Davis v. Dist. of Columbia
Opinion of the Court
Plaintiffs are 47 former longtime employees, mostly African American, of the District of Columbia (District) Child and Family Services Agency (Agency), many of whom successfully served the Agency for decades. They numbered among the employees terminated as part of a large-scale reduction in force at the Agency following budget cuts. Plaintiffs alleged that their firings were unlawfully discriminatory on the basis of age and race. They have abandoned their age-based claims, but appeal the summary judgment in the Agency's favor on the race discrimination claims.
We generally affirm the decision of the district court, but reverse and remand on one narrow question: whether the plaintiffs identified a "particular employment practice" susceptible to challenge for its adverse racial impact under Title VII. 42 U.S.C. § 2000e-2(k)(1)(A)(i). On this issue, the District prevailed below on the theory that a reduction in force, or "RIF," is not a particular employment practice. What is at issue here is not a RIF in the abstract, however, but the means by which the Agency implemented it. Plaintiffs challenge the practices of the Agency in selecting for elimination jobs and job categories disproportionately held by African American employees. Nothing in Title VII suggests that the practices an employer uses to effectuate the adverse employment action of layoffs, whether or not dubbed a RIF, are exempt from disparate-impact scrutiny. We accordingly reverse the "particular *1244practice" holding and the accompanying denial of class certification, and remand for further proceedings.
Having decided the case on that threshold question, the district court had yet to address whether plaintiffs' statistical evidence sufficed to make out a prima facie case of disparate impact, or whether the Agency had business justifications for the layoff criteria it used. We accordingly express no opinion on those issues. We affirm the district court's decisions with respect to plaintiffs' challenge to the college degree requirement the Agency added to one job category, and the applicability of estoppel to certain individual plaintiffs' claims.
I. Background
A. Factual Record
The District of Columbia Child and Family Services Agency provides critical support services to abused and neglected children and struggling families. The Agency's functions include investigating reports of child abuse and neglect, temporarily removing children from unsafe settings, and securing medical care for affected children and families. As of Fiscal Year (FY) 2009, the Agency employed nearly one thousand people in its six major components: Agency Programs, Community Services, Policy and Planning, Clinical Practice, Agency Management, and Financial Operations.
In the face of significant municipal revenue shortfalls, the District of Columbia City Council decreased the Agency's operating budget for fiscal years 2010 and 2011. Following the budget cuts, the Agency reduced the number of its full-time employees. Relevant here are the job cuts effected for the Agency's FY 2011 budget. The District represented, and plaintiffs did not dispute, that the District could make the needed spending cuts by reducing full-time positions by 52-from 892 to 840-although the Agency fired more than twice that many people and then hired several dozen new employees.
All told, the Agency let go 115 employees. Plaintiffs here challenge as racially discriminatory the procedures used to implement that reduction in force. At an agency that was 73.4 percent African American, 93 percent (107 out of 115) of the terminated employees were African American. The Agency has never claimed to have laid off the most expensive employees, nor did it set out to make proportional cuts to each department. And, according to the Agency's Director, the cuts were not performance based: the Director assured the fired employees that the layoffs "in no way reflect[ ] adversely on your performance of your official duties." Joint App'x (J.A.) 660.
Plaintiffs claim that the Agency instead chose to cut and cull the very job categories most densely occupied by African American employees. The Agency focused its cuts on the Agency Programs Office, the Office of Clinical Practice, and the Office of Community Services, with the Agency Programs Office bearing the brunt. There, the Agency eliminated wholesale two social-worker support positions: Social Worker Associate (SWA), which required a bachelor's degree, and Social Service Assistant (SSA), which did not. The Agency's decision to fire everyone in the SSA and SWA job categories resulted in the termination of approximately 70 employees, 67 of whom were African American. And the culling of positions elsewhere at the Agency resulted in layoffs of 45 employees, 40 of whom were African American.
The District claims that the Agency "did not utilize a single uniform criteria, test or requirement" in determining which positions *1245would be eliminated. Def.'s Statement of Undisputed Material Facts (SOF) ¶ 15, J.A. 235. Rather, the District represents that the choices of which jobs to eliminate came about through "realigning functions and implementing new service models," as well as "multiple individual decisions made by the Director working in close consultation with the Chief of Staff, the Deputy Directors in charge of CFSA's various divisions, and other senior level managers in the Agency's executive team." Id . ¶¶ 15, 17, J.A. 235.
