Ricci v. DeStefano
Full Opinion (html_with_citations)
delivered the opinion of the Court.
In the fire department of New Haven, Connecticut â as in emergency-service agencies throughout the Nation â fire
In 2003, 118 New Haven firefighters took examinations to qualify for promotion to the rank of lieutenant or captain. Promotion examinations in New Haven (or City) were infrequent, so the stakes were high. The results would determine which firefighters would be considered for promotions during the next two years, and the order in which they would be considered. Many firefighters studied for months, at considerable personal and financial cost.
When the examination results showed that white candidates had outperformed minority candidates, the mayor and other local politicians opened a public debate that turned rancorous. Some firefighters argued the tests should be discarded because the results showed the tests to be discriminatory. They threatened a discrimination lawsuit if the City made promotions based on the tests. Other firefighters said the exams were neutral and fair. And they, in' turn, threatened a discrimination lawsuit if the City, relying on the statistical racial disparity, ignored the test results and denied promotions to the candidates who had performed well. In the end the City took the side of those who protested the test results. It threw out the examinations.
Certain white and Hispanic firefighters who likely would have been promoted based on their good test performance
We conclude that race-based action like the Cityâs in this case is impermissible under Title VII unless the employer can demonstrate a strong basis in evidence that, had it not taken the action, it would have been liable under the disparate-impact statute. Respondents, we further determine, cannot meet that threshold standard. As a result, the Cityâs action in discarding the tests was a violation of Title VII. In light of our ruling under the statutes, we need not reach the question whether respondentsâ actions may have violated the Equal Protection Clause.
I
This litigation comes to us after the partiesâ cross-motions for summary judgment, so we set out the facts in some detail. As the District Court noted, although âthe parties strenuously dispute the relevance and legal import of, and inferences to be drawn from, many aspects of this case, the underlying facts are largely undisputed.â 554 F. Supp. 2d 142, 145 (Conn. 2006).
A
When the City of New Haven undertook to fill vacant lieutenant and captain positions in its fire department (Department), the promotion and hiring process was governed by the City charter, in addition to federal and state law. The
The Cityâs contract with the New Haven firefightersâ union specifies additional requirements for the promotion process. Under the contract, applicants for lieutenant and captain positions were to be screened using written and oral examinations, with the written exam accounting for 60 percent and the oral exam 40 percent of an applicantâs total score. To sit for the examinations, candidates for lieutenant needed 30 monthsâ experience in the Department, a high school diploma, and certain vocational training courses. Candidates for captain needed one yearâs service as a lieutenant in the Department, a high school diploma, and certain vocational training courses.
After reviewing bids from various consultants, the City hired Industrial/Organizational Solutions, Inc. (IOS), to develop and administer the examinations, at a cost to the City of $100,000. IOS is an Illinois company that specializes in designing entry-level and promotional examinations for fire and police departments. In order to fit the examinations to the New Haven Department, IOS began the test-design process by performing job analyses to identify the tasks, knowledge, skills, and abilities that are essential for the lieutenant and captain positions. IOS representatives interviewed incumbent captains and lieutenants and their supervisors. They rode with and observed other on-duty officers. Using information from those interviews and ride-alongs, IOS wrote job-analysis questionnaires and administered them to most of the incumbent battalion chiefs, captains, and
With the job-analysis information in hand, IOS developed the written examinations to measure the candidatesâ job-related knowledge. For each test, IOS compiled a list of training manuals, Department procedures, and other materials to use as sources for the test questions. IOS presented the proposed sources to the New Haven fire chief and assistant fire chief for their approval. Then, using the approved sources, IOS drafted a multiple-choice test for each position. Each test had 100 questions, as required by CSB rules, and was written below a 10th-grade reading level. After IOS prepared the tests, the City opened a 3-month study period. It gave candidates a list that identified the source material for the questions, including the specific chapters from which the questions were taken.
IOS developed the oral examinations as well. These concentrated on job skills and abilities. Using the job-analysis information, IOS wrote hypothetical situations to test incident-command skills, firefighting tactics, interpersonal skills, leadership, and management ability, among other things. Candidates would be presented with these hypothetical and asked to respond before a panel of three assessors.
