[CERTIFIED FOR PARTIAL PUBLICATION
Plaintiff and appellant Conchita Franco Serri brought this action against her former employer (defendant and respondent Santa Clara University (the University)) and other individually named defendants after the University terminated her employment. Serri had worked as the University's director of affirmative action since 1992. The University terminated her employment in 2007 because she failed to produce affirmative action plans for three consecutive years, even though her job required that she produce an affirmative action plan annually. The University also terminated her employment because she made misrepresentations about the plans that she had failed to prepare.
Notwithstanding Serri's failure to produce the required plans — and the misrepresentations she made about the nonexistant plans — Serri filed a complaint alleging that she was wrongfully discharged from her employment based on her race and ethnic origin. Her complaint also contained causes of action for breach of her employment contract, retaliation and harassment in violation of the California Fair Employment and Housing Act (Gov. Code, § 12900 et seq.), violation of the federal Equal Pay Act of 1963 (Pub.L. No. 88-38 (June 10, 1963) 77 Stat. 56), defamation, intentional and negligent infliction of emotional distress, and interference with prospective economic advantage. Defendants moved for summary judgment, or in the alternative, summary adjudication of each of Serri's causes of action.
In this case, expert evidence that the failure of performance did not harm the University, acquired years after Serri was terminated, did not create a triable issue of material fact on the question whether the University's stated reasons for terminating Serri were untrue or pretextual such that a reasonable trier of fact could conclude that the employer engaged in discrimination. Before she was terminated, Serri told the University her failure to prepare an affirmative action plan could have adverse consequences, including the loss of federal grants. That the University ultimately suffered no adverse consequences did not create a triable issue on the questions whether the University had a legitimate, nondiscriminatory reason to terminate her employment or whether its reasons for doing so were untrue or pretextual. We also reject Serri's other contentions. Accordingly, we will affirm the summary judgment.
For almost 15 years, from the latter half of 1992 until March 2007, Serri was employed by the University as its director of affirmative action. Her duties included handling and either mediating or investigating complaints filed by faculty, students, and staff under the University's anti-discrimination and anti-harassment policy, which the University refers to as "Policy 311." Serri's duties also included preparing the University's annual Affirmative Action Plan
Defendants John Ottoboni and Julie Veit are attorneys. Veit is Ottoboni's daughter. Before 2007, they both worked for a law firm that served as outside counsel to the University. In the fall of 2006, the University hired Ottoboni as its in-house general counsel, effective January 1, 2007. In late January 2007, Veit started working for the University as an in-house legal associate to the human resources department. Veit reported to McDonald, not Ottoboni.
The University's Affirmative Action Plan
Serri testified in deposition that there were three major components to the University's Affirmative Action Plan. The first component had two parts: (1) a narrative report that Serri prepared, and (2) several statistical analyses that her assistant Linda Jocewicz prepared based on data provided by the human resources department. The AAP narrative contained the University's "critical self analysis" and discussed specific topics as required by the Code of Federal Regulations. The statistical analyses part included a workforce analysis, a job group analysis, and an availability analysis ("an estimate of the number of qualified minorities and women available for employment" in specific job groups). The other two components of the AAP were the "applicant flow" and the "glass ceiling part," which Serri testified she never prepared because she was never given the data she needed to complete those components.
Events in 2003 and 2004
McDonald started working for the University in May 2003. Shortly thereafter, Serri told McDonald that she had had difficulty obtaining the data she needed to complete the statistical portion of the AAP's from McDonald's predecessor. McDonald promised her full cooperation and encouraged Serri to contact her if she encountered any problems with the human resources department.
Serri reported directly to Father Locatelli for many years. In about 2003, Father Locatelli began considering changing their reporting relationship and having Serri report to McDonald instead. Serri objected and wrote him a
Serri's Wage Complaint
On November 7, 2005, Serri sent Father Locatelli a letter in which she complained about an "unjustifiable salary disparity" between her salary and that of Charles Ambelang, a male employee in the human resources department whose job functions Serri alleged were comparable to her own. Serri said she had informed McDonald of the salary disparity in March 2005. Her letter asked Father Locatelli to "remedy this inequity ... without further delay."
April 6, 2006 Meeting Between Serri, Father Locatelli, McDonald, and Veit
In 2006, Father Locatelli ultimately determined that he did not have sufficient time to manage Serri's department and decided that Serri would report directly to McDonald, but would provide him with monthly updates regarding her activities, thus creating what the parties referred to as a "dotted-line" reporting relationship between Serri and Father Locatelli.
Father Locatelli met with McDonald and Serri on April 6, 2006, to discuss the reporting changes and other issues. At that meeting, Father Locatelli reassured Serri that the change in their reporting relationship was not a demotion. He noted that other reporting changes were also taking place.
Shortly after the April 6, 2006 meeting, Serri took a medical leave of absence from the University to have surgery. Serri returned from her medical leave on June 20, 2006. Shortly thereafter, the University offered to make an equity adjustment to her salary, increasing it from $104,000 to $118,350 per year retroactive to March 1, 2005, the date Serri first informed McDonald of the alleged salary disparity. The University also offered Serri a 3.5 percent merit increase for the 2006-2007 academic year, which brought her salary up to $122,492 per year effective July 1, 2006. At that time, the University was in the process of having an outside consultant, Mercer Human Resources
Serri's June 2006 Discrimination Claim
On June 21, 2006, the same day the University offered to make an equity adjustment to Serri's salary, Serri made a formal written complaint against Father Locatelli and Warren under Policy 311. Serri's complaint against Father Locatelli alleged gender discrimination because she made $20,000 per year less than Ambelang;
Since it would have been inappropriate for Serri to investigate her own claims, the University hired an independent investigator for these claims. University representatives asked Ottoboni, who was then outside counsel for the University, for a recommendation. Ottoboni recommended Steven Manchester, an attorney with over 35 years of experience. The University then hired Manchester to investigate Serri's claims.
On July 30, 2006, Manchester issued a written report in which he found that Serri's claims were without merit and that neither Father Locatelli nor Warren had violated Policy 311. Serri appealed Manchester's findings to the University's board of trustees (Board). The Board held a hearing on September 12, 2006. Serri, who was represented by counsel, presented documents and argument in support of her appeal. The Board affirmed Manchester's findings.
