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Chhim v. Univ. of Tex. at Austin

United States Court of Appeals, Fifth Circuit.
Sep 2, 2016
Smart Summary (Beta)

Factual and Procedural Background

Joseph Chhim, a pro se plaintiff, appealed the district court's dismissal of his employment-related claims against the University of Texas at Austin. The University moved to dismiss. The district court dismissed Chhim's age-discrimination claim under the Age Discrimination in Employment Act (ADEA) for lack of subject-matter jurisdiction under Federal Rule of Civil Procedure 12(b)(1), and dismissed his Title VII claims for unlawful employment discrimination (race, color, national origin) and retaliation for failure to state a plausible claim under Federal Rule of Civil Procedure 12(b)(6). Chhim applied for a Building Services Supervisor position (Night Shift) and was notified on March 7, 2014 that he was not hired; the University hired a Hispanic, Mexican–American applicant with more than 25 years' custodial experience. Chhim asserted claims of age discrimination under the ADEA, race/color/national origin discrimination under Title VII, and retaliation based on grievances and charges he filed or alleges he filed.

Legal Issues Presented

  1. Whether the district court properly dismissed Chhim's ADEA claim for lack of subject-matter jurisdiction under Federal Rule of Civil Procedure 12(b)(1) based on state sovereign immunity.
  2. Whether Chhim's Title VII claims for discrimination (race, color, national origin) and retaliation were properly dismissed for failure to state plausible claims under Federal Rule of Civil Procedure 12(b)(6).
  3. Whether the Ex parte Young exception to sovereign immunity applied to Chhim's claims.
  4. Whether Chhim exhausted administrative remedies before the EEOC for his retaliation claims such that the court could consider them.

Arguments of the Parties

Appellant's (Chhim) Arguments

  • He asserted an age-discrimination claim pursuant to the ADEA rather than Title VII.
  • He contended that the University's stated nondiscriminatory reason (that he was not the most qualified, particularly in writing and communication) was pretextual and that the University hired a less-qualified, similarly situated applicant because of his Cambodian origin, race, and color.
  • He argued that an exception to state sovereign immunity (including Ex parte Young) applied so that his ADEA claim could proceed.
  • He alleged retaliation: the University failed to hire him in retaliation for grievances or charges he filed or had filed prior to or around the hiring decision (including complaints in December 2013 and January 2014).

