain or clarify her role. Rather, it appears that Lan Farrell's role was that of a business advisor and an active participant and decision-maker in the decision to terminate plaintiff. Based on my conclusion that Lan Farrell was not acting as a legal advisor in relation to the RIF and plaintiff's termination, and based on my conclusion that the documents at issue reflect ordinary business purposes when making a decision to terminate employment in a RIF, I conclude neither the attorney-client privilege nor the work product doctrine applies to the following documents, and they should be produced: Apria 11325, 11326, 11328, 11330, 11333, 11335, 11337, 11365, 11367, 11371, 11384, 11387. It is further ORDERED that Apria shall produce said documents on or before Thursday October 14, 2010.

SO ORDERED.

Defendants claim plaintiff cannot prove that his termination raises an inference of discrimination because he proffers no evidence of outwardly discriminatory conduct and admits that no one made any comments or took any action towards him relating to age or suggesting age bias. (Def.'s Mem. at 8.) But where "an employer has acted with discriminatory intent, direct evidence of that intent will only rarely be available . . . affidavits and depositions must be carefully scrutinized for circumstantial proof which, if believed, would show discrimination." Holcomb, 521 F.3d at 137. Indeed, it is precisely because courts are not provided direct and certain evidence of discrimination that the law calls for a finding of an "inference."

Defendants also claim an inference of discrimination fails when, as in the case at bar, the allegedly discriminatory actors and the beneficiary of the adverse act are within the protected class. (Def.'s Mem. at 8.) The Supreme Court and the Second Circuit have both unequivocally stated, however, that the non-plaintiff actors' ages in an ADEA case is not determinative; the question is whether the plaintiff suffered an adverse employment act "because of his age." O'Conner v. Consolidated Coin Caterers Corp., 517 U.S. 308, 312 (1996). See also D'Cunha, 479 F.3d at 195; Woodman, 411 F.3d at 78. Thus the Court rejects this argument.

The Second Circuit has continuously held that an inference of discrimination arises, for purposes of ADEA defendants' summary judgment motions, when an older qualified employee is replaced by someone younger. See, e.g., D'Cunha, 479 F.3d at 195 (an age difference of eight years raises an inference of discrimination); Gorzynski, 596 F.3d at 107; Francis v. Elmsford Sch. Dist., 263 Fed. Appx. 175, 177 (2d Cir. 2008); Woodman, 411 F.3d at 79. Because Chocheles was 12 years younger than plaintiff when plaintiff was fired and replaced by Chocheles, plaintiff has sufficiently raised an inference of discrimination.

Woodman adds the extra requirement that defendant know of the age discrepancy in question when an inference of discrimination is based solely on plaintiff being terminated and replaced by a younger worker. 411 F.3d at 79. Considering that defendants' New Hire Form contains a "date of birth" field, at least in its 1990 version, it seems highly unlikely that defendants would not know plaintiff's age [defendants did know Chocheles' age because the New Hired Form produced is from Chocheles' hiring in 1990]. (Mushkin Decl. Ex. P.) In any event, defendants do not claim not to know plaintiff's age in their opposition papers. For the purposes of this motion, therefore, the Court takes this point as admitted.

2. Legitimate Nondiscriminatory Reason

Having satisfied his burden of proffering sufficient evidence to establish a prima facie case, the burden shifts to defendants to articulate a legitimate nondiscriminatory reason for plaintiff's termination. Gorzynski, 596 F.3d at 106. Defendants here claim plaintiff was terminated for his "failure to improve his performance." (Def.'s Mem. at 9.) In support of that claim are the extremely well documented performance shortcomings highlighted in the 2005 and 2006 Reports and the Warning, along with O'Neill's claim of receiving negative feedback regarding plaintiff from several other employees. See supra, §§ I.D, F. Not only was O'Neill, plaintiff's supervisor, obviously and expressly dissatisfied with plaintiff's performance, but plaintiff was also informed by the Warning, and understood, that his future employment depended on his meeting specific objectives and improving his performance generally. In writing his Recommendation for Termination, O'Neill stated as grounds plaintiff's failure to complete the Warning's objectives (which included improving performance is various areas). (Blecher Decl. Ex. K.) Clearly such performance shortcomings would constitute a legitimate nondiscriminatory reason for plaintiff's termination. See Slattery, 248 F.3d at 93; Gorzynski, 596 F.3d at 107. Thus defendants have satisfied their burden of articulation.