Immediately following the layoffs, the Agency created a new posting to replace the SSW and SWA roles, Family Support Worker (FSW), which did similar work but required a bachelor's degree. The Agency sought to hire approximately three dozen people to fill the new FSW spots, and it considered applicants whom it had just discharged as well as outside candidates. According to the District, 44 of the 115 people who lost their jobs applied for a position as an FSW, but only 30 of those held the required bachelor's degree. The Agency ultimately hired back into the FSW role 18 of the employees whom it had fired.
B. Procedural History
Forty-seven former Agency employees who lost their jobs filed this case as a class action against the District of Columbia; they alleged race and age discrimination under Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq. , and the District of Columbia Human Rights Act,
The court bifurcated discovery and pretrial motions, limiting the first stage to the "existence and statistical validity of group-based disparities caused by" the practices challenged on disparate-impact grounds, as well as to several procedural matters including administrative exhaustion and class certification. See Scheduling Order, Davis v. District of Columbia , No. 10-1564 (D.D.C. Apr. 4, 2013) (Scheduling Order). The court held that plaintiffs met the administrative exhaustion requirement because two plaintiffs' timely-filed Equal Employment Opportunity Commission (EEOC) charges put the Agency on notice of the claims and vicariously satisfied the exhaustion requirement for the remaining plaintiffs. Davis v. District of Columbia ,
Within the constraints of the bifurcated discovery order, each side retained an expert as to the alleged disparate impact of the challenged practices. The experts framed the issues differently and reached contrary conclusions. Plaintiffs' expert, Dr. Paige Munro, found that the Agency's implementation of the layoffs resulted in a termination rate of 15.5% for African Americans, in contrast to a 5.6% rate for non-African Americans. The racial disparities were even more dramatic, according to Dr. Munro, once she analyzed a new dataset provided by the District, which included more focused and detailed demographic information about the Agency's workforce: The effective termination rate jumped from 277% greater for African Americans than non-African Americans to 444% greater for African Americans as compared to Caucasians.
The District's expert, Dr. Stephen Bronars, found no disproportionate adverse racial impact. He faulted Dr. Munro for calculating the racial disparities in termination rates across the entire agency; according to Dr. Bronars, Dr. Munro's data unreasonably assumed that all positions at the Agency were at risk of cuts. The Agency described itself as conducting an "agency-wide" reduction in force, Defendant's Answer to Third Amended Complaint ¶ 3, J.A. 159, but as Dr. Bronars saw it not all employees were at equal risk of losing their jobs because the District had informed him that it took into account "financial concerns, the reorganization concerns, the realignment of goals, different kind of service models. ..." Bronars Dep. 183-84, J.A. 820. Instead of assessing the impact of the entire package of layoffs, Dr. Bronars characterized the District's action as "7 different sets of layoff decisions," one for each job category that experienced cuts. J.A. 363. He then separately examined the racial impact of the terminations within each affected position.
Dr. Bronars concluded that the Agency's wholesale elimination of the SSA and SWA positions did "not contribute to the statistical significance calculation for adverse impact" because the District terminated every employee in those job categories. J.A. 412. As a consequence, he reasoned, those cuts involved no "excess" termination of African American employees. J.A. 367, 412. Dr. Bronars' statistical significance calculation also excluded any layoffs from job categories occupied exclusively by African American employees, again reasoning that there could be no "excess" termination of African Americans from those categories. J.A. 367. Setting aside all of those layoffs of African American employees, Dr. Bronars applied his job-category-specific methodology to find no statistically significant racial impact resulting from cuts within the remaining categories.
Following the close of phase I discovery, plaintiffs moved for class certification and the District moved for summary judgment. The district court granted summary judgment for the Agency on all issues.
Regarding plaintiffs' disparate impact challenge, the Agency contended that plaintiffs' expert evidence of statistical disparity was inadequate. See Def.'s Memo in Supp. of Motion for Summ. J. 2, 20-23, J.A. 207, 225-28. Alternatively, the Agency argued that the Agency's termination decisions were not subject to Title VII scrutiny for disparate racial impact: The Agency contended that its decisions were not actionable because they involved no objective "test or requirement," but only a series of subjective, contextual judgments made in "multiple individual decisions by the agency leadership" that it claimed cannot be challenged on a disparate-impact theory.
