Harris County, Texas v. Kenneth Bankhead ( 2014 )


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  • Opinion issued December 30, 2014
    In The
    Court of Appeals
    For The
    First District of Texas
    ————————————
    NO. 01-13-01005-CV
    ———————————
    HARRIS COUNTY, TEXAS, Appellant
    V.
    KENNETH BANKHEAD, Appellee
    On Appeal from the 80th District Court
    Harris County, Texas
    Trial Court Case No. 2012-69289
    MEMORANDUM OPINION
    Harris County brings this interlocutory appeal challenging the trial court’s
    denial of its plea to the jurisdiction on the employment discrimination claim
    brought by Kenneth Bankhead under Chapter 21 of the Labor Code.1 The County
    contends that the court lacked subject matter jurisdiction over Bankhead’s race
    discrimination claim. In a cross-appeal, Bankhead argues that the portion of the
    trial court’s order ruling that he is collaterally estopped from litigating at trial the
    issue of whether he used excessive or unjustified force is in error. We reverse the
    trial court’s order denying the County’s plea to the jurisdiction, render judgment
    granting the plea to the jurisdiction, and dismiss the case for lack of subject matter
    jurisdiction with prejudice.
    Background
    Bankhead was hired as a detention officer with the Harris County Sheriff’s
    Office (HCSO) in 1991, became a deputy in 1994, and was later promoted to
    sergeant in 2005. In December 2007, Bankhead was assigned to the County’s
    Mental Health Unit and, in 2010, he was transferred to the unit’s housing floor.
    The record reflects that Bankhead consistently received good performance
    evaluations throughout his employment.
    On January 26, 2011, Bankhead was instructed to check on inmate Vincent
    Mastroianni after Mastroianni’s mother contacted the HCSO regarding her son’s
    1
    TEX. LAB. CODE ANN. § 21.051 (West 2006).
    2
    request for medical attention.2 When Bankhead arrived at Mastroianni’s cellblock,
    a verbal altercation between the men ensued. Bankhead struck Mastroianni in the
    face with his forearm resulting in a laceration above the inmate’s eye that required
    fourteen sutures.3
    In compliance with HCSO policy, Internal Affairs Division (IAD)
    investigator Donald Althouse initiated an investigation of the incident 4 and
    submitted his report to the Administrative Disciplinary Committee (ADC) for
    review and recommendation.5 Citing “policy violations, unjustified use of force,”
    the ADC recommended termination of Bankhead’s employment and the HCSO
    2
    Mastroianni’s mother called the sheriff’s office after her son asked to see a dentist
    due to mouth pain but received no response from jail personnel.
    3
    There is conflicting evidence as to whether the laceration was caused by
    Bankhead’s forearm or whether Matroianni lost his balance and, in doing so,
    struck his face against the wall.
    4
    HCSO policy requires that every incident involving use of force against an inmate
    in the jail be documented and reported to the division commander who determines
    whether to initiate an internal investigation. If an investigation is initiated, an IAD
    investigator conducts an investigation and presents his report to the Administrative
    Disciplinary Committee (ADC) for review and recommendation. If the ADC finds
    sustained misconduct and/or a violation of policy, it recommends appropriate
    disciplinary action against the employee. The employee may file a written notice
    of appeal to the Sheriff and, if the Sheriff or the Sheriff’s designee upholds the
    disciplinary action, the employee may then file a written notice of appeal with the
    Civil Service Commission. If the Commission upholds the disciplinary action
    against the employee, the employee may proceed with litigation.
    5
    The Committee at that time consisted of four members: Major Edwin Davis, then-
    Major Fred Brown (he subsequently became Chief Deputy), Captain Joe Hughes,
    and Major Ronnie Silvio (now retired). Davis and Brown are African-American
    and Hughes and Silvio are Caucasian.