Serri's Working Relationship with Veit
As assistant vice-president for human resources, McDonald regularly worked with outside counsel, including Veit. From time to time Veit, who practiced employment law, gave the University legal advice on matters that Serri handled, including the investigation of complaints and sexual harassment training. Veit often attended McDonald's meetings with Serri. On
Serri Discloses Her Failure to Prepare Affirmative Action Plans
Father Locatelli asked to meet with McDonald and Serri in mid-October to discuss Serri's cases. To prepare for the meeting, Father Locatelli asked Serri to provide him with a written report by October 10, 2006, regarding the status of the cases she had handled between April and September 2006. The meeting was ultimately scheduled for October 13, 2006.
About a week before the meeting, on October 5, 2006, Serri filed discrimination claims against the University with the California Department of Fair Employment and Housing (DFEH) and the federal Equal Employment Opportunity Commission (EEOC). The claims alleged (1) discrimination on the basis of sex, race, and national origin and (2) retaliation for complaining about discrimination and a violation of the Equal Pay Act of 1963.
On October 10, 2006, at one of her regular meetings with McDonald and Veit, Serri told McDonald that the University "had not had a defensible Affirmative Action Plan" for several years. Serri was upset that her assistant, Linda Jocewicz, had not been trained on certain computer software so she could access human resources data she needed to prepare the statistical analyses part of the AAP. Serri stated that during the entire time that she was the director of affirmative action, she never received the data she needed to complete the AAP's. This was the first McDonald had heard of this and she immediately became concerned. McDonald agreed to provide Serri with whatever data she needed and Serri agreed to provide Veit with a copy of the most recent AAP. After Serri's disclosure, Warren became concerned that the University could lose certain government funding because it did not have a defensible AAP.
Serri and Father Locatelli exchanged a series of e-mails in preparation for their October 13, 2006 meeting. On October 12, 2006, Father Locatelli told Serri their meeting would include a review of her cases as of September 30, as well as the "current Affirmative Action [P]lan." He asked her to "bring the current Affirmative Action [P]lan and all plans for the last 10 years" to the meeting.
Serri responded via e-mail, stating in part, "In the spirit of open communication I must say that I find the tone of your emails hostile." She also stated, "To this date, I have never received the completed data we need to complete the Affirmative Action Plan, even though we have asked for it in the past
At the meeting on October 13, 2006, Serri produced two documents that were labeled "
At the October 13, 2006 meeting, Serri said (1) she was not an expert in AAP's; (2) she needed to hire a consultant to help prepare the AAP's because the applicable regulations had changed; and (3) her assistant had failed to obtain the data she needed to prepare the statistical analyses part of the AAP from human resources. Serri repeated her previous statement that the University had no current, defensible AAP; she also said the University was likely to be audited by the federal government and recommended the University hire Anna Maly, an AAP consultant, at a cost of $9,000, to revamp its AAP and to create a template for future AAP's. Prior to this meeting, Serri had never told McDonald she did not feel competent to prepare the AAP or that she needed a consultant to help her prepare it.
Father Locatelli, Warren, McDonald, Ottoboni, and Veit met on October 18, 2006, to discuss the problems related to the University's AAP. They decided that McDonald would take over the responsibility of completing the 2006 AAP. On October 19, 2006, McDonald sent Serri an e-mail informing her that she (McDonald) would be "facilitate[ing] the coordination of this year's Affirmative Action Plan" in light of Serri's statements that (1) the AAP was "incomplete and indefensible," (2) she was unable to "produce a defensible plan without hiring a consultant," and (3) it was likely the University would be audited. The reassignment of duties was also based on McDonald's review of the draft Plans Serri had prepared and the fact that the University had not had an AAP since 2003. McDonald asked Serri to provide the exhibits and the statistical analyses that were referenced in the draft AAP's. She also informed Serri that she was asking University counsel to review the AAP.
Serri objected to the reassignment of her duties relating to the 2006 AAP in an e-mail dated October 20, 2006, stating that the preparation of the AAP was "one of those roles that define [her] position" and that she felt "compelled to protest this act to the EEOC as an act of retaliation." She stated that (1) regulations governing AAP's had changed; (2) since 2004, she has needed to hire a consultant to prepare an AAP that was defensible and complete in light of the new regulations; (3) Father Locatelli never gave her permission to hire a consultant; and (4) McDonald's predecessor had denied her "essential data" and computer training needed to complete past AAP's. Serri also blamed the problem with the AAP's on Father Locatelli's "unwillingness to communicate" with and supervise her for six years.
Serri's October 2006 Claims
On October 20, 2006, Serri lodged a second complaint under Policy 311, in which she claimed that McDonald's assumption of responsibility for the AAP was an act of retaliation for Serri's prior Policy 311 and EEOC claims. On or about October 24, 2006, Serri filed a second claim against the University with the DFEH, which was forwarded to the EEOC, in which she claimed that taking away her "essential job function" of preparing the AAP was "a demotion" that was retaliatory in nature.
On October 23, 2006, Serri told McDonald that she no longer wanted Veit attending their meetings. But McDonald decided that Veit would continue to attend their meetings so they could discuss Serri's cases and projects with Veit present. She also believed "it was important to have another person present for the conversations with Ms. Serri in light of past disagreements about what had transpired in earlier discussions." Veit attended only two or three more of Serri's meetings with McDonald, all in the fall of 2006. On November 13, 2006, Serri added an allegation to her second Policy 311 claim that Veit's presence at her meetings with McDonald was an act of retaliation against her.
Ottoboni and Veit Obtain Employment With the University
In 2006, the University decided to hire a full-time, in-house general counsel and offered Ottoboni the job. The University announced Ottoboni's appointment as general counsel in the fall of 2006 and he started working directly for the University on January 1, 2007.
In the latter part of 2006, McDonald recommended the University hire an in-house attorney for the human resources department who would report directly to McDonald. Warren approved and the University advertised the position in December 2006. Veit applied and was offered the job; she started working directly for the University in late January 2007. Serri's duties did not change after Veit was hired. Serri's job and Veit's job were and remained separate and distinct.
Results of Second Investigation
On January 17, 2007, Fredkin and MacLeod issued a report in which they concluded that Serri had failed to meet her burden of proof on her retaliation claims. Serri appealed the decision to the Board and on February 13, 2007, the Board affirmed the investigators' findings.