*1247Id . at 19-20, J.A. 224-25 (contending that "subjective decisions" are not practices subject to challenge for their disparate impact (quoting Leichihman v. Pickwick Int'l ,
In addition to dwelling on the (erroneous) proposition that only objective employment criteria are subject to disparate impact scrutiny, see Watson ,
Without reaching the statistical evidence in the competing expert reports, the district court granted summary judgment to the Agency on the threshold ground that "plaintiffs have failed to identify a specific employment practice" actionable under a disparate-impact theory. Davis ,
The court also ruled in favor of the District on issues pertaining only to certain plaintiffs. It held that two plaintiffs lacked standing to challenge the FSW's bachelor's degree requirement because they hold such degrees,
Plaintiffs appealed. They limit their appeal to the district court's grant of summary judgment on the race discrimination class claims, plus the individual standing and estoppel issues.
II. Analysis
Our review of the district court's grant of summary judgment is de novo .
*1248Aka v. Wash. Hosp. Ctr. ,
Title VII of the Civil Rights Act makes it unlawful for an employer "to fail or refuse to hire or to discharge any individual ... because of such individual's race." 42 U.S.C. § 2000e-2(a)(1). The statute bars "intentional discrimination and artificial, arbitrary, or unnecessary barriers" that stand in the way of "equal opportunity" without regard to race. Segar v. Smith ,
We first address plaintiffs' claim that the particular practices by which the District carried out its reduction in force had a racially disparate impact in violation of Title VII. We then turn to their challenge to the degree requirement attached to the new FSW position. Finally, we address the district court's dismissal of three individual plaintiffs' claims.
A. Identification of Particular Practices Subject to Disparate Impact Analysis
The district court held that plaintiffs failed at the summary judgment stage to make out a prima facie case of disparate impact under Title VII on the ground that a RIF is not a "particular employment practice" under Title VII. 42 U.S.C. § 2000e-2(k)(1)(A)(i) ; see Davis ,
A disparate impact claim contends that an observed disparity caused by a particular employment practice cannot be justified as necessary to the employer's business. The purpose of disparate impact analysis under Title VII is to permit plaintiffs to challenge "practices, procedures, or tests" that may be "neutral on their face, and even neutral in terms of intent," but that disproportionately harm members of a protected class. Griggs ,
In calling on disparate-impact plaintiffs to identify the particular employment practices they challenge, the law "goes beyond the need to show that there are statistical disparities in the employer's work force." Watson ,
Our disparate-impact cases have always focused on the impact of particular hiring practices on employment opportunities for minorities. Just as an employer cannot escape liability under Title VII by demonstrating that, "at the bottom line," his work force is racially balanced (where particular hiring practices may operate to deprive minorities of employment opportunities), see Connecticut v. Teal , 457 U.S. [440,] 450,102 S.Ct. 2525 ,73 L.Ed.2d 130 [ (1982) ], a Title VII plaintiff does not make out a case of disparate impact simply by showing that, "at the bottom line," there is racial imbalance in the work force.
Wards Cove ,
To state a disparate impact claim, plaintiffs are "responsible for isolating and identifying the specific employment practices that are allegedly responsible for any observed statistical disparities." Wards Cove ,
There is no mystery in this case as to the layoff practices plaintiffs challenge: the *1250Agency's choices to (a) target the SWA and SSA job categories for elimination; and (b) allow managers to make putatively individualized, discretionary and subjective choices of which positions to winnow from other units. See Third Am. Compl. ¶¶ 56, 58, 60 (alleging elimination of SWA and SSA jobs); Appellants' Br. 25-27 (contending that the Agency "left the livelihood of African American employees in the hands of multiple supervisors without requiring those supervisors use any uniform criteria or standardized guidance when making termination decisions"); Oral Arg. 15:14-20 (the layoffs were "carried out in an undisciplined and subjective way"). Indeed, although its stated reasons have yet to be tested through discovery, the District has acknowledged that the Agency employees to be fired were "not identified through the use of uniform criteria ... but rather through multiple individual decisions by the agency leadership." Def.'s Memo in Supp. of Summ. J., J.A. 225; see id. 224-25 (urging district court-erroneously-to reject plaintiffs' impact claim because "subjective decisions" are not practices subject to challenge for their disparate impact (citing Leichihman v. Pickwick Int'l ,