IOS assembled a pool of 30 assessors who were superior in rank to the positions being tested. At the Cityâs insistence (because of controversy surrounding previous examinations), all the assessors came from outside Connecticut. IOS submitted the assessorsâ resumes to City officials for approval. They were battalion chiefs, assistant chiefs, and chiefs from departments of similar sizes to New Havenâs throughout the country. Sixty-six percent of the panelists were minorities, and each of the nine three-member assessment panels con
Candidates took the examinations in November and December 2003. Seventy-seven candidates completed the lieutenant examination â 43 whites, 19 blacks, and 15 Hispanics. Of those, 34 candidates passed â 25 whites, 6 blacks, and 3 Hispanics. 554 F. Supp. 2d, at 145. Eight lieutenant positions were vacant at the time of the examination. As the rule of three operated, this meant that the top 10 candidates were eligible for an immediate promotion to lieutenant. All 10 were white. Ibid. Subsequent vacancies would have allowed at least 3 black candidates to be considered for promotion to lieutenant.
Forty-one candidates completed the captain examinationâ 25 whites, 8 blacks, and 8 Hispanics. Of those, 22 candidates passed â 16 whites, 3 blacks, and 3 Hispanics. Ibid. Seven captain positions were vacant at the time of the examination. Under the rule of three, 9 candidates were eligible for an immediate promotion to captain â 7 whites and 2 Hispanics. Ibid.
The Cityâs contract with IOS contemplated that, after the examinations, IOS would prepare a technical report that described the examination processes and methodologies and analyzed the results. But in January 2004, rather than requesting the technical report, City officials, including the Cityâs counsel, Thomas Ude, convened a meeting with IOS Vice President Chad Legel. (Legel was the leader of the IOS team that developed and administered the tests.) Based on the test results, the City officials expressed concern that the tests had discriminated against minority candidates. Legel defended the examinationsâ validity, stating that any numerical disparity between white and minority candidates was likely due to various external factors and was
Several days after the meeting, Ude sent a letter to the CSB purporting to outline its duties with respect to the examination results. Ude stated that under federal law, âa statistical demonstration of disparate impact,â standing alone, âconstitutes a sufficiently serious claim of racial discrimination to serve as a predicate for employer-initiated, voluntar[y] remedies â even . . . race-conscious remedies.â App. to Pet. for Cert. in No. 07-1428, p. 443a; see also 554 F. Supp. 2d, at 145 (issue of disparate impact âappears to have been raised by . . . Udeâ).
1
The CSB first met to consider certifying the results on January 22, 2004. Tina Burgett, director of the Cityâs Department of Human Resources, opened the meeting by telling the CSB that âthere is a significant disparate impact on these two exams.â App. to Pet. for Cert. in No. 07-1428, at 466a. She distributed lists showing the candidatesâ races and scores (written, oral, and composite) but not their names. Ude also described the test results as reflecting âa very significant disparate impact,â id., at 477a, and he outlined possible grounds for the CSBâs refusing to certify the results.
Although they did not know whether they had passed or failed, some firefighter-candidates spoke at the first CSB meeting in favor of certifying the test results. Michael Blatchley stated that â[e]very oneâ of the questions on the written examination âcame from the [study] material.... [I]f you read the materials and you studied the material, you would have done well on the test.â App. in No. 06-4996-cv (CA2), pp. A772-A773 (hereinafter CA2 App.). Frank Ricci stated that the test questions were based on the Departmentâs own rules and procedures and on ânationally recognizedâ materials that represented the âaccepted standard[s]â for firefighting. Id., at A785-A786. Ricci stated that he
Other firefighters spoke against certifying the test results. They described the test questions as outdated or not relevant to firefighting practices in New Haven. Gary Tinney stated that source materials âcame out of New York. . . . Their makeup of their city and everything is totally different than ours.â Id., at A774-A775; see also id., at A779, A780-A781. And they criticized the test materials, a full set of which cost about $500, for being too expensive and too long.
2
At a second CSB meeting, on February 5, the president of the New Haven firefightersâ union asked the CSB to perform a validation study to determine whether the tests were job related. Petitionersâ counsel in this action argued that the CSB should certify the results. A representative of the International Association of Black Professional Firefighters, Donald Day from neighboring Bridgeport, Connecticut, âbeseech[ed]â the CSB âto throw away that test,â which he described as âinherently unfairâ because of the racial distribution of the results. Id., at A830-A831. Another Bridgeport-based representative of the association, Ronald Mackey, stated that a validation study was necessary. He suggested that the City could âadjustâ the test results to âmeet the criteria of having a certain amount of minorities get elevated to the rank of Lieutenant and Captain.â Id., at A838. At the end of this meeting, the CSB members agreed to ask IOS to send a representative to explain how it had developed and administered the examinations. They also
3
At a third meeting, on February 11, Legel addressed the CSB on behalf of IOS. Legel stated that IOS had previously prepared entry-level firefighter examinations for the City but not a promotional examination. He explained that IOS had developed examinations for departments in communities with demographics similar to New Havenâs, including Orange County, Florida; Lansing, Michigan; and San Jose, California.