Appellee's (University) Arguments

  • The University moved to dismiss the ADEA claim asserting lack of subject-matter jurisdiction due to Texas's sovereign immunity.
  • The University moved to dismiss the Title VII discrimination and retaliation claims for failure to state a plausible claim under Rule 12(b)(6), asserting that Chhim's pleadings did not plausibly allege that he was rejected because of protected characteristics or show a causal connection for retaliation.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Machete Prods., L.L.C. v. Page, 809 F.3d 281, 287 (5th Cir. 2015) Standard of review: de novo review of Rule 12(b)(1) and 12(b)(6) dismissals. Used to state the appellate standard of review for the district court's dismissals.
Bell Atl. Corp. v. Twombly, 550 U.S. 544, 570, 127 S.Ct. 1955, 167 L.Ed.2d 929 (2007) Pleading standard: complaint must state a claim plausible on its face. Applied to evaluate whether Chhim's complaint contained sufficient factual matter to be plausible.
Ashcroft v. Iqbal, 556 U.S. 662, 678, 129 S.Ct. 1937, 173 L.Ed.2d 868 (2009) Conclusions and legal conclusions are not entitled to be assumed true; allegations must show more than sheer possibility. Used to justify not crediting conclusory allegations in Chhim's complaint.
Taylor v. Books A Million, Inc., 296 F.3d 376, 378 (5th Cir. 2002) Pro se plaintiffs are held to a more lenient pleading standard but still must plead factual allegations raising relief above speculative level. The court applied a liberal construction of Chhim's pro se pleadings but required factual plausibility.
Sullivan v. Univ. of Tex. Health Sci. Ctr. at Hous. Dental Branch, 217 Fed.Appx. 391, 395 (5th Cir. 2007) Persuasive authority that neither Congress nor Texas waived sovereign immunity for ADEA claims against state universities. Relied upon to support dismissal of Chhim's ADEA claim for lack of subject-matter jurisdiction.
Kimel v. Fla. Bd. of Regents, 528 U.S. 62, 91, 120 S.Ct. 631, 145 L.Ed.2d 522 (2000) Congress did not validly abrogate States' sovereign immunity in the ADEA. Cited to support conclusion that ADEA does not abrogate state sovereign immunity.
Ballard v. Burton, 444 F.3d 391, 401 n.7 (5th Cir. 2006) Discusses when non-controlling district- or circuit-level decisions may be cited as persuasive authority. Used to note that Sullivan and other unpublished decisions may be persuasive.
Mick Haig Prods. E.K. v. Does 1–670, 687 F.3d 649, 652 (5th Cir. 2012) Waiver of claims not asserted in district court. Applied to note that any Title VII age-discrimination theory initially alleged was waived when Chhim clarified he proceeded under the ADEA.
Ex parte Young, 209 U.S. 123, 155–56 (1908) Exception to sovereign immunity allowing suits against individual state officials in their official capacities for prospective relief. Referenced in assessing Chhim's argument that an exception to sovereign immunity applied; court concluded Ex parte Young did not apply because Chhim did not sue individual state officials.
Raj v. La. State Univ., 714 F.3d 322, 328 (5th Cir. 2013) Ex parte Young requires naming individual state officials; also cited for disparate-treatment pleading requirements. Applied to reject Ex parte Young argument and to evaluate sufficiency of disparate-treatment allegations.
Kentucky v. Graham, 473 U.S. 159, 169 n.18, 105 S.Ct. 3099, 87 L.Ed.2d 114 (1985) Principles regarding suits against state officials and official-capacity claims. Cited in support of the requirement that Ex parte Young suits name individual state officials.
Lormand v. US Unwired, Inc., 565 F.3d 228, 251 (5th Cir. 2009) Courts may examine documents incorporated into the complaint by reference when ruling on Rule 12(b)(6) motions. Applied to justify consideration of documents Chhim attached or incorporated (EEOC/TWC letters, grievance, application dates, TWC investigation results).
Haskett v. T.S. Dudley Land Co., 648 Fed.Appx. 492, 495 (5th Cir. 2016) McDonnell Douglas framework elements for circumstantial-evidence discrimination claims. Used as an example of the elements a plaintiff would need to show under McDonnell Douglas.
Mitchell v. Crescent River Port Pilots Ass'n, 265 Fed.Appx. 363, 370 (5th Cir. 2008) Comparison of qualifications and similarly situated analysis in disparate-treatment claims. Cited to note that Chhim failed to plead facts showing he was as or more qualified than the hired applicant.
McDonnell Douglas Corp. v. Green, 411 U.S. 792 (1973) Framework for proving disparate treatment based on circumstantial evidence. Referenced as the framework useful for analyzing Chhim's circumstantial-evidence claim.
Stone v. La. Dep't of Revenue, 590 Fed.Appx. 332, 339, 341 (5th Cir. 2014) Pleading standards for discrimination and for retaliation where adverse action preceded protected activity. Applied to conclude the court could not draw a reasonable inference of liability and to reject retaliation claims where adverse action preceded the protected activity.
Pacheco v. Mineta, 448 F.3d 783, 788–89 (5th Cir. 2006) Requirement that Title VII claims be brought before the EEOC and that the scope of judicial claims be tied to the scope of the EEOC investigation. Applied to reject Chhim's retaliation claims that were not presented to the EEOC or within the scope of its investigation.
Sanchez v. Standard Brands, Inc., 431 F.2d 455, 466–67 (5th Cir. 1970) Ancillary support for the EEOC exhaustion and notice principles cited in Pacheco. Used as background authority in discussing exhaustion and EEOC scope requirements.