Plaintiff claims that defendants have not met their burden because "[p]laintiff received numerous promotions, salary increases, [and] annual bonuses . . . [and] [a]s such, there exist genuine issues of material fact as to [d]efendants' legitimate nondiscriminatory reason." (Pl.'s Opp. at 9.) Plaintiff's argument, however, misunderstands the law. Defendants' burden at this stage is not to prove nondiscrimination. Instead, defendants must "introduce evidence which, taken as true, would permit the conclusion that there was a nondiscriminatory reason for the adverse action." St. Mary's Honor Center v. Hicks, 509 U.S. 502, 509 (1993) (emphasis in original). Whether plaintiff can produce evidence casting doubt on defendants' proffered reasons, and what the character of that evidence is, is taken in to account only at the next stage of the analysis, namely whether defendants' reason is mere pretext for discrimination. Gorzynski, 596 F.3d at 107.

3. Pretext

Because defendants have articulated a legitimate, nondiscriminatory reason for plaintiff's termination, plaintiff can no longer rest on his prima facie case and must instead "raise[] sufficient evidence from which a reasonable jury could conclude by a preponderance of the evidence that [his] age was a `but for' cause of [defendants'] decision to fire [him]." Gorzynski, 596 F.3d at 107; see also Sullivan v. Brodsky, 2010 WL 2202977, at *1 (2d Cir. June 02, 2010) ("Proceeding to the final step of the analysis, plaintiff must adduce sufficient evidence to allow a rational fact finder to conclude that age was the `but-for' cause of the challenged adverse employment action and not just a contributing or motivating factor") (internal quotation marks omitted); Holowecki, 2010 WL 2573864, at *1 ("In order to satisfy their burden at the final stage, plaintiffs must offer evidence that age discrimination was the `but-for' cause of the challenged actions"); Alam, 2009 WL 3096293, at *8 ("under the ADEA, the discrimination must have been a `but-for' cause of the employer's decision") (internal quotation marks omitted).

Plaintiff proffers three arguments why he was terminated due to age discrimination: First, that he suffered several instances of disparate treatment; second, that defendants' poor performance reviews were unwarranted considering his good performance in the past; and third, that his replacement was younger. The evidence in the record, however, is insufficient to create a triable issue as to whether defendants' legitimate nondiscriminatory reasons were pretextual. Plaintiff's list of highly generalized disparate treatment instances and the conclusory allegations drawn therefrom do not suffice to show discrimination. Disagreements regarding poor performance evaluations and claims of prior good performance do not, as a matter of law or logic, mean that present poor performance reviews were unfounded. And the mere fact that plaintiff's replacement was younger, though enough to establish the inference of discrimination prong of plaintiff's prima facie case, cannot standing alone establish pretext.

a. Disparate Treatment

Plaintiff's claimed instances of disparate treatment constitute a list of allegations that just as soon support defendants' reasons as undercut them. Plaintiff states that defendants (1) told plaintiff he could not have conversations in the office while allowing other employees (who were apparently younger) to do so; (2) told other employees to not have conversations with plaintiff; (3) isolated plaintiff from other employees; (4) spoke in a condescending tone of voice to plaintiff; (5) required plaintiff to attend weekly one-on

one meetings for a longer period than other employees; (6) maintained a regular log of plaintiff's work but not of other employees' work; (7) gave plaintiff clerical duties but did not give other employees such duties; (8) criticized plaintiff at staff meetings; and (9) allegedly silenced plaintiff by putting a hand in his face. (Pl.'s Opp. at 10.)