    3
    sent a letter to Bankhead outlining the violations resulting in his termination on
    July 29, 2011. Specifically, the HCSO found that Bankhead had violated Section
    300, Policy #302 (“Professional Conduct Required”), II., subsection E.2; Policy
    #303 (Conduct Prohibited”), I., subsections B, C.7 & 13 and D.14 & 17; Policy
    #305 (“Performance of Duty”), I., subsections C & E; Policy #307 (“Supervisory
    Responsibility”), I., subsection J; and Policy #501 (“Force, Arrest, and
    Detention”), I., subsection A.11 of the HCSO’s policies and regulations. The letter
    also stated that a review of Bankhead’s personnel history revealed that he was
    involved “in an extraordinary amount of use of force incidents within the last three
    (3) years.”6
    The HCSO designee upheld the termination decision, and Bankhead
    appealed his termination to the Civil Service Commission. Following a hearing on
    March 22, 2012, the Commission upheld the HSCO’s decision based on the
    specific policy violations enumerated in the termination letter.7
    On November 21 2012, Bankhead filed suit against the County, alleging race
    discrimination and retaliation under Chapter 21 of the Labor Code. See TEX. LAB.
    6
    The record reflects that Bankhead was involved in eight use-of-force incidents in
    his positon as sergeant, including the incident involving Mastroianni, between
    February 2008 and July 2011, when his employment was terminated.
    7
    We note that on Bankhead’s performance evaluation dated June 19, 2011—six
    months after the January 2011 incident and a little more than a month before the
    July 29, 2011 termination letter—he was evaluated as “above average” in nine of
    the fifteen categories and as “average” in the remaining six categories.
    4
    CODE ANN. § 21.051 (West 2006). The County moved for summary judgment and
    the trial court granted the motion on Bankhead’s retaliation claim but denied it as
    to his race discrimination claim. The County subsequently filed a plea to the
    jurisdiction, Bankhead filed a response, and the County supplemented its plea. The
    trial court’s denial of the plea to the jurisdiction precipitated the County perfecting
    this interlocutory appeal.
    Discussion
    In its first and second issues, the County contends that the trial court erred in
    denying its plea to the jurisdiction. Specifically, it argues that Bankhead failed to
    present a prima facie case to support his race discrimination claim and, thus, the
    trial court lacks subject matter jurisdiction over that claim.
    A. Plea to the Jurisdiction
    A plea to the jurisdiction is a dilatory plea that seeks dismissal of a case for
    lack of subject matter jurisdiction. Harris Cnty. v. Sykes, 
    136 S.W.3d 635
    , 638
    (Tex. 2004).     The plaintiff has the burden to allege facts that affirmatively
    demonstrate that the trial court has subject matter jurisdiction. Tex. Ass’n of Bus.
    v. Tex. Air Control Bd., 
    852 S.W.2d 440
    , 446 (Tex. 1993).              A plea to the
    jurisdiction can be utilized to challenge whether the plaintiff has met his burden of
    alleging jurisdictional facts, but it can also raise a challenge to the existence of
    jurisdictional facts. See Tex. Dept. of Parks & Wildlife v. Miranda, 
    133 S.W.3d 5
    217, 226–27 (Tex. 2004). Pleadings are construed liberally in favor of the pleader,
    and all factual allegations are accepted as true. See 
    id. at 226.
    A trial court’s review of a plea to the jurisdiction challenging the existence
    of jurisdictional facts mirrors that of a traditional motion for summary judgment.
    Mission Consol. Indep. Sch. Dist. v. Garcia, 
    372 S.W.3d 629
    , 635 (Tex. 2012);
    
    Miranda, 133 S.W.3d at 228
    ; see TEX. R. CIV. P. 166a(c). The government
    defendant is required to meet the summary judgment standard of proof for its
    assertion that the trial court lacks jurisdiction; once the defendant meets its burden,
    the plaintiff is then required to show that there is a disputed material fact regarding
    the jurisdictional issue. 
    Miranda, 133 S.W.3d at 228
    . If the evidence creates a fact
    question regarding jurisdiction, the trial court must deny the plea to the jurisdiction
    and leave its resolution to the fact finder. 