Legel explained the exam-development process to the CSB. He began by describing the job analyses IOS performed of the captain and lieutenant positions â the interviews, ride-alongs, and questionnaires IOS designed to âgenerate a list of tasks, knowledge, skills and abilities that are considered essential to performanceâ of the jobs. Id., at A931-A932. He outlined how IOS prepared the written and oral examinations, based on the job-analysis results, to test most heavily those qualities that the results indicated were âeritica[l]â or âessential[l].â Id., at A931. And he noted that IOS took the material for each test question directly from the approved source materials. Legel told the CSB that third-party reviewers had scrutinized the examinations to ensure that the written test was drawn from the source material and that the oral test accurately tested real-world situations that captains and lieutenants would face. Legel confirmed that IOS had selected oral-examination panelists so that each three-member assessment panel included one white, one black, and one Hispanic member.
Near the end of his remarks, Legel âimplor[ed] anyone that had... concerns to review the content of the exam. In my professional opinion, itâs facially neutral. Thereâs nothing in those examinations ... that should cause somebody to think that one group would perform differently than another group.â Id., at A961.
At the next meeting, on March 11, the CSB heard from three witnesses it had selected to âtell us a little bit about their views of the testing, the process, [and] the methodology.â Id., at A1020. The first, Christopher Hornick, spoke to the CSB by telephone. Hornick is an industrial/organizational psychologist from Texas who operates a consulting business that âdirect[ly]â competes with IOS. Id., at A1029. Hornick, who had not âstudied] the test at length or in detailâ and had not âseen the job analysis data,â told the CSB that the scores indicated a ârelatively high adverse impact.â Id., at A1028, A1030, A1043. He stated that â[n]ormally, whites outperform ethnic minorities on the majority of standardized testing procedures,â but that he was âa little surprisedâ by the disparity in the candidatesâ scoresâ although â[s]ome of it is fairly typical of what weâve seen in other areas of the countrfy] and other tests.â Id., at A1028-A1029. Hornick stated that the âadverse impact on the written exam was somewhat higher but generally in the range that weâve seen professionally.â Id., at A1030-A1031.
When asked to explain the New Haven test results, Hornick opined in the telephone conversation that the collective-bargaining agreementâs requirement of using written and oral examinations with a 60/40 composite score might account for the statistical disparity. He also stated that â[b]y not having anyone from within the [D]epartment reviewâ the tests before they were administered â a limitation the City had imposed to protect the security of the exam questions â âyou inevitably get things in thereâ that are based on the source materials but are not relevant to New Haven. Id., at A1034-A1035. Hornick suggested that testing candidates at an âassessment centerâ rather than using written and oral examinations âmight serve [the Cityâs] needs better.â Id., at A1039-A1040. Hornick stated that assessment centers, where candidates face real-world situations and respond just as they would in the field, allow candi
Hornick made clear that he was ânot suggesting that [IOS] somehow created a test that had adverse impacts that it should not have had.â Id., at A1038. He described the IOS examinations as âreasonably good test[s].â Id., at A1041. He stated that the CSBâs best option might be to âcertify the list as it existsâ and work to change the process for future tests, including by â[r]ewriting the Civil Service Rules.â Ibid. Hornick concluded his telephonic remarks by telling the CSB that âfor the future,â his company âcertainly would like to help you if we can.â Id., at A1046.
The second witness was Vincent Lewis, a fire program specialist for the Department of Homeland Security and a retired fire captain from Michigan. Lewis, who is black, had looked âextensivelyâ at the lieutenant exam and âa little less extensivelyâ at the captain exam. He stated that the candidates âshould know that material.â Id., at A1048, A1052. In Lewisâ view, the âquestions were relevant for both exams,â and the New Haven candidates had an advantage because the study materials identified the particular book chapters from which the questions were taken. In other departments, by contrast, âyou had to know basically the . . . entire book.â Id., at A1053. Lewis concluded that any disparate impact likely was due to a pattern that âusually whites outperform some of the minorities on testing,â or that âmore whites . .. take the exam.â Id., at A1054.