The University Terminated Serri's Employment
In October 2006, Warren recognized the seriousness of Serri's failure to complete the AAP's. He believed preparation of the AAP's was a "critical
After the appeal of Serri's second claim was completed, Warren decided to terminate Serri. He made the decision himself instead of deferring to McDonald because he believed "Serri's misconduct to be sufficiently grave as to require [his] personal intervention." On March 7, 2007, Warren hand delivered a letter to Serri, advising her that she was being terminated for three reasons: (1) her "failure to prepare, develop and implement the University Affirmative Action Plan for years 2003-2004, 2004-2005, and 2005-2006"; (2) her "failure to disclose to [her] supervisors the nonexistence of the University Affirmative Action Plans" for those years; and (3) her "misrepresentations related to the Affirmative Action Plans." Warren considered these acts to be "gross misconduct sufficient to warrant [Serri's] immediate termination" without corrective action. When he delivered the letter, Warren was accompanied by Ingrid Williams, an employee of the human resources department, who helped Serri gather her personal belongings.
After the University terminated Serri, it hired Deborah Hirsch, a woman from outside the University who was the same age as Serri, as the director of affirmative action. Hirsch started working for the University in October 2007.
Declaration of Linda Campbell
In declarations, Linda Campbell, who had been the University's director of sponsored projects for 12 years, stated that virtually all grant and contract applications the University submits to federal, local and state governments require the University to certify certain things, including that the University has completed its annual AAP. Prior to 2002, Serri personally signed the AAP certifications. But after Serri's office was moved to another building in 2002, Campbell and Serri agreed that Campbell would sign the certifications. Campbell assumed Serri would notify her promptly if there was any reason she could not sign the certification forms. Campbell talked to Serri about the certifications two or three times a year; they communicated about them via e-mail and Campbell occasionally provided Serri with copies of documents the University was being asked to sign. From 2003 until 2006, the University certified on multiple occasions that it was in compliance with regulations requiring AAP's. As examples, Campbell attached copies of two grant applications the University submitted to two different federal agencies in December 2005 and March 2006, in which the University certified that it had developed an AAP as required by the rules and regulations of the United
On September 21, 2006, Campbell sent Serri an e-mail in which she wrote that the City of San José wanted a copy of the University's AAP "as part of our award paperwork for this year." Campbell asked Serri whether the University released its AAP. Serri responded that the University could not release its AAP because "it has proprietary, sensitive information that can compromise the University in case we get sued by job applicants.... We have never released it." Serri did not tell Campbell the University did not have an AAP and had not had one for three years. Serri offered to send Campbell "a summarized, sanitized version" of the AAP, but stated that "it is still not a good idea." In deposition, Serri testified that the "sanitized version" she mentioned in her e-mail was the narrative summary, like the draft AAP's she prepared in October 2006. Serri also testified that she knew people in the grants office were certifying that the University had an APP when in fact no AAP had existed for three years.
Serri filed her original complaint on June 20, 2007. The operative pleading is Serri's fourth amended complaint, which was filed in July 2008, after the trial court sustained defendants' demurrers to previous complaints with leave to amend.
The fourth amended complaint (hereafter sometimes "complaint") alleges causes of action against the University for employment discrimination, tortious discharge, violation of the California Equal Pay Act (Lab. Code, § 1197.5), breach of an implied contract of continued employment, bad faith, and retaliation in violation of the Fair Employment and Housing Act (FEHA; Gov. Code, § 12940, subd. (h)). The complaint asserts causes of action against the University, Father Locatelli, McDonald, and Warren for defamation, intentional infliction of emotional distress, and negligent infliction of emotional distress. The complaint includes a cause of action for harassment (Gov. Code, § 12940, subd. (j)) against the University, Father Locatelli, McDonald, and Veit. Finally, the complaint alleges a cause of action against Ottoboni and Veit for interference with prospective economic advantage.
The defendants were divided into two groups represented by two separate lawyers: (1) the University and Father Locatelli were represented by attorney Allen Ruby and (2) Warren, McDonald, Ottoboni, and Veit were represented by attorney Sonya Winner. We shall hereafter refer to Warren, McDonald,
On April 12, 2011, the court set the case for trial on September 6, 2011. On May 17, 2011, Warren, McDonald, Ottoboni, and Veit each filed and served a motion for summary judgment or, in the alternative, summary adjudication. The following day (May 18, 2011), the University and Father Locatelli filed and served their joint motion for summary judgment or summary adjudication in the alternative. All five motions were scheduled for hearing on August 2, 2011.
On July 8, 2011, Serri made an ex parte application to continue both the hearing on the motions for summary judgment and the trial date for four weeks so she could complete additional discovery she needed to oppose the motions. After giving the Defendants an opportunity to file written opposition and holding a hearing on Serri's application, the court granted Serri's requests in part. The court continued the hearing on the motions for summary judgment from August 2, 2011, to August 25, 2011; extended the deadline for Serri to file opposition to the motions from July 19, 2011, to August 11, 2011; but denied Serri's request to continue the trial date.
On August 11, 2011, Serri filed her opposition to the motions for summary judgment, which consisted of a single memorandum of points and authorities, five separate statements (one in response to each of Defendants' five separate statements), the declarations of her counsel and of John Fox (an expert on AAP's), and 408 exhibits. Although Serri's evidence included excerpts from her deposition, she did not file a declaration in support of her opposition. Regarding the employment discrimination claims, Serri asserted that the stated reasons for her termination were false and that there was evidence of discriminatory animus.
On page 1 of her memorandum of points and authorities in opposition to the motions, Serri requested a further continuance of the summary judgment motions "to obtain the essential remaining discovery she needs to oppose [the] motions." Serri stated that she needed to depose Linda Campbell and a person most knowledgeable from the University, asserted that the University had refused to produce those witnesses, and argued that she could not "adequately oppose the motions without that discovery."
On August 19, 2011, Defendants filed papers in reply to Serri's opposition to the motions for summary judgment, including memoranda of points and authorities, separate statements in reply to Serri's opposition, and objections to Serri's evidence. Defendants also opposed Serri's request for a second
On August 23, 2011, two days before the hearing, Serri's counsel submitted additional points and authorities and a declaration supporting his second request for a continuance.
On August 24, 2011, the day before the hearing on the motions for summary judgment, Serri filed written responses to the Defendants' objections to her evidence. Later that day, the court issued a written tentative ruling sustaining Defendants' objections to Serri's evidence and granting each of the motions for summary judgment. Serri objected to the tentative ruling and requested oral argument.