This is the first time this court has been asked whether a RIF or, more precisely, the practices through which an employer implements a RIF are subject to disparate-impact review under Title VII, but we see no basis to exempt such practices from otherwise-applicable law. Our analysis in Aliotta v. Bair ,
Courts that have applied Title VII in the context of RIFs have shown how to analyze the layoffs involved as a "particular employment practice." They go beyond the general concept of a "RIF" to identify actionable practices of "selecting only certain (predominantly female) departments," Shollenbarger v. Planes Moving & Storage , 297 Fed. App'x 483, 486 (6th Cir. 2008), or of focusing cuts on offices where "black employees are concentrated," Council 31, Am. Fed'n of State, Cty. & Mun. Emps. v. Ward ,
We are mindful that, as important as it is, the requirement that plaintiffs identify a particular employment practice does not alone do all the work of shielding employers from liability for mere racial (or other protected-class) imbalance in a workforce: Plaintiffs also have the burden to show "caus[ation]," 42 U.S.C. § 2000e-2(k)(1)(B)(ii), and, pursuant to Title VII's familiar burden-shifting framework, the defendant has the opportunity to demonstrate "business necessity." 42 U.S.C. § 2000e-2(k)(1)(A)(i) ; see Wards Cove ,
The district court appeared to grasp the clear racial effect of the Agency's method of implementing its reduction in force. Plaintiffs' expert, Dr. Munro, presented statistics showing dramatic over-representation of African American employees in the positions chosen for elimination. The "targeted positions/divisions" were disproportionately occupied by African Americans. J.A. 380. And the termination rate was 444% higher for the African American employees than Caucasians. See J.A. 377. The court accurately observed that record evidence showed that the Agency's job "cuts were not equally distributed"; the layoff "left some positions or divisions relatively unscathed, while it completely eliminated other positions." Davis ,
We need not generally decide whether a RIF as such might ever be a "particular employment practice" under *1252section 2000e-2(k)(1)(A)(i). Cf. Dissenting Op. at 1259. Terminating a large group of employees in a compressed timeframe is clearly an adverse employment action within the meaning of Title VII, and an employer's assertion that the firings were a "RIF" required by budget cuts does not somehow immunize them from Title VII scrutiny. To the extent that a completed RIF is an identified event comprising selection and termination of a rash of employees, it is a far cry from the challenges to bottom-line "racial imbalance in the work force" that precedent and our colleague eschew. Dissenting Op. at 1259 (quoting Wards Cove ,
This case does not present that question because plaintiffs' claim is not that the RIF in the abstract was unlawful. Nor, for that matter, do they take issue with the decision that laying off 52 employees would enable the Agency to comply with the FY 2011 budget cut. What calls for identification and scrutiny, and what plaintiffs challenge here, is not the Agency's decision to reduce its workforce, but the process the Agency used to select positions for the chopping block. See Third Am. Compl. ¶¶ 56, 58, 60 (alleging elimination of SWA and SSA jobs); Appellants' Br. 25-27 (contending that the Agency disproportionately fired African American employees without requiring supervisors to "use any uniform criteria or standardized guidance when making termination decisions"); Oral Arg. 15:14-20 (the layoffs were "carried out in an undisciplined and subjective way"). And those processes are susceptible of challenge under disparate impact precedents. See Wards Cove ,
The dissent posits that plaintiffs only challenge the RIF "writ large," and not the Agency's particular means of implementing it. Dissenting Op. at 1261; see id . at 1261-63. We disagree: the record makes clear that plaintiffs' challenge to "the RIF" is shorthand for its attack on the specific processes the Agency used in order to cut positions to meet its budget shortfall.
The dissent is right that the framing of the specific employment practice matters, see Dissenting Op. at 1262-62, but not exactly as to how. The distinction between challenging the RIF simpliciter and challenging the processes by which it was implemented could have litigation consequences down the road. But on the disparate-impact question, the latter framing does not "render[ ] irrelevant the agency-wide statistics." Id . at 1263. Either way, the agency-wide statistics speak to the threshold issue the district court raised and the parties addressed: Whether, in shrinking an agency of 892 people by at least 52 employees, the identified mechanisms by which defendants did so had a statistically significant racial impact.