These largely conclusory allegations are insufficient to prove pretext. See Valentine v. Standard Poor's, 50 F. Supp. 2d, 262, 284 (S.D.N.Y. 1999), aff'd, 205 F.3d 1327 (2d Cir. 2000). Just because one is treated differently around the office, is granted different bonuses, or is terminated while others are retained does not, without more, demonstrate discrimination. See Ferrand v. Credit Lyonnais, 2003 WL 22251313, at *8 (S.D.N.Y. Sept. 30, 2003), aff'd, 110 Fed. Appx. 160 (2d Cir. 2004). Absent some evidence that other employees "similarly situated in all material respects" were treated differently, the mere fact that one employee suffered some non-facially-discriminatory disparate treatment cannot prove pretext. Id.; see also Ricks v. Conde Naste Publications, Inc., 6 Fed. Appx. 74, 78 (2d Cir. 2001) (plaintiff African-American woman's claims that Caucasian employees were not required to keep their logs in as detailed a format as she, and that she was subject to verbal attacks while other employees were not, were not enough to counter defendants' legitimate nondiscriminatory reason regarding performance absent evidence that those employees did not have plaintiff's documented performance issues); Sklar v. New York Life Ins. Co., 34 Fed. Appx. 403, 405 (2d Cir. 2002) ("[having] not provided any evidence linking [plaintiff's supervisor's alleged lies about and assaults on him] to age discrimination . . . these alleged incidents are insufficient to survive a motion for summary judgment"). Plaintiff here provides no evidence that any other employees who were consistently cited for ongoing issues of poor performance did not suffer the same treatment as that directed towards him. Plaintiff believed that he faced the listed instances of disparate treatment in order to force him out and bring in a "younger-looking group." (Mattera Dep. at 122.) But that a "younger-looking group" would be created by hiring a new employee one year from fifty is questionable. (See Mushkin Decl. Ex. P.)

More importantly, however, plaintiff's "feelings" and "beliefs" are no substitute for persuasive evidence that identifiable, valid comparators were treated in a meaningfully different manner. See Holowecki v. Federal Exp. Corp., 644 F. Supp. 2d 338, 353 (S.D.N.Y. 2009), aff'd, 2010 WL 2573864 (2d Cir. June 24, 2010) ("[Plaintiff] does identify a handful of younger couriers who `remained employed' at his station after his termination, but fails to demonstrate how any of these individuals were treated differently under circumstances similar to his. Because [plaintiff] has offered nothing more than conclusory allegations in support of his age discrimination claim . . . his claim must be dismissed"); Iverson v. Verizon Communications, 2009 WL 3334796, at *5 (S.D.N.Y. Oct. 13, 2009) (plaintiff's "own conclusory statements are the only other evidence he provides to show that Verizon's proffered reasons were merely a pretext for discrimination. As a matter of law, such statements are insufficient to establish pretext"); Meiri v. Dacon, 759 F.2d 989, 998 (2d Cir. 1985) (plaintiff may not establish even an inference of discrimination by offering "purely conclusory allegations of discrimination"). Indeed, obnoxious bosses and difficult times at work do not, as a

Plaintiff provides no evidence comparing his overall circumstances to those of any other employee, and the Court cannot divine facts not in the record. See Sioson v. Knights of Columbus, 303 F.3d 458, 460 (2d Cir. 2002) ("Perhaps counsel for Appellant intends that we form an argument for him, by looking into the record to document the `facts' posited in his `statement of the case,' and then examining various combinations of these facts in the light of the legal doctrines he later mentions. But that is simply not our job, at least in a counseled case").

matter of law, constitute employment discrimination; "[w]hile plaintiff's tenure at [JMPC] was unpleasant, [he] has provided no evidence tending to show that [his age], rather than [his] incompetence, was the cause of [his] dismissal." Dimps v. Human Resources Admin. of City of New York, 2001 WL 1360235, at *8 (S.D.N.Y. November 5, 2001).

Finally, plaintiff's claim here comes nowhere near the documented disciplining of older employees for rightful conduct, while allowing younger employees off the hook for wrongful conduct that the Second Circuit has found sufficient to "raise[] a question for the jury." Gorzynski, 596 F.3d at 98-99, 108-109. Accepting all of plaintiff's generalized allegations as true, these facts neither undermine the credibility of defendants' reasons nor tend to prove that age discrimination played any part in O'Neill's decision to terminate him, much less was the but-for cause. Byrnie v. Town of Cromwell Bd. Of Educ., 243 F.3d 93, 103 (2d Cir. 2001). Plaintiff's facts are entirely consistent with defendants' legitimate nondiscriminatory reasons. The 2005 and 2006 Reports and the Warning indicate that as of the start of 2005 plaintiff's performance significantly deteriorated and that plaintiff was unable to correct his performance shortcomings. O'Neill responded by putting plaintiff under closer supervision and simplifying his tasks. Nothing other than plaintiff's belief that JPMC wanted a "younger-looking" group, Mattera Dep. at 122, suggests that O'Neill was motivated by an unlawful animus. See Slattery, 248 F.3d at 94.

