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RIO v. PRESBYTERIAN HOSP. IN NEW YORK

April 1, 1983

JOHN J. RIO, Plaintiff,
v.
THE PRESBYTERIAN HOSPITAL IN THE CITY OF NEW YORK and EDWARD NOROIAN, Defendants



The opinion of the court was delivered by: LEVAL

OPINION AND ORDER

 PIERRE N. LEVAL, U.S.D.J.

 Plaintiff John Rio, who was employed by defendant Presbyterian Hospital as Director of Materials Management under the supervision of defendant Edward H. Noroian, was terminated on October 22, 1980 and replaced with a younger employee. Plaintiff alleges that his termination was the result of age discrimination in violation of the Age Discrimination in Employment Act of 1967 (ADEA), as amended, 29 U.S.C. § 621 et seq., and the New York Human Rights Law (NYHRL), as amended, N.Y. Exec. Law § 290 et seq. (McKinney 1982 and Supp. 1982-83). Plaintiff also asserts causes of action based on theories of abusive discharge and intentional interference with employment.

 On or about December 10, 1980, plaintiff filed age discrimination charges with the Equal Employment Opportunity Commission (EEOC) and the New York State Division of Human Rights (NYSDHR). These charges named only Presbyterian Hospital as defendant. Plaintiff commenced this action on June 16, 1982 and served the defendants on June 18, 1982.

 Defendants move to dismiss or, in the alternative, for summary judgment with respect to each of the following claims: (i) plaintiff's allegation that defendant Noroian violated the ADEA; (ii) plaintiff's demand for compensatory or punitive damages under the ADEA; (iii) plaintiff's allegation that defendants violated the NYHRL; (iv) plaintiff's allegation that defendant Noroian interfered with plaintiff's employment realationship with the Hospital; (v) plaintiff's allegation that defendants wrongfully or abusively discharged him from employment; and (vi) plaintiff's allegation that defendants violated the Employee Retirement Income Security Act of 1974 (ERISA), as amended, 29 U.S.C. § 1001 et seq.

 I. The ADEA claim against Noroian

 Noroian argues that plaintiff's ADEA claim against him should be dismissed because plaintiff failed to file an administrative claim charging him with age discrimination. Before initiating an age discrimination suit, a plaintiff is ordinarily required to name each defendant in charges filed with the EEOC and the NYSDHR. 29 U.S.C. § 626(d); N.Y. Exec Law § 297 (2); 9 NYCRR § 468.3(g). See, e.g., Silver v. Mohasco Corp., 602 F.2d 1083, 1086 n.7 (2d Cir. 1979), rev'd on other grounds, 447 U.S. 807, 65 L. Ed. 2d 532, 100 S. Ct. 2486 (1980); Travers v. Corning Glass Works, 76 F.R.D. 431, 432-33 (S.D.N.Y. 1977) (Weinfeld, J.) (lack of statutory notice precluded suit against plaintiff's supervisor). This ensures that each defendant has knowledge of the claim and an opportunity to resolve the dispute amicably before litigation. Defendant Noroian was not named in plaintiff's EEOC or NYSDHR charges and thus was not served with formal notice of plaintiff's administrative complaints.

 District courts in this circuit have recently held that an age discrimination suit can be brought against a defendant not named in the prior administrative proceedings where (i) there is substantial identity between the defendant not named in the administrative charge and the defendants who were so named, and (ii) the defendant not named in the administrative charge was aware of the administrative proceedings. See, e.g., Allen v. Colgate Palmolive, 539 F. Supp. 57, 69 (S.D.N.Y. 1981) (where notice is given to a corporate employer but not to its supervisory employees, suit may be maintained against the individuals "if they had actual notice that their individual conduct was being investigated"); Vulcan Soc. v. Fire Dep't, 82 F.R.D. 379, 389 (S.D.N.Y. 1979) (title VII). See also Flaherty v. Itek Corp., 500 F. Supp. 309, 311 (D. Mass. 1980). In such cases, requiring technical compliance with the statute would not further the policies that underlie the notice requirement. An unnamed defendant who was aware of the administrative proceedings and whose interests are aligned with another defendant who was named in those proceedings is likely to have had an opportunity before litigation to contribute to the amicable resolution of the dispute.

 The record does not reveal whether Noroian had knowledge of the pendency of the administrative proceedings or an opportunity to participate in attempted resolution of plaintiff's claim. Because of the inadequacy of the factual record, Noroian's motions to dismiss and for summary judgment on this ground are denied.

 II. Compensatory and Punitive Damages

 Defendants move to dismiss plaintiff's demand for compensatory and punitive damages for pain and suffering and emotional distress on the ground that such damages are not available under the ADEA. Because the question of the availability of compensatory and punitive damages is unresolved in this circuit, *fn1" the motion is denied at this time. It may be renewed at or after trial as appropriate.

 III. NYHRL Claims

 Defendants move to dismiss plaintiff's NYHRL claims. The ADEA requires that plaintiff concurrently file his discrimination claims with both the EEOC and the appropriate state agency, in this case the NYSDHR. Plaintiff has complied with this requirement. The NYHRL requires that an aggrieved party elect between administrative and judicial remedies. N.Y. Exec. Law §§ 297(9) and 300 (McKinney 1982). Plaintiff is thus precluded from bringing an action in any court on his NYHRL claims unless the complaint before the NYSDHR is terminated without prejudice. State Div. of Human Rights v. Comm'r of N.Y.S. Dept. of Civ. Serv., 57 A.D. 2d 699, 700, 395 N.Y.S. 2d 774, 775-76 (4th Dept. 1977); Collins v. Manufacturers Hanover ...


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