We take no stance here on other potential hurdles the dissent identifies with challenges to subjective employment decisions. Id . Because the district court bifurcated discovery to first tee up whether there was a statistical disparity, see Scheduling Order, and postponed inquiry into other questions such as business justification and commonality that the dissent highlights, Dissenting Op. at 1263, neither that court nor this one is yet in a position to pass on those points. The Agency's reasons for its actions evince a fact-intensive inquiry into business justification. The dissent's doubts that the defendants' practices tie the class together more closely than the claimed diffuse, nationwide practice at issue in Wal-Mart could be relevant to a motion for class certification. Those matters will be explored only if, on remand, the district court finds that the practices by which the Agency implemented the layoffs had a statistically significant racial impact. On the matter now before us, the dissent does not dispute that an identified practice used to implement a RIF may be challenged for its disparate impact, but would hold that plaintiffs forfeited that claim. See Dissenting Op. at 1261-62.
As the district court chose to manage it, this case remains at the first step: plaintiffs' prima facie case. But the Agency's expert, Dr. Bronars, presumed operational justification for (and therefore excluded from analysis) the Agency's selection of certain offices for downsizing and its wholesale elimination of the SSA and SWA jobs. The premise of Dr. Bronars's statistics, the Agency conceded at oral argument, put the "cart before the horse" by assuming the very facts that a successful statistical showing by plaintiffs would next require the Agency to show: that the reason the Agency targeted certain positions for elimination was justified by business necessity. Oral Arg. 36:54-37:29; see id. at 22:23-39 (plaintiffs' counsel explaining same). If on remand plaintiffs clear the statistical hurdle, the parties will have an opportunity after appropriate discovery to address whether the Agency's execution of the reduction in force was justified by business necessity. Justification supporting elimination or downsizing of certain offices *1254might at that point be seen to respond to the relevant statistical showing.
Because plaintiffs have leveled their disparate impact challenge against the particular target of the Agency's process for cutting and culling job categories, we reverse the district court's decision to the contrary, and the accompanying denial on mootness grounds of the motion for class certification, and remand for further proceedings consistent with this opinion.
B. Challenges to the Bachelor's Degree Requirement
The district court also granted summary judgment in the Agency's favor on plaintiffs' disparate impact and disparate treatment challenges to the bachelor's degree requirement associated with the Family Support Worker position. The court correctly concluded that plaintiffs failed to raise a triable issue.
1. Disparate Impact
The district court held that plaintiffs failed to meet their burden to identify a race-based statistical disparity potentially caused by the challenged degree requirement. Davis ,
The district court also doubted the plaintiffs' race-based challenges to the degree requirement for the FSW position on the ground that all of the Agency's FSW hires were African American. Davis ,
2. Disparate Treatment
The district court also granted summary judgment in the Agency's favor on the disparate treatment challenge to *1255the FSW's degree requirement. That disparate treatment claim relied solely on statistical disparities. See Davis ,
Plaintiffs could have sought to prove their disparate treatment claim with other circumstantial or direct evidence that the Agency implemented the degree requirement for racial reasons. And because the district court bifurcated discovery, limiting the first phase to statistical evidence of disparate impact, plaintiffs had not yet had a chance to develop record support regarding the relevant decision makers' motivation for creating the FSW post and its attendant degree requirement. See Scheduling Order. But, by conceding that their claim was based solely on statistical evidence and failing to oppose summary judgment on this claim with a Rule 56(d) declaration asserting their entitlement to discovery to support it, Plaintiffs forfeited any claim to investigate the motive behind the FSW's degree requirement. As a result, we affirm the district court's grant of summary judgment in the Agency's favor as to the disparate treatment claim against the degree requirement.
C. Estoppel by Bankruptcy Filings
Finally, we consider the district court's dismissal of the claims of some individual plaintiffs. Because no claims regarding the FSW's degree requirement remain, we need not address the district court's holding that two plaintiffs who have bachelor's degrees, Darius Morris and Zaccheus Ajakaiye, lacked standing to challenge that requirement. We therefore turn to the court's decision that two plaintiffs' Title VII claims are barred by estoppel.
The court held that Ajakaiye and another plaintiff, Stephanie Alston, were judicially estopped from proceeding because they had failed to disclose their Title VII claims in their personal bankruptcy proceedings. See Davis ,
Judicial estoppel "prevents a party from asserting a claim in a legal proceeding that is inconsistent with a claim taken by that party in a previous proceeding." Moses v. Howard Univ. Hosp. ,
There is no dispute that plaintiffs failed to disclose their potential Title VII claims in their bankruptcy petitions. Ajakaiye filed his bankruptcy petition on July 2, 2010. Two weeks later, on July 16, 2010, he filed the EEOC charge that, on September 16, 2010, germinated into the complaint in this case. The bankruptcy court discharged Ajakaiye's debts on October 14, 2010, without Ajakaiye's ever having disclosed the EEOC proceeding or the ensuing suit. Alston, for her part, filed her bankruptcy petition on May 21, 2013, three years after plaintiffs filed suit in this case; she also failed to disclose the circumstances of her potential claim before her debts were discharged in bankruptcy.