Court's Reasoning and Analysis

The court reviewed dismissals under Rules 12(b)(1) and 12(b)(6) de novo. It applied Twombly and Iqbal to require that Chhim's complaint contain sufficient factual matter to state a plausible claim and applied a more lenient standard for pro se pleadings while still requiring factual plausibility.

On the ADEA claim, the court concluded the University is a state university (citing TEX. EDUC. CODE § 67.01) and that neither Congress nor Texas waived sovereign immunity for ADEA claims; therefore the district court properly dismissed for lack of subject-matter jurisdiction. The court rejected Chhim's contention that an exception to sovereign immunity applied, explaining that Ex parte Young requires naming individual state officials in their official capacities, which Chhim did not do.

On the Title VII discrimination claim, the court explained that although Chhim need not present evidence at the pleading stage, he must plead sufficient facts supporting all ultimate elements of a disparate-treatment claim (the McDonnell Douglas framework). The court found Chhim failed to plead facts plausibly showing that the hired applicant was less qualified or similarly situated, noting Chhim's own pleading that he lacked the University's preferred writing and communication qualifications and that the record showed the hired applicant had over 25 years' custodial experience—facts that do not plausibly establish pretext or superior qualifications for Chhim.

On the retaliation claim, the court held that Chhim could not rely on grievances or charges filed after the adverse action (e.g., filings in March 2014 and November 2014) because the adverse action (notification of non-hire on March 7, 2014) preceded those filings. The court then addressed Chhim's allegations of complaints in December 2013 and January 2014 but concluded those claims were not exhausted: Chhim's EEOC charge only referenced a September 2014 grievance, so the EEOC could not reasonably be expected to have investigated the earlier complaints. Because those earlier complaints were not asserted before the EEOC or within the scope of its investigation, the court affirmed dismissal for failure to exhaust administrative remedies and for failure to state plausible retaliation claims.

Holding and Implications

AFFIRMED.

Direct effect: The Fifth Circuit affirmed the district court's dismissal of Chhim's ADEA claim for lack of subject-matter jurisdiction and affirmed dismissal of his Title VII discrimination and retaliation claims for failure to state plausible claims and for failure to exhaust administrative remedies. The opinion does not announce a novel rule of law; it applies established pleading standards, sovereign-immunity principles, the Ex parte Young limitation, McDonnell Douglas framework guidance, and EEOC exhaustion principles to the facts presented.

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PER CURIAM.

Joseph Chhim, Houston TX, pro se.

Michael James Patterson, Assistant Attorney General, Office of the Attorney General for the State of Texas, Austin, TX, for Defendant–Appellee.

Before HIGGINBOTHAM, PRADO, and HAYNES, Circuit Judges.

PER CURIAM:

Joseph Chhim, a pro se plaintiff, appeals the district court's dismissal of his case on motions to dismiss filed by the University of Texas at Austin (the “University”). The district court dismissed Chhim's claim for age discrimination under the Age Discrimination in Employment Act (“ADEA”) for lack of subject matter jurisdiction under Federal Rule of Civil Procedure 12(b)(1) and Chhim's claims for unlawful employment discrimination and retaliation under Title VII of the Civil Rights Act of 1964 for failure to state a plausible claim under Federal Rule of Civil Procedure 12(b)(6). Finding no error, we AFFIRM.