Including allowing younger airport gate workers and technicians to consistently violate the smoking policy, sleep through arrivals of airplanes, take time off without reporting it, negligently open vibrating luggage, fraudulently alter postal service sheets, negligently destroy airport equipment, and last but certainly not least steal currency from passengers, all without being disciplined. Gorzynski, 596 F.3d at 98-99. Plaintiff, on the other hand, was disciplined and eventually fired for suggesting, in an allegedly strong manner to an allegedly weak-willed supervisor, that defendant airline, her employer, repair broken fire extinguishers in anticipation of a known Federal Aviation Administration safety inspection. Id. at 99-100. Plaintiff claims in the base at bar, e.g. that he was not included in office banter regarding sports while other employees were, pale in comparison.

b. Poor Performance Reviews

Plaintiff's claim that his poor performance reviews were unfounded is equally unavailing. As a preliminary matter, "an employee's disagreement with her employer's evaluation of her performance is insufficient to establish discriminatory intent." Ricks, 6 Fed. Appx. at 78; see also Valentine, 50 F. Supp. 2d at 284 ("In any event, plaintiff's subjective disagreement with his reviews is not a viable basis for a discrimination claim"); Iverson, 2009 WL 3334796, at *5 ("Merely disagreeing with a supervisor's assessment of work performance, however, is insufficient to raise a triable issue of fact regarding pretext") (internal quotation marks omitted). More importantly, an employee's claim of evaluation fabrication fails when, as in the case at bar, the employee "signed most of the reviews that document his performance as being substandard . . . [and] fail[ed] to identify any evidence that refutes defendants' characterization of his performance." Chukwurah, 354 Fed. Appx. at 495.

Plaintiff's undocumented claim that he had received good performance evaluations in the past, Pl.'s 56.1 Statement ¶ 6, does not come close to the concrete evidence necessary to give rise to a reasonable inference that poor performance evaluations were suspect. See Valentine, 50 F. Supp. 2d at 284 ("[P]laintiff claims that his harsh evaluations were inconsistent with his alleged proficiency in rating stocks and his early success at S P in the mid-1980s; . . . [his reviews,] however, dealt with his sloppiness, lateness, inattentiveness, lack of creativity, poor writing, weak analysis, impressions created outside the department and relationships with others, not his stock recommendations"). Whereas plaintiff's claim in Valentine pitted specifically indentified good performance against several items contributing to poor performance reviews, plaintiff here pits merely his claim to have received good reviews in the past against very specific and very well-documented performance failings in the present. See supra, §§ I.A, D (listing several ways that plaintiff's performance was deficient and noting that plaintiff's bonus fell from $15,000 for 2004 to $10,000 for 2005).

Even if credited, plaintiff's claim of prior favorable performance does not, without more, prove his subsequent poor reviews were unwarranted. Indeed, "[d]emonstration of past positive performance is insufficient to raise a genuine issue of disputed fact with respect to pretext." Iverson, 2009 WL 3334796, at *5 (internal quotation marks omitted). Plaintiff may have been promoted and received raises, bonuses, and positive reviews in the past. But favorable performance in the positions plaintiff held before moving to Treasury Services is not inconsistent with the two poor performance reviews he received after moving to Treasury Services. Godfrey v. Ethan Allen, Inc., 113 F.3d 1229, 1997 WL 279933, at *2 (2d Cir. 1997) (unpublished table decision). Even post-termination recognition of certain aspects of an employee's performance does not, by itself, cast doubt on an employer's decision to terminate an employee because his overall performance was deficient. See Emanuel v. Oliver, Wyman, Co., 85 F. Supp. 2d 321, 331-32 (S.D.N.Y. 2000). In sum, plaintiff's generalized contention that his undocumented prior good performance is insufficient to raise a triable issue of pretext.