    Id. at 227–28.
    On the other hand, if the
    evidence is undisputed or fails to raise a fact question on the jurisdictional issue,
    the trial court rules on the plea to the jurisdiction as a matter of law. 
    Garcia, 372 S.W.3d at 635
    . An appellate court reviewing a challenge to a trial court’s subject
    matter jurisdiction reviews the trial court’s ruling de novo. 
    Miranda, 133 S.W.3d at 228
    .
    B. Sovereign Immunity and Chapter 21 of the Labor Code
    Sovereign immunity deprives a trial court of jurisdiction over lawsuits in
    which the state or certain governmental units have been sued unless the state
    6
    consents to suit. 
    Sykes, 136 S.W.3d at 638
    . Chapter 21 of the Labor Code
    delineates Texas’ limited waiver of sovereign immunity for employment
    discrimination and retaliation claims. See TEX. LAB. CODE ANN. §§ 21.051(1),
    21.055 (West 2006) (prohibiting unlawful employment practices by “employer”);
    § 21.002(8)(D) (defining “employer” to include a county, municipality, state
    agency, or state instrumentality).     A plaintiff must plead the elements of his
    statutory cause of action, that is, the basic facts comprising a prima facie case, for
    the court to determine if a Chapter 21 violation has been sufficiently alleged. Once
    having done so, the plaintiff is required to submit evidence only if the defendant
    presents evidence negating one of those basic facts. 
    Garcia, 372 S.W.3d at 637
    (citing 
    Miranda, 133 S.W.3d at 228
    ).
    Texas courts look to federal interpretation of analogous federal statutes for
    guidance because an express purpose of Chapter 21 is to “provide for the execution
    of the policies of Title VII of the Civil Rights Act of 1964 and its subsequent
    amendments.” TEX. LAB. CODE ANN. § 21.001(1) (West 2006); see also NME
    Hosps., Inc. v. Rennels, 
    994 S.W.2d 142
    , 144 (Tex. 1999). Where no direct
    evidence of discrimination is proffered and the plaintiff relies exclusively on
    circumstantial evidence to establish his claim, a burden-shifting framework
    established by the United States Supreme Court in McDonnell Douglas Corp. v.
    Green, 
    411 U.S. 792
    , 802–05, 
    93 S. Ct. 1817
    , 1824–26 (1973) is employed
    7
    whereby a plaintiff must first establish a prima facie case of discrimination or
    retaliation. 
    Id. at 802,
    93 S. Ct. at 1824. Establishment of the prima facie case in
    effect creates a presumption that the employer unlawfully discriminated against the
    employee. Tex. Dept. of Cmty. Affairs v. Burdine, 
    450 U.S. 248
    , 254, 
    101 S. Ct. 1089
    , 1094 (1981). If the plaintiff is successful, the burden shifts to the employer
    to articulate a legitimate, nondiscriminatory reason for the adverse employment
    action. Quantum Chem. Corp. v. Toennies, 
    47 S.W.3d 473
    , 477 (Tex. 2001). “The
    offer of a legitimate reason eliminates the presumption of discrimination created by
    the plaintiff’s prima facie showing.” 
    Id. The burden
    then shifts back to the
    plaintiff to show that the employer’s reason was a pretext for discrimination.
    McDonnell 
    Douglas, 411 U.S. at 807
    , 93 S. Ct. at 1826–27. Although intermediate
    evidentiary burdens shift back and forth under this framework, the ultimate burden
    of persuading the trier-of-fact that the defendant intentionally discriminated against
    the plaintiff remains at all times with the plaintiff.    See Reeves v. Sanderson
    Plumbing Prods., Inc., 
    530 U.S. 133
    , 143, 
    120 S. Ct. 2097
    , 2106 (2000).