We review de novo a district court's dismissal of claims under Rules 12(b)(1) and 12(b)(6). See Machete Prods., L.L.C. v. Page , 809 F.3d 281, 287 (5th Cir. 2015). Under the Federal Rules of Civil Procedure and relevant precedent, a complaint must contain sufficient factual matter, accepted as true, to “state a claim to relief that is plausible on its face.” Bell Atl. Corp. v. Twombly , 550 U.S. 544, 570, 127 S.Ct. 1955, 167 L.Ed.2d 929 (2007). The allegations pleaded must show “more than a sheer possibility that a defendant has acted unlawfully.” Ashcroft v. Iqbal , 556 U.S. 662, 678, 129 S.Ct. 1937, 173 L.Ed.2d 868 (2009). We take the well-pleaded factual allegations in the complaint as true, but we do not credit conclusory allegations or allegations that merely restate the legal elements of a claim. See id. We hold pro se plaintiffs to a more lenient standard than lawyers when analyzing complaints, but pro se plaintiffs must still plead factual allegations that raise the right to relief above the speculative level. See Taylor v. Books A Million, Inc. , 296 F.3d 376, 378 (5th Cir. 2002) ; see also Twombly , 550 U.S. at 555, 127 S.Ct. 1955.

The district court properly dismissed Chhim's ADEA claim because the University is a state university, see TEX. EDUC. CODE § 67.01, and neither Congress nor Texas have waived Texas's sovereign immunity from ADEA claims, see Sullivan v. Univ. of Tex. Health Sci. Ctr. at Hous. Dental Branch , 217 Fed.Appx. 391, 395 (5th Cir. 2007). While Chhim asserts that an exception to sovereign immunity applies in this case, we disagree. See id. ; see also Kimel v. Fla. Bd. of Regents , 528 U.S. 62, 91, 120 S.Ct. 631, 145 L.Ed.2d 522 (2000) (“[I]n the ADEA, Congress did not validly abrogate the States' sovereign immunity to suits by private individuals.”).

Although Sullivan is not “controlling precedent,” it “may be [cited as] persuasive authority.” Ballard v. Burton , 444 F.3d 391, 401 n.7 (5th Cir. 2006) (citing 5thCir. R. 47.5.4). Chhim's complaint initially seemed to allege age discrimination under Title VII, but he clarified before the district court and has continued to assert on appeal that his age discrimination claim was made pursuant to the ADEA. We therefore analyze this claim under the ADEA. Any claim Chhim may have wished to assert under Title VII has been waived. See generally Mick Haig Prods. E.K. v. Does 1–670 , 687 F.3d 649, 652 (5th Cir. 2012).



Chhim argues that his claims fall within the Ex parte Young exception to sovereign immunity. See 209 U.S. 123, 155–56, 28 S.Ct. 441, 52 L.Ed. 714 (1908). “To fall within the Ex parte Young exception to sovereign immunity, however, a plaintiff must name individual state officials as defendants in their official capacities.” Raj v. La. State Univ. , 714 F.3d 322, 328 (5th Cir. 2013) (citing Kentucky v. Graham , 473 U.S. 159, 169 n.18, 105 S.Ct. 3099, 87 L.Ed.2d 114 (1985) ). Chhim did not sue individual state official defendants in their official capacities in this suit; therefore, the Ex parte Young exception does not apply to defeat Texas's sovereign immunity from suit.



We also affirm the dismissal of Chhim's claim for discrimination based on race, color, and national origin under Title VII. See 42 U.S.C. § 2000e–2(a)(1) (prohibiting such discrimination). Although Chhim's claims can be somewhat difficult to discern, he seems to aver that because of his Cambodian origin, race, and color, the University hired a Hispanic applicant instead of Chhim for a Building Services Supervisor position. Chhim acknowledges in his allegations that the University's given reason for not hiring Chhim was because he was not the most qualified candidate for the job, including that he did not display excellent writing skills and communication abilities. Chhim baldly alleges that this explanation is pretextual. He avers that the University hired a custodian from within its own department who had over 25 years of experience and speculates that the custodian was “less qualified” than Chhim.