c. Replaced by a Younger Worker

Absent evidence of actual disparate treatment motivated by age discrimination, or non-subjective evidence that the poor performance evaluations were contrived, plaintiff's sole remaining fact in support of discrimination, namely that he was replaced by a younger worker, cannot defeat a motion for summary judgment. Norton v. Sam's Club, 145 F.3d 114, 119 (2d Cir. 1998) ("[A] jury cannot infer discrimination from thin air. And thin air is all the plaintiff has produced in the case before us. Norton proved (1) that he was over forty years old when he was fired; (2) that the person who fired him was under forty years of age; and (3) that one other person who was fired around the same time as Norton was also over forty. . . . [this] is simply not enough to support [a] jury's conclusion that he was fired because of his age."). Indeed, that plaintiff "was replaced by a younger employee . . . does not suffice to prove that the adverse employment action here was motivated by age discrimination. [Plaintiff] cannot defeat summary judgment merely by showing that he was replaced by [a younger employee]. Typically, younger workers will replace older ones; this is an unremarkable phenomenon that does not . . . prove discrimination." Feldman v. Looms, Div. of Levcor Intern., Inc., 198 F.3d 233, 1999 WL 973518, at *2 (2d. Cir 1999) (unpublished table decision) (internal quotation marks and citations omitted).

Having reviewed the record as a whole, the Court concludes that no reasonable jury could find age discrimination to be a "but-for" cause of plaintiffs termination. Defendants' motion for summary judgment on plaintiff's discrimination claim is granted.

C. Retaliation

The ADEA provides in relevant part that "[i]t shall be unlawful for an employer to discriminate against any of his employees . . . because such individual . . . has opposed any practice made unlawful by this section." 29 U.S.C. § 623(d).

Retaliation claims under the ADEA are also analyzed using the McDonnell Douglas burden-shifting framework. Gorzynski, 596 F.3d at 110. To establish his prima facie case plaintiff must show that (1) he participated in protected activity known to defendant, (2) he suffered an adverse employment action, and (3) a "causal connection [exists] between [plaintiff's] engagement in the protected activity and the adverse employment action." Id.; Terry v. Ashcroft, 336 F.3d 128, 141 (2d Cir. 2003); Slattery, 248 F.3d at 94. Once established, the burden shifts to defendant to articulate a legitimate, nondiscriminatory reason for the termination. Jute v. Hamilton Sundstrand Corp., 420 F.3d 166, 173 (2d Cir. 2005). The burden then "shifts back to the plaintiff to demonstrate pretext." Slattery, 248 F.3d at 95.

The Supreme Court in Gross did not directly address whether "but-for" causation is required for ADEA retaliation claims. See 129 S.ct. at 2350-51. Neither has the Second Circuit; after requiring "but-for" causation for discrimination claims that court said, "[t]he analysis for the remainder of the burden-shifting test for the retaliation claims is similar to that of [discrimination claims]." Gorzynski, 596 F.3d at 111.
In Gross, Justice Thomas found that, as a matter of textual analysis, § 623(a)(1)'s "because of" requires plaintiff to "prove that age was the `but-for' cause of the employer's adverse decision." 129 S.ct. at 2350. Also, since Congress amended both Title VII and the ADEA in 1991 and left the "because of" language in § 623(a)(1) unchanged, yet changed Title VII's antidiscrimination language to require only that age be a motivating factor, no similar lessening of the causal standard could be read in to the ADEA. Id. at 2349. Congress likewise did not amend the ADEA's antiretaliation provision, § 623(d), which employs the same causal phraseology as § 623(a)(1). If the "because of" in § 623(a)(1) requires "but-for" causation in that subsection, then it seems likely that the similar antiretaliation language, "It shall be unlawful for an employer to discriminate against any of his employees . . . because such individual . . . has opposed any practice made unlawful by this section," 29 U.S.C. § 623(d), requires "but-for" causation for § 623(d) claims. See 5 Hon. Leonard B. Sand, et al., Modern Federal Jury Instructions-Civil Instr. 88-28 cmt. (2009) ("While the Court has not directly extended [the Gross holding that ADEA discrimination claims require proof of `but-for' causation] to retaliation claims, its reasoning applies with equal force, in which case the plaintiff would have to show that the desire to retaliate was the but-for cause of the defendant's adverse action") (internal citation omitted).
Courts have come down on both sides on the issue. Compare Rasic v. City of Northlake, 2009 WL 3150428, at *17 (N.D. Ill. Sept. 25, 2009) (stating that Gross requires "but-for" causation for ADEA retaliation claims); Beckford v. Geithner, 661 F. Supp. 2d 17, 25 n. 3 (D.D.C. 2009) (requiring "but-for" causation in a Title VII retaliation claim); Serwatka v. Rockwell Automation, Inc., 591 F.3d 957, 962 (7th Cir. 2010) (same for ADA retaliation claims); Beckham v. National R.R. Passenger Corp., 2010 WL 3522216, at *11 (D.D.C. Sept. 9, 2010) (stating that in single motive disparate treatment cases, "but-for" causation is required for both discrimination and retaliation claims); with Smith v. Xerox Corp., 602 F.3d 320, 328-29 (5th Cir. 2010) (declining to extend Gross's "but-for" causation requirement to Title VII retaliation claims). Because this Court concludes that plaintiff cannot establish a prima facie case for retaliation the Court need not reach the issue.