Plaintiffs challenge the application of judicial estoppel to their claims on two grounds. First, they argue that judicial estoppel is an affirmative defense that the District did not raise in its Answer so forfeited. But the doctrine is not only a defense; because it also protects the integrity of the judicial process, a court may invoke judicial estoppel "at its discretion." See New Hampshire ,
Plaintiffs also contend that the application of judicial estoppel is inappropriate in cases of an inadvertent or mistaken failure to disclose claims or potential claims. See Marshall ,
To be sure, the district court could have exercised its discretion differently, given that estoppel "looks toward cold manipulation and not unthinking or confused blunder." Konstantinidis v. Chen ,
* * *
We reverse the district court's entry of summary judgment for the District as to plaintiffs' disparate impact challenge to the firings under both Title VII and the District of Columbia Human Rights Act, and the associated denial of the motion for class certification, and remand for further proceedings consistent with this opinion. We affirm the district court's grant of summary judgment on the remaining Title VII and District of Columbia Human Rights Act claims. We also affirm the district court's dismissal of all claims by plaintiffs Alston and Ajakaiye on judicial estoppel grounds.
So ordered.
Some of the plaintiffs' references to the RIF "as a whole" appear to respond to the Agency's efforts to reframe the analysis. Plaintiffs resisted the narrow focus of the Agency's statistical expert on the effects within departments and job categories chosen for elimination; they claim the RIF was "agency-wide," and that the correct comparison is between the jobs selected for elimination and the agency as a whole. Pls.' Mem. at 18, ECF Doc. 148, Davis v. District of Columbia , No. 10-1564 (D.D.C. Dec. 21, 2015).
Concurring in Part
This case arises out of a reduction in force (RIF) conducted by the District of Columbia Child and Family Services Agency. The plaintiffs challenged the RIF as the source of an alleged disparate impact on black employees. On summary judgment, the district court held that the RIF itself-a series of layoffs-was not a particular employment practice subject to disparate-impact challenge under Title VII.
My colleagues remand for the district court to consider other challenges to more specific practices through which the RIF might have been implemented-decisions to eliminate certain job categories and to permit individual supervisors to use subjective criteria in making layoff decisions. Because the plaintiffs disavowed those challenges, and because the challenge that they made lacks merit, I would affirm the summary judgment in its entirety.
I
Title VII of the Civil Rights Act of 1964 makes it unlawful for an employer "to limit, segregate, or classify" employees in any way that would "adversely affect" an individual's "status as an employee, because of ... race." 42 U.S.C. § 2000e-2(a)(2). In Griggs v. Duke Power Co. ,
Congress responded to these decisions with the Civil Rights Act of 1991, which codified disparate-impact liability and specified its parameters. Pub. L. No. 102-166, § 105,
The D.C. Child and Family Services Agency provides services to abused and neglected children. In 2009 and 2010, the City Council reduced the Agency's budget by $ 37.4 million and lowered its cap on *1258employees from 940 to 840. As a result, the Agency undertook a RIF in which 115 employees lost their jobs. About 70 of these employees were Social Worker Associates (SWAs) or Social Service Assistants (SSAs). The others worked in various divisions throughout the Agency.
The plaintiffs are former employees terminated during the RIF. They contend that the RIF writ large produced an unlawful disparate impact on black employees, and they seek to represent a putative class of all employees terminated during the RIF, including a subclass of all terminated black employees. Between 2010 and 2015, the plaintiffs filed four different complaints, conducted discovery on the alleged disparate impact, and produced two expert reports addressing it. The plaintiffs' expert sought to measure the effect of the RIF as a whole, by comparing the racial composition of the terminated employees to that of the overall Agency workforce. See Expert Report of Dr. Paige Munro, Davis v. District of Columbia , No. 10-cv-1564 (D.D.C.), ECF Doc. 146-3, Ex. I at 1-4; Rebuttal Report of Dr. Paige Munro, ECF Doc. 146-4, Ex. K at 2-3.