In attempting to construe Chhim's complaint liberally, see Taylor , 296 F.3d at 378, we have considered Chhim's explanation of the allegations in his complaint in his briefing before the district court. We have also considered documents Chhim incorporated into the complaint by reference or attached to the complaint or to his responses to the motion to dismiss, such as: right to sue letters from the Equal Employment Opportunity Commission (“EEOC”) and Texas Workforce Commission (“TWC”); documents showing the dates on which Chhim applied to various positions with the University; a grievance that Chhim filed against the University on March 7, 2014; and documents frequently referenced and quoted in Chhim's complaint that contain the results of the TWC's investigation into Chhim's allegations. See generally Lormand v. US Unwired, Inc. , 565 F.3d 228, 251 (5th Cir. 2009) (noting that in ruling on Rule 12(b)(6) motions, courts may examine documents incorporated into the complaint by reference).



Although Chhim did not have to submit evidence to establish a prima facie case of discrimination at this stage, he had to plead sufficient facts on all of the ultimate elements of a disparate treatment claim to make his case plausible. See Raj v. La. State Univ. , 714 F.3d 322, 331 (5th Cir. 2013) ; see also Stone v. La. Dep't of Revenue , 590 Fed.Appx. 332, 339 (5th Cir. 2014), cert. denied , ––– U.S. ––––, 135 S.Ct. 2814, 192 L.Ed.2d 849 (2015). In that inquiry, it can be helpful to reference the McDonnell Douglas framework, on which Chhim would continue to rely if he based his claim on circumstantial evidence, and under which Chhim would ultimately have to show that: (1) he is a member of a protected class; (2) he was qualified and applied for the job; (3) the employer rejected him for the job despite his qualifications; and (4) a similarly situated applicant outside the protected class was hired. See Haskett v. T.S. Dudley Land Co. , 648 Fed.Appx. 492, 495 (5th Cir. 2016) (unpublished); Mitchell v. Crescent River Port Pilots Ass'n , 265 Fed.Appx. 363, 370 (5th Cir. 2008).

McDonnell Douglas Corp. v. Green , 411 U.S. 792, 93 S.Ct. 1817, 36 L.Ed.2d 668 (1973).



Although Haskett and Mitchell are not “controlling precedent,” they “may be [cited as] persuasive authority.” Ballard , 444 F.3d at 401 n.7 (citing 5th Cir. R.47.5.4).



Ultimately, Chhim fails to plead sufficient facts to make a plausible claim that the University rejected his application for the Building Services Supervisor position because of his race, color, or national origin. See Raj , 714 F.3d at 331. Chhim's allegations turn on the assertion that the University discriminatorily hired a less qualified, similarly situated applicant over Chhim. However, even taking Chhim's allegations as true and construing them liberally, we cannot “draw the reasonable inference that the [University] is liable for the misconduct alleged.” Stone , 590 Fed.Appx. at 339 ; see also Taylor , 296 F.3d at 378.

Chhim pleads no facts that suggest the applicant hired by the University was less qualified than Chhim or was similarly situated. Chhim claims he possessed more relevant experience than the applicant chosen, but this seems based on the implicit assumption that the other applicant only had custodial experience with the University, and no relevant supervisory experience or superior writing and communication skills. The document Chhim attached and that he often refers to from the TWC states that the person hired “was Hispanic, Mexican–American, age 42 and has more than 25 years of experience working in the [University's] custodial department.” This does not preclude the applicant from having worked in supervisory roles with the University or elsewhere, and it does not suggest that Chhim is better qualified than this applicant.

Chhim briefed before the district court that his experience includes several years of training from Houston Community College and San Jacinto College in housekeeping, management, and maintenance technology, and that he has more than 17 years of experience as a custodian and custodial supervisor.