1. Prima Facie Case

Defendants contest two elements of plaintiffs prima facie case: that plaintiff undertook known protected activity and that a causal connection existed between that activity and his termination. (Def.'s Mem. at 10.)

a. Protected Activity

Whether plaintiff's conduct was protected activity under the ADEA requires satisfaction of three essential elements. First, plaintiff must complain, in some form, about allegedly discriminatory practices. See, e.g., Gorzynski, 596 F.3d at 111 (plaintiff complaining to supervisors about disparate treatment specifically between older and younger employees); Patane v. Clark, 508 F.3d 106, 115 (2d Cir. 2007) (complaining of supervisor's sexually harassing behavior to employees charged with handling such claims); Slattery, 248 F.3d at 95 (filing an EEOC complaint before discharge); Reed v. A.W. Lawrence Co., Inc., 95 F.3d 1170, 1178 (2d Cir. 1996) (complaining to corporate officer about and participating in internal investigation of harassment). But see Cruz v. New York State Deputy Atty. Gen for Medicaid Fraud, 1995 WL 81279, at *1 (mere allegation of "protesting a discriminatory rating" not enough of a complaint for protected activity). Second, though the complained-of conduct need not be discriminatory as a matter of law, plaintiff must have a good faith, reasonable belief that the practices complained of were unlawfully discriminatory. Reed, 95 F.3d at 1178; Kessler v. Westchester County Dep't of Social Services, 461 F.3d 199, 210 (2d Cir. 2006). And third, plaintiff's complaints must be known to defendants, and specifically to O'Neill who alone made the termination decision. See Sengillo v. Valeo Elec. Systems, Inc., 328 Fed. Appx. 39, 41 (2d Cir. 2009); Patane, 508 F.3d at 115. "[W]hether a particular activity is `protected' is a question of law; whether the plaintiff engaged in that activity is a question for the jury." 5 Hon. Leonard B. Sand, et al., Modern Federal Jury Instructions-Civil cmt. 3-320 (2009).

On the record, plaintiff's complaints of discrimination included the following instances. First, when speaking with Yudkoff directly after being issued the Warning, plaintiff "left it as I really feel discriminated against and didn't state the reason." (Mattera Dep. at 101.) At plaintiff's next meeting with both O'Neill and Yudkoff present, after producing his written response to the Warning, plaintiff again said he felt discriminated against. (Id. at 107-108.) Finally, on September 22, three days after O'Neill's official recommendation that plaintiff be terminated, plaintiff sent an email to Winter saying that he felt "[O'Neill] is discriminating," (Blecher Decl. Ex. O.), and followed that up on September 25 with a call to Winter in which he discussed the discrimination. (Pl.'s 56.1 Statement ¶ 88.) These complaints of discrimination suffice to satisfy the complaint and the awareness prongs of the analysis of protected activity. Plaintiff mentioned that he felt discriminated against, albeit providing no bases or grounds for that contention. And though the complaint was not made until after JPMC issued plaintiff the Warning, it was made and made known to O'Neill, before O'Neill made the final decision to terminate. In other words, O'Neill, the person with sole responsibility for making the termination decision, knew of plaintiff's complaints of discrimination before making that decision.