On August 25, 2011, at the hearing on the motions for summary judgment, Serri filed an additional 37 pages of written objections to Defendants' evidence. She also filed a written statement of disqualification objecting to having Judge Mark Pierce hear the motions for summary judgment pursuant to section 170.3, on the grounds that he had failed to disclose that (1) he was a graduate of the University, and (2) he had made financial contributions to the University. After conducting a hearing on Serri's disqualification request, the court denied it as untimely and then heard argument on the motions for summary judgment.
On August 30, 2011, the court issued its order on the motions for summary judgment. The court denied Serri's second request for a continuance to do additional discovery, overruled Serri's objections to Defendants' evidence, sustained Defendants' objections to Serri's evidence, and granted each of the motions for summary judgment. Although it sustained Defendants' objections to Serri's evidence, the court stated: "Regardless, after a comprehensive review of all of the evidence submitted by Plaintiff, the Court finds that even if it found Plaintiff's evidence to be admissible, it would not impact and/or change any of the rulings" on the motions for summary judgment.
On August 30, 2011, the court entered judgment in favor of Defendants, determined that Defendants were prevailing parties, and awarded Defendants their costs of suit. On September 2, 2011, the court issued a written order striking Serri's statement of disqualification.
On September 12, 2011, Serri filed a petition for writ of mandate in this court, in which she requested an order directing the trial court to vacate its
Serri challenges the order granting summary judgment on procedural grounds and on the merits. Procedurally, she argues that the court erred when it (1) denied her section 170.3 motion to disqualify Judge Pierce; (2) denied her second motion for a continuance of the hearing on the summary judgment motions; and (3) sustained Defendants' objections to her evidence. On the merits, Serri challenges the summary adjudication of each of her causes of action and, thus, the orders granting summary judgment. We begin by addressing Serri's procedural challenges.
III. Defendants' Objections to Serri's Evidence
Serri contends the trial court abused its discretion when it sustained all of Defendants' objections to the evidence she submitted in opposition to the motions for summary judgment. Acknowledging the court's statements that it conducted "a comprehensive review" of all of her evidence, and even if it had found her "evidence to be admissible, it would not impact and/or change any of the rulings," Serri argues that the court committed reversible error when it sustained Defendants' objections to her evidence.
Serri's evidence in opposition to the motions for summary judgment consisted of the declarations of her counsel, Samuel Kornhauser, and an expert witness, John Fox. Kornhauser attached 408 exhibits to his declaration, which consume 1,374 pages of the record on appeal.
Both the University and the Individual Defendants filed written objections to Serri's evidence. The University's objections were 22 pages long; it made
Serri filed a 47-page response to the University's objections. The record contains a similar 63-page document that appears to be a template for responding to the Individual Defendants' objections, but the column entitled "Reasons Why Defendants' Objections are Without Merit" in that document is blank.
One of Defendants' objections was that Serri's evidence included "nearly 200 exhibit tabs for which no exhibits were submitted." In other words, although there were tabs for 408 exhibits, almost half of those tabs did not contain any evidence. The Individual Defendants identified those exhibits by number and also objected to a subset of those exhibits that Serri cited to in her opposition papers. For example, Serri cited exhibits 21, 271, 272, 352, and 378 in her points and authorities, even though no evidence was submitted under those exhibit tabs. At the hearing, Serri's counsel explained that the 408 exhibits were from his trial book and that he told his secretary to take out the exhibits that he was not using to oppose the summary judgment motion, but his secretary forgot to remove the exhibit tabs.
The University objected to a number of Serri's exhibits on the grounds of relevance, arguing that while they were in the 1,374 pages of material Serri submitted, they were not cited anywhere in Serri's opposition papers. Defendants objected that many of the exhibits lacked foundation because they were not properly authenticated, that many were inadmissible hearsay, and others were irrelevant because they did not support the proposition for which they were cited.
In accordance with California Rules of Court, rule 3.1354(c), Defendants filed 71 pages of proposed orders on their objections. Rather than use the
B. Standard of Review
According to the weight of authority, appellate courts "review the trial court's evidentiary rulings on summary judgment for abuse of discretion. [Citations.] As the part[y] challenging the court's decision, it is [Serri's] burden to establish such an abuse, which we will find only if the trial court's order exceeds the bounds of reason." (DiCola v. White Brothers Performance Products, Inc. (2008) 158 Cal.App.4th 666, 679 [69 Cal.Rptr.3d 888] (DiCola); but see Reid, supra, 50 Cal.4th 512, 535 [Supreme Court noted issue but concluded that it need "not decide generally whether a trial court's ruling on evidentiary objections based on papers alone in summary judgment proceedings are reviewed for abuse of discretion or reviewed de novo"] and Nazir v. United Airlines, Inc. (2009) 178 Cal.App.4th 243, 255, fn. 4 [100 Cal.Rptr.3d 296] (Nazir) [observing that the standard of review is unsettled and assuming, without deciding, that the abuse of discretion standard applies].)
This court has stated: "In determining whether a triable issue was raised or dispelled, we must disregard any evidence to which a sound objection was made in the trial court, but must consider any evidence to which no objection, or an unsound objection, was made. (See Reid ..., supra, 50 Cal.4th 512, 534; ... § 437c, subds. (b)(5), (c), (d).) Such evidentiary questions, however, are subject to the overarching principle that the proponent's submissions are scrutinized strictly, while the opponent's are viewed liberally." (McCaskey v. California State Automobile Assn. (2010) 189 Cal.App.4th 947, 957 [118 Cal.Rptr.3d 34].)
C. Objections to Serri's Documentary Exhibits
Citing Nazir, Serri argues that the trial court's "blanket and baseless grant" of all of Defendants' evidentiary objections was an abuse of discretion.