Additionally, Chhim's complaint acknowledges that the University's “preferred qualifications” included a “[d]emonstrated ability to write complex documents” and “[e]xcellent written and oral communication skills,” and that the University's expressed reason for not hiring Chhim was that he did not meet these requirements. Yet, Chhim's complaint contains no facts plausibly suggesting that Chhim was better or equally qualified for the supervisory position than the person the University hired, by these metrics or others. Cf. Mitchell , 265 Fed.Appx. at 370. In sum, Chhim's complaint “did not allege any facts, direct or circumstantial, that would suggest [the University's] actions were based on [Chhim's] race or national origin or that [the University] treated similarly situated [applicants] of other races or national origin more favorably.” Raj , 714 F.3d at 331. We affirm the dismissal of Chhim's Title VII claim.

The district court also dismissed Chhim's retaliation allegations for failure to state a plausible claim. Chhim avers that the University did not hire him for the Building Services Supervisor position, about which Chhim was notified on March 7, 2014, in retaliation for grievances or charges Chhim filed claiming that the University was discriminating against him. First, the district court correctly dismissed any attempt to argue that the charge submitted in November 2014 or the grievance submitted on March 21, 2014, could plausibly provide a basis for retaliation in the decision not to hire Chhim on March 7, 2014. The University could not have refused to hire Chhim in retaliation for grievances he had not yet filed. See, e.g. , Stone , 590 Fed.Appx. at 341 (concluding a complaint failed to state a claim for retaliation when the adverse action occurred before grievances were filed, and thus the plaintiff failed to show “a causal connection between the protected activity and the adverse employment action”). This same logic applies to the grievance Chhim filed on March 7, 2014, after he was told that he was not hired for the Building Services Supervisor position. See id. That leaves only Chhim's complaints of discrimination that he alleges he made in December 2013 and January 2014.

Chhim also mentions other applications he submitted to the University before March 20, 2014, but explained repeatedly before the district court that he only challenges the University's failure to hire him on March 20, 2014. Additionally, Chhim's complaint and briefing refer often to a position he applied for on March 20, 2014, and seem to confuse his claims for disparate treatment and retaliation with his application on March 20. It is clear from his pleadings and the documents incorporated by reference that the Hispanic applicant to whom Chhim refers was hired instead of Chhim for the “Building Services Supervisor—Night Shift” position, for which Chhim was notified that he was not hired on March 7, 2014. His allegations and documentation do not indicate that Chhim has been formally rejected regarding the position to which he applied on March 20, 2014, as “Building Attendant Leader.”



Although Chhim did not clearly allege in his initial pleadings that he made the complaints in January 2014 and on March 7, 2014, nor that his retaliation claim was based on these complaints, we construe his pleadings liberally in light of Chhim's explanatory statements in briefing before the district court. See Taylor , 296 F.3d at 378.




We cannot consider these allegations because he failed to exhaust these claims. In order to give notice to defendants of potential claims and to ensure that the Equal Employment Opportunity Commission (“EEOC”) can investigate and obtain voluntary compliance with the law, Title VII requires that claims be brought with the EEOC before courts may consider them. See generally Pacheco v. Mineta , 448 F.3d 783, 788–89 (5th Cir. 2006) (citing Sanchez v. Standard Brands, Inc. , 431 F.2d 455, 466–67 (5th Cir. 1970) ). We construe EEOC claims liberally, but we will not consider claims that were not asserted before the EEOC or that do not fall within “the scope of the EEOC investigation which ‘can reasonably be expected to grow out of the charge of discrimination’ ” a plaintiff makes before the EEOC. Id. (citation omitted).


In this case, Chhim only mentioned one grievance that he made with the University in his charge of discrimination before the EEOC—the grievance he filed in September 2014. Chhim's failure to mention any grievances that were filed before the University's decision not to hire him in March 2014 means that the scope of his retaliation charge before the EEOC and the scope of the EEOC's investigation could not reasonably be expected to reach those claims. See id. Chhim failed to exhaust his retaliation claims based on grievances filed in December 2013 and January 2014. We therefore affirm the district court's decision to dismiss Chhim's retaliation allegations.

AFFIRMED.