    C. Race Discrimination
    Chapter 21 of the Labor Code provides that it is unlawful for an employer to
    discriminate against an employee with respect to compensation or the terms,
    conditions, or privileges of employment because of race, color, disability, religion,
    sex, national origin, or age. TEX. LAB. CODE ANN. § 21.051. To establish a prima
    8
    facie case of race discrimination based on disparate treatment under Chapter 21, a
    plaintiff must show that he was (1) a member of a protected class, (2) qualified for
    the employment position at issue, (3) subject to an adverse employment action,
    which includes termination, and (4) treated less favorably than similarly situated
    members outside of the protected class. 
    Reeves, 530 U.S. at 142
    , 120 S. Ct. at
    2106; Ysleta Indep. Sch. Dist. v. Monarrez, 
    177 S.W.3d 915
    , 917 (Tex. 2005).
    With regard to the fourth element, “an employee who proffers a fellow
    employee as a comparator [must] demonstrate that the employment actions at issue
    were taken ‘under nearly identical circumstances.’” See Lee v. Kan. City S. Ry.
    Co., 
    574 F.3d 253
    , 259–60 (5th Cir. 2009). The Texas Supreme Court has held
    that employees are similarly situated “if their circumstances are comparable in all
    material respects, including similar standards, supervisors, and conduct.”
    
    Monarrez, 177 S.W.3d at 917
    .           Further, to establish that employees are
    “comparable in all material respects,” a plaintiff must also show “that there were
    no ‘differentiating or mitigating circumstances as would distinguish . . . the
    employer’s treatment of them.’” Ineichen v. Ameritech, 
    410 F.3d 956
    , 960–61 (7th
    Cir. 2005) (quoting Radue v. Kimberly–Clark Corp., 
    219 F.3d 612
    , 617–18 (7th
    Cir. 2000)); see Edwards v. Grand Casinos of Miss., Inc., 145 F. App’x 946, 948
    n.2 (5th Cir. 2005) (noting that, as to similarly situated requirement, circumstances
    surrounding the compared employees must be “nearly identical”) (citing Wallace v.
    9
    Methodist Hosp. Sys., 
    271 F.3d 212
    , 221 (5th Cir. 2001) and Wyvill v. United Cos.
    Life Ins. Co., 
    212 F.3d 296
    , 304–05 (5th Cir. 2000)).
    In a disparate discipline case, “the disciplined and undisciplined employees’
    misconduct must be of ‘comparable seriousness.’” 
    Monarrez, 177 S.W.3d at 917
    .
    The Monarrez court noted that although the United States Supreme Court had
    previously held that “precise equivalence in culpability between employees is not
    the ultimate question,” the Fifth Circuit had held that “the plaintiff must usually
    show ‘that the misconduct for which [the employee] was discharged was nearly
    identical to that engaged in by a[n] employee whom [the company] retained.’” 
    Id. at 917–18
    (quoting McDonald v. Santa Fe Trail Transp. Co., 
    427 U.S. 273
    , 283
    n.11, 
    96 S. Ct. 2574
    , 2580 (1976) and Smith v. Wal–Mart Stores, Inc., 
    891 F.2d 1177
    , 1180 (5th Cir. 1990)).         “Employees with different responsibilities,
    supervisors, capabilities, work rule violations, or disciplinary records are not
    considered to be ‘nearly identical.’” AutoZone, Inc. v. Reyes, 
    272 S.W.3d 588
    , 594
    (Tex. 2008); see also 
    Lee, 574 F.3d at 260
    (noting employment actions being
    compared will be deemed to have been taken under nearly identical circumstances
    when employees being compared held same job or responsibilities, shared same
    supervisor or had employment status determined by same person, and have
    essentially comparable violation histories); Okoye v. Univ. of Tex. Hous. Health
    Sci. Ctr., 
    245 F.3d 507
    , 514 (5th Cir. 2001) (holding that comparisons to other
    10
    employees not terminated were inapplicable because other employees violated
    different workplace rules and thus were not “nearly identical”); Miller v. Auto.