The plaintiff in Nazir, who was of Pakistani ancestry, sued his employer (United Airlines) and a supervisor for discrimination, retaliation, harassment,
The Nazir court also reviewed the objections and concluded that most were either unsupported by any rule or were patently frivolous. (Nazir, supra, 178 Cal.App.4th at pp. 255-257.) The court observed that (1) some of the "objections did not even assert any basis for the objection"; (2) some of the "objections were to [the] plaintiff's testimony about his dates of employment, his religion, his skin color, and his national origin"; (3) "[o]ver 250 of the sustained objections failed to quote the evidence objected to, in violation of California Rules of Court, rule 3.1354"; (4) 27 of the objections "were to [the] plaintiff's brief, not his evidence"; and (5) "many of the objections were frivolous." The court held that all of the plaintiff's admissible evidence was
The only other argument Serri makes regarding her documentary evidence is the contention that the court erred when it sustained Defendants' objections that her evidence lacked foundation. Serri does not, however, discuss this point in the context of any specific exhibit or exhibits. Serri argues that almost all of her exhibits were produced by Defendants in response to her document requests and that "by producing their documents in discovery, [Defendants] have
The Individual Defendants concede that many of Serri's documents bear Bates-stamped numbers indicating they were produced by Defendants. They contend, however, that dozens of exhibits consist of handwritten notes by unidentified authors and other items that require additional authentication. They argue, "Not every document that comes out of an opposing party's files is automatically admissible against even that party, much less as to all others," and that more is required to establish admissibility. We agree.
Serri's only effort to authenticate her exhibits was Kornhauser's declaration that the "exhibits attached hereto are true and correct copies of the originals or excerpts of the originals or copies of documents produced by Defendants in this action or excerpts of the originals of depositions or transcripts of investigations in this case." Since the Individual Defendants have briefed the issue, we shall address the propriety of the trial court's order sustaining Defendants' objections to the handwritten notes.
Serri's evidence includes more than 20 exhibits that consist of handwritten notes (see, e.g., exhibits 38, 43, 68, 75, 76). According to Serri, these are McDonald's notes. However, none of the handwritten notes are signed and there is no evidence they were written by McDonald. To authenticate the notes, Serri could have propounded requests for admission asking McDonald to admit their authenticity and to admit that she wrote them (§ 2033.010). Serri could also have asked McDonald to authenticate the notes when she took McDonald's deposition. There is no evidence in the record that she did either of these things. Furthermore, Defendants did not rely on the notes in their own submission. (Ambriz v. Kelegian (2007) 146 Cal.App.4th 1519, 1526-1529 [53 Cal.Rptr.3d 700] [trial court erred in sustaining authentication, foundation, and other objections to deposition excerpts in the plaintiff's evidence where the moving parties relied on the same depositions].) In addition, many of the notes, to the extent we can decipher them, appear to document conversations with other persons and are therefore hearsay. Since Serri did not meet her burden of demonstrating the admissibility of the handwritten notes, the trial court did not err in sustaining objections to them.
As for the remainder of Serri's documentary exhibits, this case is distinguishable from Nazir since Defendants' objections do not suffer from the same defects as those in Nazir. Serri fails to cite examples of objections that were frivolous and many objections are supported by rules of evidence. On
We also look to Reid for guidance. The defendant employer in Reid had raised more than 175 separate objections to the plaintiff employee's evidence opposing summary judgment. (Reid, supra, 50 Cal.4th at p. 533.) Rather than rule on the objections, the trial court made what was known as a Biljac ruling and stated, "`The Court declines to render formal rulings on evidentiary objections. In ruling, the Court relied on competent and admissible evidence pursuant to Biljac Associates v. First Interstate Bank [(1990)] 218 Cal.App.3d 1410, 1419-1429 [267 Cal.Rptr. 819].'" (Reid, at p. 533.) The Reid court disapproved of Biljac "to the extent it permits the trial court to avoid ruling on specific evidentiary objections." (Reid, at p. 532 & fn. 8.) The court held that the "trial court must rule expressly on those objections. [Citation.] If the trial court fails to rule, the objections are preserved on appeal." (Id. at p. 532, fn. omitted, citing Vineyard Springs Estates v. Superior Court (2004) 120 Cal.App.4th 633, 642-643 [15 Cal.Rptr.3d 587] [trial courts have a duty to rule on evidentiary objections presented in proper form].)
The Supreme Court "recognize[d] that it has become common practice for litigants to flood the trial courts with inconsequential written evidentiary objections, without focusing on those that are critical. Trial courts are often faced with `innumerable objections commonly thrown up by the parties as part of the all-out artillery exchange that summary judgment has become.' [Citation.] Indeed, the Biljac procedure itself was designed to ease the extreme burden on trial courts when all `too often' `litigants file blunderbuss objections to virtually every item of evidence submitted.' [Citations.] To counter that disturbing trend, [the Supreme Court] encourage[d] parties to raise only meritorious objections to items of evidence that are legitimately in dispute and pertinent to the disposition of the summary judgment motion. In other words, litigants should focus on the objections that really count. Otherwise, they may face informal reprimands or formal sanctions for engaging in abusive practices. At the very least, at the summary judgment hearing, the parties — with the trial court's encouragement — should specify the evidentiary objections they consider important, so that the court can focus its rulings on evidentiary matters that are critical in resolving the summary judgment motion." (Reid, supra, 50 Cal.4th at pp. 532-533, fns. omitted, italics added.)
The trial court's ruling here is different from the Biljac ruling that was disapproved of in Reid, but is equally problematic. The trial court in Reid declined to rule on the evidentiary objections, but stated that it was relying only "`on competent and admissible evidence.'" (Reid, supra, 50 Cal.4th at p. 533.) In this case, the court ruled on the objections — its blanket ruling sustained all of the objections and observed that many of the exhibits lacked foundation, were inadmissible hearsay, or were irrelevant because they were not cited in Serri's opposition. This blanket ruling was "hardly a ruling," provided no meaningful basis for review, and could be treated as a failure to rule. (Nazir, supra, 178 Cal.App.4th at p. 255.) The ruling was similar to trial court rulings under the Biljac procedure that was disapproved of in Reid since the result in both situations is a failure to rule on the objections.
After the court sustained all of Defendants' objections, it stated that even if Serri's evidence was admissible, it would not impact or change any of the court's rulings. This statement does not provide any more guidance than a Biljac ruling. Defendants objected to all but 13 of Serri's 408 exhibits. Under the trial court's ruling, then, either most of Serri's evidence was excluded or all of it was admitted.
Given the number of objections and the fact that some were sustained in error, we follow Nazir and hold that the trial court abused its discretion by issuing a blanket ruling on Defendants' objections.
Finally, "[i]n regard to whether the evidentiary ruling was harmless, an erroneous evidentiary ruling requires reversal only if `there is a reasonable probability that a result more favorable to the appealing party would have been reached in the absence of the error. [Citation.]'" (Palms, supra, 210
We have already addressed Defendants' objections to the handwritten notes and held that the court properly sustained them. Rather than discuss any other exhibits here, we will discuss the admissibility of other evidence that Serri relies on in the balance of this opinion as it relates to the substantive issues she raises on appeal.