That plaintiff made the complaints after JPMC issued the Warning does not help JPMC in proving that the decision to terminate plaintiff was made before, and therefore did not take in to account, his complaints. When the Warning's restriction period lapsed, plaintiff was not terminated. O'Neill stated he did not terminate plaintiff then because he wanted to give plaintiff more opportunity to meet the Warning's objectives. In other words, the Warning's lapse did not automatically lead to plaintiff's termination; other factors, including plaintiff's complaint, could have entered in to that decision.

However, merely complaining of discrimination and making that complaint known does not satisfy the protected activity element of a prima facie case of retaliation under the ADEA. Plaintiff must also have had a good faith, reasonable belief that the complained-of conduct was unlawfully discriminatory. Galdieri-Ambrosini v. National Realty Development Corp., 136 F.3d 276, 292 (2d Cir. 1998); Amin v. Akzo Nobel Chemicals, Inc., 282 Fed. Appx. 958, 961 (2d Cir. 2008); Spadola v. New York City Transit Auth., 242 F. Supp. 2d 284, 291 (S.D.N.Y. 2003) ("employee must demonstrate . . . a good faith, reasonable belief that the underlying challenged actions of the employer violated the law"). For the belief to be reasonable, plaintiff must present at least some evidence of conduct, discrimination, animus, or bias existing at the time he made the complaint and pointing towards illegality. Spadola, 242 F. Supp. 2d at 291 ("The employee's belief that he was opposing an employment practice made unlawful by Title VII must also be objectively reasonable, in the sense that the asserted opposition must be grounded on sufficient evidence that the employee was the subject of discrimination and harassment at the time the protest to the offending conduct is registered") (emphasis added). Plaintiff's belief that complained-of conduct was illegal thus depends on plaintff's ability to point to facts at least indicative of illegal conduct. See, e.g., Reed, 95 F.3d at 1179 (plaintiff complained of a coworker's comment indicative of sexual harassment); Patane, 508 F.3d at 110 (same); Holtz v. Rockefeller Co., Inc., 258 F.3d 62, 80 (2d Cir. 2001) (same); Slattery, 248 F.3d at 89 (filing EEOC complaint alleging age discrimination and citing statements referring to age and youth); Gorzynski, 596 F.3d 93 (complaining to supervisors about younger employees going undisciplined while older employees faced discipline for similar conduct, and about general "unequal enforcement of the rules . . . with respect to older employees versus younger employees"); Kessler, 461 F.3d at 210 (filing official complaint stating that non-class members were granted promotions and other employment privileges while plaintiff was denied).

Because the Court finds that plaintiff cannot establish the causal connection element required to make out a prima facie case of retaliation, the Court need not and does not find that plaintiff's belief that the complained-of conduct, at the times plaintiff made his complaints, could not have been reasonable as a matter of law. The Court notes, however, that plaintiff's evidence suffices to allow a reasonable belief only to the most minimal extent. Plaintiff's case is distinguishable from the litany of cases cited above in one key respect. Plaintiff can point to no evidence of discrimination, animus, or bias, or of conduct indicating the same, at the time he complained of discrimination. Indeed, plaintiff's sole evidence raising an inference of discrimination is that JPMC replaced him with an employee twelve years his junior. (Pl.'s Opp. at 6-8.) The record is devoid of any other evidence pointing to discrimination. See supra, §§ II.B.3.a-c. However, all of plaintiffs complaints of discrimination were made before he was terminated and replaced. In other words, the inference of discrimination had not yet arisen at the time plaintiff complained of discrimination. Plaintiff's conclusory statement that he "could not see any other reason [than age]," (Mattera Dep. at 78,) hardly suffices. See Blitzer v. Potter, 2005 WL 1107064, at *13 (S.D.N.Y. May 06, 2005) ("[plaintiff] has not shown any semblance of [age]-oriented motivation in the events or conversations. Therefore, [plaintiff] has not participated in protected activity") (internal quotation marks and citation omitted); Bain v. Wal-Mart Stores, Inc., 585 F. Supp. 2d 449, 454 (W.D.N.Y. 2008) (because "description of `vulgar' comments [supervisor] had previously made fell short of describing a hostile work environment, [plaintiff's complaint] did not, as a matter of law, constitute protected activity").

b. Causal Connection

Though plaintiff's belief that he faced discriminatory treatment may just pass muster, he fails to establish a causal connection between his complaints and his termination. Defendants contend, correctly, that no causal connection may be inferred because plaintiff's complaints occurred after the 2005 and 2006 Reports and the Warning, that is well after the adverse developments leading to his termination began to unfold.