The final witness was Janet Helms, a professor at Boston College whose âprimary area of expertiseâ is ânot with firefighters per seâ but in ârace and culture as they influence performance on tests and other assessment procedures.â Id., at A1060. Helms expressly declined the CSBâs offer to review the examinations. At the outset, she noted that âregardless of what kind of written test we give in this country ... we can just about predict how many people will pass
5
At the final CSB meeting, on March 18, Ude (the Cityâs counsel) argued against certifying the examination results. Discussing the Cityâs obligations under federal law, Ude advised the CSB that a finding of adverse impact âis the beginning, not the end, of a review of testing proceduresâ to determine whether they violated the disparate-impact provision of Title VII. Ude focused the CSB on determining âwhether there are other ways to test for ... those positions that are equally valid with less adverse impact.â Id., at A1101. Ude described Hornick as having said that the written examination âhad one of the most severe adverse impacts that he had seenâ and that âthere are much better alternatives to identifying [firefighting] skills.â Ibid. Ude offered his âopinion that promotions ... as a result of these tests would not be consistent with federal law, would not be consistent with the purposes of our Civil Service Rules or our Charter[,] nor is it in the best interests of the firefighters ... who took the exams.â Id., at A1103-A1104. He stated that previous Department exams âhave not had this kind of result,â and that previous results had not been âchallenged as
CSB Chairman Segaloff asked Ude several questions about the Title VII disparate-impact standard.
âCHAIRPERSON SEGALOFF: [M]y understanding is the group . . . that is making to throw the exam out has the burden of showing that there is out there an exam that is reasonably probable or likely to have less of an adverse impact. Itâs not our burden to show that thereâs an exam out there that can be better. Weâve got an exam. Weâve got a result....
âMR. UDE: Mr. Chair, I point out that Dr. Hornick said that. He said that there are other tests out there that would have less adverse impact and that [would] be more valid.
âCHAIRPERSON SEGALOFF: You think thatâs enough for us to throw this test upside-down... because Dr. Hornick said it?
âMR. UDE: I think that by itself would be sufficient. Yes. I also would point out that... it is the employerâs burden to justify the use of the examination.â Id., at A1108-A1109.
Karen DuBois-Walton, the Cityâs chief administrative officer, spoke on behalf of Mayor John DeStefano and argued against certifying the results. DuBois-Walton stated that the results, when considered under the rule of three and applied to then-existing captain and lieutenant vacancies, created a situation in which black and Hispanic candidates were disproportionately excluded from opportunity. DuBoisWalton also relied on Hornickâs testimony, asserting that Hornick âmade it extremely clear that . . . there are more appropriate ways to assess oneâs ability to serveâ as a captain or lieutenant. Id., at A1120.
Burgett (the human resources director) asked the CSB to discard the examination results. She, too, relied on Hor
Other witnesses addressed the CSB. They included the president of the New Haven firefightersâ union, who supported certification. He reminded the CSB that Hornick âalso concluded that the tests were reasonable and fair and under the current structure to certify them.â Id., at A1137. Firefighter Frank Ricci again argued for certification; he stated that although âassessment centers in some cases show less adverse impact,â id., at A1140, they were not available alternatives for the current round of promotions. It would take several years, Ricci explained, for the Department to develop an assessment-center protocol and the accompanying training materials. Id., at A1141. Lieutenant Matthew Marcarelli, who had taken the captainâs exam, spoke in favor of certification.
At the close of witness testimony, the CSB voted on a motion to certify the examinations. With one member recused, the CSB deadlocked 2 to 2, resulting in a decision not to certify the results. Explaining his vote to certify the results, Chairman Segaloff stated that ânobody convinced me that we can feel comfortable that, in fact, thereâs some likelihood that thereâs going to be an exam designed thatâs going to be less discriminatory.â Id., at A1159-A1160.
C
The CSBâs decision not to certify the examination results led to this lawsuit. The plaintiffs â who are the petitioners here â are 17 white firefighters and 1 Hispanic firefighter who passed the examinations but were denied a chance at promotions when the CSB refused to certify the test results. They include the named plaintiff, Frank Ricci, who addressed the CSB at multiple meetings.
The parties filed cross-motions for summary judgment. Respondents asserted they had a good-faith belief that they would have violated the disparate-impact prohibition in Title VII, § 2000e-2(k), had they certified the examination results. It follows, they maintained, that they cannot be held liable under Title VIIâs disparate-treatment provision for attempting to comply with Title VIPs disparate-impact bar. Petitioners countered that respondentsâ good-faith belief was not a valid defense to allegations of disparate treatment and unconstitutional discrimination.