D. Objections to John Fox's Declaration
On appeal, Serri relies on the portion of Fox's declaration in which he opines that the University would not suffer any adverse consequences as a result of not having an AAP. Without deciding whether the trial court erred when it sustained Defendants' objections to this portion of Fox's declaration, we shall assume this portion of the declaration is admissible and will consider it in our review on appeal.
IV. The Court Properly Granted Summary Judgment
We begin by summarizing the legal principles that govern motions for summary adjudication and summary judgment in general. We then discuss rules that are unique to summary adjudication and summary judgment in employment cases.
A. Standard of Review
We review an order granting summary judgment de novo. (Aguilar v. Atlantic Richfield Co. (2001) 25 Cal.4th 826, 860 [107 Cal.Rptr.2d 841, 24 P.3d 493] (Aguilar); Guz v. Bechtel National, Inc. (2000) 24 Cal.4th 317, 334 [100 Cal.Rptr.2d 352, 8 P.3d 1089] (Guz).) The trial court's ruling on a motion for summary adjudication, like that on a motion for summary judgment, is subject to this court's independent review. (Certain Underwriters at Lloyd's of London v. Superior Court (2001) 24 Cal.4th 945, 972 [103 Cal.Rptr.2d 672, 16 P.3d 94].) In determining whether summary judgment was proper, we analyze the propriety of granting summary adjudication with regard to each of Serri's causes of action.
In undertaking our independent review, we apply the same three-step analysis used by the trial court. First, we identify the issues framed by the pleadings. Second, we determine whether the moving party has established facts justifying judgment in its favor. Finally, in most cases, if the moving
In performing our review, we view the evidence in a light favorable to the losing party (Serri), liberally construing her evidentiary submission while strictly scrutinizing the moving party's own showing and resolving any evidentiary doubts or ambiguities in the losing party's favor. (Saelzler v. Advanced Group 400 (2001) 25 Cal.4th 763, 768-769 [107 Cal.Rptr.2d 617, 23 P.3d 1143].)
B. General Rules Regarding Summary Judgment and Summary Adjudication
"A motion for summary adjudication shall be granted only if it completely disposes of a cause of action, an affirmative defense, a claim for damages, or an issue of duty." (§ 437c, subd. (f)(1).) The statute thus authorizes motions for summary adjudication that "reduce the costs and length of litigation" by limiting the substantive areas of dispute. (Lilienthal & Fowler v. Superior Court (1993) 12 Cal.App.4th 1848, 1852 [16 Cal.Rptr.2d 458]; see Catalano v. Superior Court (2000) 82 Cal.App.4th 91, 97 [97 Cal.Rptr.2d 842].)
Summary judgment motions serve a similar purpose, namely "to identify those cases in which there is no factual issue which warrants the time and cost of factfinding by trial." (Martin v. Lockheed Missiles & Space Co. (1994) 29 Cal.App.4th 1718, 1735 [35 Cal.Rptr.2d 181] (Martin).) Thus, the object of both procedures is "to cut through the parties' pleadings" to determine whether trial is necessary to resolve their dispute. (Aguilar, supra, 25 Cal.4th at p. 843.)
Summary adjudication motions are "procedurally identical" to summary judgment motions. (Dunn v. County of Santa Barbara (2006) 135 Cal.App.4th 1281, 1290 [38 Cal.Rptr.3d 316].) A summary judgment motion "shall be granted if all the papers submitted show that there is no triable issue as to any material fact and that the moving party is entitled to a judgment as a matter of law." (§ 437c, subd. (c).) To be entitled to judgment as a matter of law, the moving party must show by admissible evidence that the "action has no merit or that there is no defense" thereto. (Id., subd. (a).) A defendant moving for summary judgment meets this burden by presenting evidence demonstrating that one or more elements of the cause of action cannot be established or that there is a complete defense to the action. (Id., subds. (o), (p)(2); Aguilar, supra, 25 Cal.4th at pp. 849-850, 853-854.) Once the defendant makes this showing, the burden shifts to the plaintiff to show that a triable issue of
C. Summary Judgment/Summary Adjudication in Employment Cases
If the employer meets its initial burden, the burden shifts to the employee to "demonstrate a triable issue by producing substantial evidence that the employer's stated reasons were untrue or pretextual, or that the employer acted with a discriminatory animus, such that a reasonable trier of fact could conclude that the employer engaged in intentional discrimination or other unlawful action." (Cucuzza v. City of Santa Clara (2002) 104 Cal.App.4th 1031, 1038 [128 Cal.Rptr.2d 660] (Cucuzza).)
D. First and Second Causes of Action: The Trial Court Properly Granted Summary Adjudication of Serri's Employment Discrimination and Tortious Discharge Claims
The trial court granted the University's motions for summary adjudication of Serri's causes of action for employment discrimination, tortious discharge, and retaliation in violation of the FEHA, finding that the University had presented sufficient evidence that Serri's termination was based upon legitimate, nondiscriminatory factors and that she was terminated for failing to competently perform her job duties. The court also found that Serri failed to produce substantial evidence that the University's reasons were untrue or pretextual or that the University acted with a discriminatory animus.
On appeal, Serri argues that the trial court erred because it failed to consider all of the evidence and it improperly weighed conflicting evidence. In particular, Serri contends the court failed to consider evidence that the University prevented her from doing her job by refusing to (1) hire a consultant to help her prepare the AAP's, (2) provide the data she needed to complete the AAP's, (3) train her assistant, Linda Jocewicz, to use certain computer software so she could retrieve the pertinent data herself, and (4) allow Serri to attend seminars to update her skills. Serri also contends the court failed to consider that preparation of the AAP's was a minor part of her job.