    Club of New Mexico, Inc., 
    420 F.3d 1098
    , 1115 (10th Cir. 2005) (noting that
    employees who hold different job positions are not similarly situated).
    D. Analysis
    The County does not dispute that Bankhead has alleged the four elements of
    a race discrimination claim. Rather, it challenges the existence of facts supporting
    the fourth element of his prima facie case—that is, whether there is evidence
    showing that he was treated less favorably than similarly situated members outside
    of the protected class.     Specifically, the County asserts that the comparators
    identified by Bankhead are not similarly situated. Bankhead maintains that he has
    presented sufficient evidence to create a fact issue as to the fourth element of his
    race discrimination claim and, thus, the trial court correctly denied the County’s
    plea to the jurisdiction.
    Bankhead’s response to the plea identified three Caucasian employees whom
    he contends are similarly situated and engaged in similar conduct but who were not
    terminated or, alternatively, only suspended: John Revelle, William Dickerson, and
    Kevin Gaeke.8
    8
    The County avers in its brief that Bankhead also sought to compare himself to
    three other terminated detention officers—Chris Pool, Chris Taylor, and Joseph
    Jameson. However, as Bankhead did not proffer these individuals as comparators
    11
    1. John Revelle
    Revelle is a sergeant in the HCSO’s Mental Health Unit whose employment
    history reflects six use of-force reports as sergeant from July 2007 to July 2011.
    The investigations of those incidents concluded that Revelle’s actions were
    consistent with HCSO policy. The one incident in which he was found to have
    used unjustified force and for which he received a letter of counseling occurred in
    2005 when he was a deputy and pertained to improper procedure/use of force when
    drawing his service weapon during a traffic stop.
    Here, Bankhead and Revelle, both sergeants in the mental health unit and
    employees in the detention bureau, were subject to the same “Use of Force Policy.”
    Bankhead’s supervisor at the time of his July 2011 termination was Major Mike
    Smith. The evidence establishes that all sergeants, including Revelle, reported to
    Major Smith through the chain of command for some period of time from 2009 to
    2011. Revelle’s employment history report reflects that his supervisor in 2012 was
    then-Major Fred Brown. Major Brown was one of the three ADC committee
    members     who     subsequently     recommended       termination     of    Bankhead’s
    employment.     See 
    Lee, 574 F.3d at 260
    -61 (finding evidence that ultimate
    decisionmaker as to employees’ continued employment is same individual, even if
    in either his response to the County’s plea to the jurisdiction or in his appellee’s
    brief, we do not consider whether these former employees were valid comparators
    for purposes of determining whether Bankhead has established a prima facie case.
    12
    employees do not share immediate supervisor, to be sufficient).          The record
    reflects that Bankhead had eight documented use-of-force incidents and Revelle
    had six use-of-force incidents in approximately the same three-year period. See
    
    Lee, 574 F.3d at 261
    (noting each employee’s track record need not comprise
    identical number of identical infractions but must instead be comparable).
    However, the most critical factor in evaluating comparator evidence is that
    the plaintiff’s conduct that drew the adverse employment action be “nearly
    identical to that of the proffered comparator who allegedly drew” a dissimilar
    response. 
    Lee, 574 F.3d at 260
    . The County argues that “Revelle, who committed
    no policy infractions in the jail, is not a valid comparator to Bankhead, who
    deliberately struck a defenseless inmate.” We agree. Revelle’s conduct, for which
    he received a documented letter of counseling, arose from drawing his service
    weapon during a traffic stop, an incident resulting in injury to no one. In contrast,
    the result of Bankhead’s use of force against Mastroianni required fourteen sutures
    above his eye. Moreover, the Revelle incident dates from 2005 when he was still a
    deputy, whereas Bankhead’s incident was during his tenure as sergeant. Because
    the misconduct of these two men are not of comparable seriousness, Revelle is not
    a valid comparator.    See AutoZone, 
    Inc., 272 S.W.3d at 594
    ; 
    Monarrez, 177 S.W.3d at 917
    .