Proof of causation does not necessarily require that the first act in the chain leading to an employee's eventual termination occur after the employee's complaints of discrimination. "[C]ausation can be shown either: (1) indirectly, by showing that the protected activity was followed closely by discriminatory treatment, or through other circumstantial evidence such as disparate treatment of fellow employees who engaged in similar conduct; or (2) directly, through evidence of retaliatory animus directed against the plaintiff by the defendant." Gordon v. New York City Bd. Of Educ., 232 F.3d 111, 117 (2d Cir. 2001); Ortiz-Moss v. New York City Dep't of Transp., 623 F. Supp. 2d 379, 397 (S.D.N.Y. 2008). Indeed, it is well settled that an ADEA plaintiff "can indirectly establish a causal connection to support a . . . retaliation claim by showing that the protected activity was closely followed in time by the adverse employment action." Gorzynski, 596 F.3d at 110 (citing Gorman-Bakos v. Cornell Co-op Extension of Schenectady County, 252 F.3d 545, 554 (2d Cir. 2001)). The Second Circuit has found that four months is a sufficiently short period to establish temporal proximity. Gorzynski, 596 F.3d at 111.

At the same time, when "timing is the only basis for a claim of retaliation, and gradual adverse job actions began well before the plaintiff had ever engaged in any protected activity, an inference of retaliation does not arise." Slattery, 248 F.3d at 95 (there finding that a lessening of plaintiffs job responsibilities due to deficient performance five months prior to plaintiff's filing of an EEOC complaint precluded any causal connection between plaintiff's complaint and his firing); Deebs v. Alstom Transp., Inc., 346 Fed. Appx. 654, 658 (2d Cir. 2009) (prior nondiscriminatory adverse employment actions based on poor performance prior to plaintiff's filing of an EEOC complaint precluded causal connection despite temporal proximity); Dixon v. Int'l Federation of Accountants, 2010 WL 1424007, at *6 (S.D.N.Y. Apr. 9, 2010) (repeated critiques of plaintiffs management skills prior to plaintiff's complaints of discrimination precluded causal connection despite temporal proximity); Williams v. Time Warner Inc., 2010 WL 846970, at *6 (S.D.N.Y. Mar. 3, 2010) (lessening of plaintiffs work responsibilities and exclusion of plaintiff from meetings and events prior to plaintiff's complaints of discrimination precluded causal connection despite temporal proximity); Morisseau v. DLA Piper, 532 F. Supp. 2d 595, 615 (S.D.N.Y. 2008) (complaints

regarding plaintiff prior to plaintiff's complaint of discrimination precluded causal connection despite temporal proximity).

Plaintiff here first complained of discrimination to Yudkoff in late June or July 2006. He then complained of discrimination to both Yudkoff and O'Neill in August 2006. Finally, he complained to Winter within days and on the day of his firing. Even taking the late June date as the start of the temporal proximity clock, and therefore three months prior to the termination, plaintiff's complaints were within a four-month time period. But plaintiff's non-refuted poor performance reports began in mid-2005, a full year before he first complained of discrimination and fifteen or so months before he was terminated. Because plaintiff relies only on the temporal proximity between his complaints and his firing to establish a causal connection between the two, (Pl.'s Opp. at 13,) and because plaintiff's documented poor performance began significantly and sufficiently earlier, plaintiff cannot establish that any such causal connection existed. See Slattery, 248 F.3d at 95 (deficient performance began just five months before plaintiff's complaint). Because plaintiff cannot establish a causal connection, plaintiff cannot make out a prima facie case of unlawful retaliation, and therefore plaintiff's retaliation claim fails. Defendants' motion for summary judgment on plaintiff's retaliation claim is granted

III. CONCLUSION

For the reasons stated above, defendants' motion for summary judgment [20] is GRANTED. The Clerk of the Court is directed to close this case.

SO ORDERED.

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MATTERA v. JP MORGAN CHASE CORP
(Sep 30, 2010)