The University contends Serri was terminated for legitimate, nondiscriminatory business reasons, namely that she (1) "failed to prepare, develop and implement" the University's AAP's for three years; (2) failed to disclose the nonexistence of those AAP's to her supervisors; and (3) made "misrepresentations" related to the AAP's. These are legitimate, nondiscriminatory reasons to explain Serri's termination and are sufficient to shift to Serri the burden of showing a triable issue of their falsity and ultimately of discriminatory motive instead. (Kelly v. Stamps.com Inc. (2005) 135 Cal.App.4th 1088, 1098
Serri attempts to demonstrate falsity and pretext by arguing that there was a disputed factual issue on the question whether preparation of the AAP's was the most important part of her job. Indeed, Defendants relied on evidence, all of which was authored by Serri, that the preparation of the AAP was one of her primary job duties. The job description Serri prepared for McDonald in June 2006 stated more than once that "develop[ing] and implement[ing] the annual affirmative action program for the University" was one of her duties. The personal evaluation she prepared for Father Locatelli in July 2004 discussed her work on the AAP. Her November 2005 letter to Father Locatelli, in which she complained about her salary, listed supervising the preparation of the "federally mandated annual" AAP as one of her job duties and described the AAP as "pivotal and essential for us for obtaining and retaining federal grants." In deposition, Serri confirmed that these statements were true. And in her e-mail to McDonald, protesting the decision to have McDonald take over responsibility for the 2006 AAP, Serri described preparation of the AAP as "one of the roles that define my position."
Serri now disputes that preparation of the AAP's was "the most important part of her job." She cites to Hirsch's testimony that preparation of the AAP
In support of her contention that the University's reasons for terminating her were untrue or pretextual, Serri attempts to contradict her own deposition testimony that after the University became a federal contractor it was "obligated to create the [AAP]." Citing Fox's declaration, she argues that she opined "incorrectly" that the University had to have an AAP. On appeal, she contends she was not an expert in AAP compliance and that the trial court ignored Fox's declaration that the failure to have an AAP for three years would result in "no sanctions, fines or adverse consequences" to the University.
This argument contradicts some of Serri's documentary evidence (documents authored by Serri in which she stated that the University was required to have an AAP) as well as her own deposition testimony. We also note that other portions of Serri's brief (her statement of facts) state that federal contactors like the University are required "to have an AAP in place and update it annually." Fox declared that in his opinion, "no sanctions, fines or adverse consequences will OR CAN ensue against a federal contractor which ... agrees to provide OFCCP [(the Office of Federal Contract Compliance Programs)] with a delinquent AAP." This does not create a triable issue on the question whether the University was required to have an AAP. Indeed, the University does not dispute that it suffered no adverse consequences as a result of Serri's failure to prepare the AAP's.
Serri also argues that the University's stated reason for firing her was untrue since she presented evidence that she had prepared partial AAP's for 2005 and 2006, and the University prevented her from preparing complete AAP's by failing to provide data and a consultant. But it was undisputed that Serri did not prepare the narrative portion of the AAP (the part that she prepared as contrasted with the parts that her assistant prepared) for three years, and that she prepared the draft narratives she presented to McDonald and Father Locatelli on the eve of their October 13, 2006 meeting.
Serri also relies on her deposition testimony that in 1992, 1993, or 1994, after she showed one of her first AAP's to Father Locatelli, she "sensed" that he was reluctant to sign it. Serri testified that Father Locatelli questioned whether the goals set forth in the AAP were quotas and that she "sensed he was not getting it and it was a source of discomfort for him, so she never
Serri also relies on her deposition testimony that Father Locatelli refused to supervise her after 2003 and never asked her about the AAP's. Based on this evidence, Serri argues that since the lack of an AAP was of no concern to Father Locatelli, he could not use her failure to prepare the AAP's between 2004 and 2006 as an excuse to fire her and that, therefore, the reason given for her termination was a pretext.
Having reviewed Serri's evidence and arguments, we conclude that a trier of fact could not reasonably conclude that the University's stated reasons for terminating Serri "were implausible, or inconsistent or baseless." (Hersant, supra, 57 Cal.App.4th at p. 1009.) We therefore hold that Serri has not met her burden of producing substantial evidence that the University's reason for terminating her were pretextual or false and used merely to veil an unlawful act of discrimination.
Serri also claims disparate treatment. She argues that she was treated differently from a high-ranking "white male who made massive job performance errors" that cost the University "over $6 million" but was "not fired or even demoted." In support of this contention, Serri produced a newspaper article that appeared in the Metro (a Silicon Valley weekly newspaper) in November 2003. There is no evidence the newspaper article was produced by Defendants in discovery and Kornhauser, Serri's counsel, failed to authenticate it in his declaration. In addition, the article is clearly hearsay. Defendants objected to the article on the grounds of authentication and hearsay; none of the hearsay exceptions Serri advanced in response to the objection apply.
Serri also argues that Father Locatelli and Joe Sugg, an employee in the University's facilities department, made "repeated" stray remarks about her ethnicity and that "ethnic remarks, even `stray remarks' when coupled with other evidence of pretext can defeat summary judgment." But the argument portion of her brief does not state what those remarks were or tell us where we can find evidence of those remarks in the 5,223-page record. As to this contention, Serri has failed to meet her burden on appeal of providing
In her statement of facts, Serri points to her deposition testimony that Father Locatelli made a discriminatory remark about her clothing once when he said the shawl she was wearing looked like a poncho, and that he made an ethnic remark when he told her he liked her hairstyle better when she blew her curly hair dry because it looked more relaxed and professional. Serri also relies on her deposition testimony that Father Locatelli was "abusive" toward her when he met her in public. According to Serri, instead of saying "Hi" or asking "How are you," he would say, "What do you want?" But Serri does not explain how these statements relate to her ethnicity or national origin. People of many ethnicities and national origins, for example, have curly hair. Nor do we see anything derogatory in saying her shawl looked like a poncho.
Serri claims Joe Sugg made a discriminatory and demeaning remark to her in 2000 when he showed her a potential site for her new office in a building on the outskirts of campus. He said, "It's a wonderful location, look at all the nice places to eat around here," which Serri understood to mean a nearby taqueria. Serri also cites the deposition testimony of Jane Curry in which Curry stated that her (Curry's) department head told Curry she would be paid better if she was less outspoken, not divorced, and Catholic. Serri argues this evidence supports the conclusion that Father Locatelli did not like women, did not like Latinas, and condoned a discriminatory atmosphere at the University.
We conclude that Serri failed to meet her burden of producing substantial evidence that the University's stated reasons for firing her were untrue or pretextual, or that the University acted with a discriminatory animus, such that a reasonable trier of fact could conclude that the University engaged in intentional discrimination or other unlawful action. (Cucuzza, supra, 104 Cal.App.4th 1031, 1038.)