After all of this, the District moved for summary judgment. As relevant here, it argued that the plaintiffs had neither identified a "particular employment practice" subject to disparate-impact scrutiny nor produced evidence of any statistical disparity caused by such a practice. See Def.'s Mem. Supp. Mot. Summ. J., ECF Doc. 146 at 18-23. In response, the plaintiffs argued that "the RIF" was the challenged "particular employment practice," which produced a disparate impact because the Agency terminated 15.5% of its black employees but only 5.6% of its other employees. See Pls.' Mem. Opp'n Def.'s Mot. Summ. J., ECF Doc. 148 at 37-41.
The district court granted summary judgment for the District. It ruled that the plaintiffs had failed to establish a prima facie case because "the RIF" was not a "particular employment practice" subject to challenge under Title VII's disparate-impact provisions. Davis v. District of Columbia ,
II
The Supreme Court has made clear that, for disparate-impact claims, "the plaintiff's burden in establishing a prima facie case goes beyond the need to show that there are statistical disparities in the employer's work force." Wards Cove ,
For these reasons, Wards Cove required disparate-impact plaintiffs to "begin by identifying the specific employment practice that is challenged,"
Under this framework, the decision to hire or fire workers cannot by itself form the basis for disparate-impact claims. In Smith v. City of Jackson ,
Throughout this litigation, the plaintiffs have predicated their disparate-impact claim on "the RIF, as a whole." Appellants' Br. at 20. But as my colleagues explain, "RIF" is simply a "shorthand for downsizing a workforce." Ante at ----. Thus, the gravamen of the plaintiffs' claim is that a set of layoffs caused the racial composition of the Agency's workforce to change. The plaintiffs do not link that change to anything besides the layoffs. So, they have not identified any "particular employment practice" that caused the adverse impact, and their claim runs afoul of a key Title VII teaching: "a Title VII plaintiff does not make out a case of disparate impact simply by showing that, at the bottom line, there is racial imbalance in the work force." Wards Cove ,
*1260In response, the plaintiffs argue that neither pre-1991 Title VII cases (such as Wards Cove ) nor age-discrimination cases (such as Smith ) apply here. Before 1991, Wards Cove governed disparate-impact claims under both Title VII and the Age Discrimination in Employment Act (ADEA). See Smith ,
The plaintiffs' argument confuses different aspects of the disparate-impact framework. What Congress disapproved was Wards Cove 's formulation of the business-necessity defense, see Pub. L. No. 102-166, § 3(2), 105 Stat. at 1071, which it narrowed. Compare Wards Cove ,
The plaintiffs claim support from three cases, but none helps their position. In Aliotta v. Bair ,
*1261departments to the RIF had a legitimate business justification."); Council 31 ,
Finally, the plaintiffs seek to challenge the RIF under 42 U.S.C. § 2000e-2(k)(1)(B)(i), which provides that if the plaintiff "can demonstrate to the court that the elements of a respondent's decisionmaking process are not capable of separation for analysis," then "the decisionmaking process may be analyzed as one employment practice." In opposing summary judgment, the plaintiffs never invoked that provision, much less sought to create a triable issue on whether the Agency's decisionmaking was "capable of separation for analysis." The plaintiffs thus have forfeited this possible basis for attacking the RIF as a whole. See, e.g. , Chichakli v. Tillerson ,
III
My colleagues do not seek to defend the plaintiffs' arguments on their own terms, but rather to recast them. They repackage the plaintiffs' broad challenge to the RIF as a much narrower attack on "the Agency's choices to (a) target the SWA and SSA job categories for elimination; and (b) allow managers to make putatively individualized, discretionary and subjective choices of which positions to winnow from other units." Ante at 1250. They thus describe this case as one involving "the practices through which an employer implements a RIF," ante at 1250, along the lines contemplated by Council 31 and Shollenbarger .
What my colleagues describe is not the case that the plaintiffs presented, either below or on appeal. Instead, the plaintiffs have consistently framed their lawsuit as a challenge to the RIF writ large. In the district court, they opposed summary judgment by arguing that "a RIF conducted due to budget cuts is a facially neutral employment practice that can be considered under disparate impact theory." Pls.' Mem., ECF Doc. 148 at 38. Then, they stated unequivocally that "the specific employment practice in this case is the RIF." Id . at 40. On appeal, the plaintiffs continued to direct their challenge to "the RIF, as a whole." Appellants' Br. at 20; accord Appellants' Reply Br. at 6 ("the RIF is the 'particular employment practice' that resulted in a disparate impact based on race"); id . at 8 ("the discriminatory 'particular employment practice' that disparately impacted Plaintiffs-Appellants was the RIF itself"). And at oral argument, the plaintiffs repeated this point no fewer than six times. See Oral Arg. 2:38 ("a RIF is a particular employment practice"); 4:24 ("the RIF was a particular employment practice"); 5:56 (challenging "the decision to lay off employees"); 9:57 ("The target is the layoff decision"); 10:23 ("plaintiffs have met their prima facie duty to identify the RIF as a particular employment practice"); 13:12 ("the RIF does meet Title VII"). As the plaintiffs pursued it, this case was about the RIF itself.