    13
    2. Kevin Gaeke
    Gaeke, a detention officer at the County jail between July 2009 and
    November 2011, was involved in thirteen use-of-force incidents, the last of which
    was classified as a “major” one. An investigation concluded that Gaeke had used
    unjustified excessive force and been untruthful in violation of HCSO policy, for
    which he was suspended without pay for ten days and placed on probation for 180
    days.
    Bankhead argues that Gaeke is a proper comparator because (1) both he and
    Gaeke reported to Major Smith, (2) both were found to have resorted to
    unjustifiable force, and (3) two of the majors on the disciplinary panel that
    suspended Gaeke were also on the panel that recommended terminating
    Bankhead’s employment. However, although he worked in detention, Gaeke was
    neither a law enforcement officer nor a sergeant or a supervisor. In contrast,
    Bankhead, a sergeant, was in a supervisory role and was responsible for, among
    other things, training new employees and setting an example in the jail.
    Employees who hold different job positions are not similarly situated. See Grimes
    v. Wal–Mart Stores Tex., L.L.C., 505 F. App’x 376, 379 (5th Cir. 2013)
    (concluding plaintiff’s subordinate, who was also manager, not valid comparator);
    see also Crosby v. Computer Sci. Corp., 470 F. App’x 307, 309 (5th Cir. 2012)
    (concluding plaintiff’s supervisor not valid comparator); AutoZone, Inc., 
    272 14 S.W.3d at 594
    (noting employees with different responsibilities are not considered
    to be ‘nearly identical”); see also Villareal v. Del Mar College, No. 13–07–00119–
    CV, 
    2009 WL 781750
    , at *8 (Tex. App.—Corpus Christi Mar. 26, 2009, pet.
    denied) (mem. op.) (noting employees who hold different job positions are not
    similarly situated). Further, the ADC recommended that Bankhead be terminated
    for “policy violations, unjustified use of force,” and recommended that Gaeke be
    suspended and placed on probation for “excessive use of force, untruthfulness.”
    See 
    Okoye, 245 F.3d at 514
    (holding that comparisons to other employees not
    terminated were inapplicable because other employees violated different
    workplace rules and thus were not “nearly identical”). Thus, Gaeke, too, is not a
    valid comparator.
    3. William Dickerson
    Finally, Bankhead argues that he was treated less favorably than Dickerson,
    whom he alleges is a similarly situated member outside of the protected class.
    Bankhead contends that Dickerson was involved in fourteen use-of-force incidents
    in a three-year period yet was neither terminated nor disciplined.
    Dickerson was a jail detention officer promoted to sergeant ten months after
    the January 2011 incident involving Bankhead. Although involved in a number of
    use-of-force incidents, Dickerson was never found to have used unjustified force or
    otherwise violated HCSO policy. Thus, Dickerson’s conduct cannot be considered
    15
    “nearly identical” to Bankhead’s conduct in the January 2011 incident. See 
    Lee, 574 F.3d at 260
    (noting most critical factor in evaluating comparator evidence is
    that plaintiff’s conduct that drew adverse employment action be “nearly identical
    to that of the proffered comparator who allegedly drew” dissimilar response).
    Because Bankhead failed to present sufficient evidence to create a fact issue
    as to whether similarly situated members outside of the protected class were
    treated more favorably than him, the trial court lacked subject matter jurisdiction to
    hear his claim. See 
    Miranda, 133 S.W.3d at 226
    . We sustain the County’s first
    and second issues.9
    Conclusion
    We reverse the trial court’s order denying the County’s plea to the
    jurisdiction, render judgment granting the plea to the jurisdiction, and dismiss the
    case for lack of subject matter jurisdiction with prejudice.
    Jim Sharp
    Justice
    Panel consists of Justices Higley, Bland, and Sharp.
    9
    In light of our disposition of these issues, we do not consider Bankhead’s cross-
    appeal.
    16