E. Second and Tenth Causes of Action: The Trial Court Properly Granted Summary Adjudication of Serri's Tortious Discharge and Retaliation in Violation of the FEHA Claims
Serri's tenth cause of action alleges that the University terminated her in retaliation for her "lawful and protected actions in pursuing discrimination, harassment, and equal pay claims with the EEOC and DFEH." Her second cause of action for tortious discharge also alleges that she was fired in retaliation for filing complaints with the EEOC and DFEH.
F. Eleventh Cause of Action: The Trial Court Properly Granted Summary Adjudication of Serri's Harassment Claim
Serri's eleventh cause of action alleges harassment in violation of the FEHA (Gov. Code, § 12940, subd. (j)) by the University, Father Locatelli, McDonald, and Veit on account of Serri's national origin, age, and sex.
Serri contends the court erred in granting summary adjudication of her harassment claim because she produced evidence that McDonald falsely accused her of being a liar and untrustworthy, and that "they" intimidated and humiliated her by insisting that Veit attend and take notes at Serri's regular meetings with McDonald. Without citation to evidence in the record, Serri argues that she "was the only [University] employee subjected to this type of humiliation" and asserts that she was treated this way because she is Puerto Rican.
In support of their motions for summary adjudication, both McDonald and Veit declared that they did not make any hostile or derogatory statements to
As for her harassment claim against Father Locatelli, Serri argues that she produced evidence that Father "Locatelli and his subordinates, made and approved of disparaging ethnic remarks about moving her office next to a taqueria[,] ... criticized her dress as looking like a poncho and criticized her hair as too curly." This is the full extent of her argument regarding this claim. As we have explained, to prevail on her harassment claim, Serri is required to produce evidence that she was subjected to offensive comments or other abusive conduct that was based on a protected characteristic (her national origin, age or sex) that was sufficiently severe or pervasive as to alter the conditions of her employment. In our view, Joe Sugg's remark in 2000 that there are "nice places to eat around here" and Father Locatelli's statements that he liked Serri's hairstyle better when she blew her curly hair dry because it looked more relaxed and professional and that her shawl looked like a poncho are not derogatory or offensive or the type of statements that "would have interfered with a reasonable employee's ... work performance and would have seriously affected the psychological well-being of a reasonable employee." (Rehmani, supra, 204 Cal.App.4th at pp. 951-952.) Moreover, these three comments, made over the course of six years, were not so pervasive as to support a claim for harassment. We conclude that the court did not err when it granted the University's and Father Locatelli's motion for summary adjudication of Serri's harassment claim.
G. Third Cause of Action: The Trial Court Properly Granted Summary Adjudication of Serri's Equal Pay Act Claim
H. Fourth and Fifth Causes of Action: The Trial Court Properly Granted Summary Adjudication of Serri's Breach of Contract and Bad Faith Claims
Serri's fourth cause of action for breach of contract alleged that she was not an at-will employee and that her employment contract with the University was "partially oral, partially written in the form of [the University's] Staff Policy Manual." Serri alleged that her employment contract contained promises that she would not be discharged except for good cause and that she would be afforded progressive discipline or remediation if there were problems with her job performance. She alleged that the University breached her employment contract when it terminated her without good cause and without an opportunity to correct any improper conduct. Serri's fifth cause of action alleged that the University breached the implied covenant of good faith and fair dealing in her employment contract.
The University's policy 310 sets forth the University's policies and procedures regarding "Corrective Action for Performance Problems" and outlines the steps to be taken when performance problems arise. It also provides: "In some circumstances the problem is so serious that extraordinary measures other than typical corrective action may need to be taken. Examples of such problems include gross misconduct .... Examples of extraordinary measures include suspension, and/or termination. [¶] If the corrective action is unsuccessful or the problem is so severe as to render corrective action inappropriate or impractical, termination of employment can occur."
In granting summary adjudication of the fourth and fifth causes of actions, the trial court found that the contract permitted termination without an opportunity for corrective action, that the University had good cause to terminate Serri, and that Serri failed to raise a triable issue whether the University acted in good faith or that its reasons for firing her were arbitrary or capricious.
Serri argues that the University did not have good cause to terminate her because it prevented her from preparing the AAP's. She asserts that she did not commit "gross misconduct" and that she presented evidence that preparing the AAP was a minor job duty, that failure to prepare a fully compliant AAP was not significant and would not result in any harm to the University, and that the problem was easily correctable by providing her with an AAP consultant. She also contends the University must not have considered her acts to be gross misconduct, since it did not fire her right away, and that it acted arbitrarily by firing her for a relatively insignificant failure that resulted in no harm.
Undisputed facts established that Serri's job duties included preparing the annual AAP and that she did not prepare the narrative portion of the AAP (the part that Serri, as opposed to her assistant, was charged with preparing) for three years. Serri also told the University that the draft AAP's she presented were indefensible and that the University was likely to be audited by the OFCCP.
Based on all of the admissible evidence in this case, we conclude that the University met its burden of establishing that it acted in good faith and had reasonable grounds for believing Serri engaged in gross misconduct when it decided to terminate her and that its decision was based on "fair and honest reasons." It cannot be reasonably asserted that termination for misrepresenting the status of an important report that impacted the work of other University departments was "trivial, arbitrary or capricious" or unrelated to the University's business needs or goals. (Cotran, supra, 17 Cal.4th at pp. 107-108.) And as we have already held, the University has established that its reasons for terminating Serri were not pretextual, and Serri has failed to raise a triable issue on that point.
As summarized above, Serri argues that her failure to prepare complete AAP's for three years was not gross misconduct, the type of conduct that would be grounds for termination without corrective action under her contract. But even if Serri's evidence created a triable issue with regard to the question whether the failure to prepare AAP's for three years was gross misconduct, it does not create a triable issue on the question whether she misrepresented the existence of the AAP's to her supervisors and other employees at the University. When Father Locatelli asked Serri to bring the AAP's for the last ten years to their October 13, 2006 meeting, she wrote in an e-mail that she was working on the current Plan, promised to bring her draft and the previous year's Plan, and implied that prior AAP's had been destroyed in accordance with industry standards. In fact, there was no Plan for the previous year. It was undisputed that Serri created the two draft Plans
L. The Trial Court Properly Granted Summary Judgment
Since the court properly granted summary adjudication of each of Serri's causes of action, it properly granted summary judgment in this case.
The judgment is affirmed.
Rushing, P. J., and Elia, J., concurred.