Moreover, in the district court, the plaintiffs expressly disclaimed both of the challenges now suggested by my colleagues. Far from alleging that the SWA and SSA positions were targeted for elimination, the plaintiffs posited that these positions were replaced by a new, functionally identical position of Family Support Worker (FSW). Pls.' Mem., ECF Doc. 148 at 8-11. Furthermore, the plaintiffs described the RIF as an "agency-wide" layoff driven by budget cuts, id . at 37-38, and they argued that "[n]othing" in the record *1262"indicated that the RIF targeted particular positions," id . at 6. As for subjective judgments, the plaintiffs said in no uncertain terms, in a bolded argument heading: "The RIF was not the result of subjective decision-making." Id . at 39. The plaintiffs made these disclaimers not once, but several times. See, e.g. , id . at 3 ("there is not a single piece of evidence on the record that supports" the premise that the RIF was concentrated in "specific offices and divisions within the agency" (quotation marks omitted)); id . ("the agency undertook a neutral cost-cutting move rather than a targeted realignment"); id . at 40 ("Defendant simply cannot show that the RIF was a targeted subjective process"); Pls.' Stmt. Disputed Material Facts, ECF Doc. 148-1 at 3 ("Nothing ... indicated that the RIF targeted particular positions or was conducted as a result of individual decisions."); id . at 4 ("The personnel cuts were not driven by a targeted realignment of the Agency."). Even on appeal, the plaintiffs never sought to predicate their claim on the putative targeting of SWA and SSA positions. They do now briefly argue that the RIF was implemented through an ad hoc system of "subjective" decisionmaking, Appellants' Br. at 25-27, but parties cannot change positions on appeal, see Keepseagle v. Perdue ,
The district court clearly identified what the plaintiffs were and were not challenging. As it explained, the plaintiffs "framed the RIF itself " as the challenged employment practice, Blue Mountain Mushroom Co., Inc. v. Monterey Mushroom, Inc. ,
My colleagues respond that because the Agency's specific "processes" for implementing the RIF are "properly before the court," we are not "limited to the particular legal theories advanced by the parties." Ante at 1253 (quoting Kamen v. Kemper Fin. Servs., Inc. ,
*1263Where distinct employment practices are at issue, plaintiffs must separately preserve challenges to each one. See, e.g. , Brooks v. Grundmann ,
The requirement of precisely identifying the challenged employment practice is no mere pleading quibble. To the contrary, it has substantial consequences in any Title VII case. Here, for example, a challenge to the alleged targeting of SWA and SSA positions would have benefitted substantially fewer prospective class members, thus also substantially reducing the expected aggregate recovery for the class. It also would have rendered irrelevant the agency-wide statistics developed by the plaintiffs' own expert, given the "essential requirement" that "the data concern those persons subject to the challenged employment practice." Carpenter v. Boeing Co. ,
In short, the plaintiffs challenged nothing more specific than the RIF. Because the RIF is not a "particular employment practice" within the meaning of Title VII, the plaintiffs failed to establish a prima facie case of disparate-impact discrimination. Accordingly, I respectfully dissent from Part II.A of the Court's opinion, but join the balance of Part II.
My colleagues suggest that agency-wide statistics might suffice to make the case that they sketch out. Ante at 1252-53. But a Title VII plaintiff must "demonstrate that each particular challenged employment practice causes a disparate impact." 42 U.S.C. § 2000e-2(k)(1)(B)(i). So, a case resting on (1) elimination of the SSA and SWA positions and (2) use of individual supervisors' subjective decisions to make further cuts would need separate statistical analyses of each practice.
Reference
- Full Case Name
- Ronda L. DAVIS, Et Al., Appellants v. DISTRICT OF COLUMBIA, Appellee
- Cited By
- 26 cases
- Status
- Published