The District Court granted summary judgment for respondents. 554 F. Supp. 2d 142. It described petitionersâ argument as âboil[ing] down to the assertion that if [respondents] cannot prove that the disparities on the Lieutenant and Captain exams were due to a particular flaw inherent in those exams, then they should have certified the results because there was no other alternative in place.â Id., at 156. The District Court concluded that, â [notwithstanding the shortcomings in the evidence on existing, effective alterna
After full briefing and argument by the parties, the Court of Appeals affirmed in a one-paragraph, unpublished summary order; it later withdrew that order, issuing in its place a nearly identical, one-paragraph per curiam opinion adopting the District Courtâs reasoning. 580 F. 3d 87 (CA2 2008). Three days later, the Court of Appeals voted 7 to 6 to deny rehearing en bane, over written dissents by Chief Judge Jacobs and Judge Cabranes. 530 F. 3d 88.
This action presents two provisions of Title VII to be interpreted and reconciled, with few, if any, precedents in the courts of appeals discussing the issue. Depending on the resolution of the statutory claim, a fundamental constitutional question could also arise. We found it prudent and appropriate to grant certiorari. 555 U. S. 1091 (2009). We now reverse.
II
Petitioners raise a statutory claim, under the disparate-treatment prohibition of Title VII, and a constitutional claim, under the Equal Protection Clause of the Fourteenth Amendment. A decision for petitioners on their statutory claim would provide the relief sought, so we consider it first.
A
Title VII of the Civil Rights Act of 1964,42 U. S. C. § 2000e et seq., as amended, prohibits employment discrimination on the basis of race, color, religion, sex, or national origin. Title VII prohibits both intentional discrimination (known as âdisparate treatmentâ) as well as, in some cases, practices that are not intended to discriminate but in fact have a disproportionately adverse effect on minorities (known as âdisparate impactâ).
As enacted in 1964, Title VIIâs principal nondiscrimination provision held employers liable only for disparate treatment. That section retains its original wording today. It makes it unlawful for an employer âto fail or refuse to hire or to discharge any individual, or otherwise to discriminate against any individual with respect to his compensation, terms, conditions, or privileges of employment, because of such individualâs race, color, religion, sex, or national origin.â §2000e-2(a)(1); see also 78 Stat. 255. Disparate-treatment cases present âthe most easily understood type of discrimination,â Teamsters v. United States, 431 U. S. 324, 335, n. 15 (1977), and occur where an employer has âtreated [a] particular person less favorably than others because ofâ a protected trait, Watson v. Fort Worth Bank & Trust, 487 U. S. 977, 985-986 (1988). A disparate-treatment plaintiff must establish âthat the defendant had a discriminatory intent or motiveâ for taking a job-related action. Id., at 986.
The Civil Rights. Act of 1964 did not include an express prohibition on policies or practices that produce a disparate impact. But in Griggs v. Duke Power Co., 401 U. S. 424 (1971), the Court interpreted the Act to prohibit, in some cases, employersâ facially neutral practices that, in fact, are
Twenty years after Griggs, the Civil Rights Act of 1991, 105 Stat. 1071, was enacted. The Act included a provision codifying the prohibition on disparate-impact discrimination. That provision is now in force along with the disparate-treatment section already noted. Under the disparate-impact statute, a plaintiff establishes a prima facie violation by showing that an employer uses âa particular employment practice that causes a disparate impact on the basis of race, color, religion, sex, or national origin.â 42 U. S. C. §2000e-2(k)(l)(A)(i). An employer may defend against liability by demonstrating that the practice is âjob related for the position in question and consistent with business necessity.â Ibid. Even if the employer meets that burden, however, a plaintiff may still succeed by showing that the employer refuses to adopt an available alternative employment practice that has less disparate impact and serves the employerâs legitimate needs. §§ 2000e-2(k)(l)(A)(ii) and (C).
B
Petitioners allege that when the CSB refused to certify the captain and lieutenant exam results based on the race of
Our analysis begins with this premise: The Cityâs actions would violate the disparate-treatment prohibition of Title VII absent some valid defense. All the evidence demonstrates that the City chose not to certify the examination results because of the statistical disparity based on raceâ i. e., how minority candidates had performed when compared to white candidates. As the District Court put it, the City rejected the test results because âtoo many whites and not enough minorities would be promoted were the lists to be certified.â 554 F. Supp. 2d, at 152; see also ibid, (respondentsâ âown arguments . . . show that the Cityâs reasons for advocating non-certification were related to the racial distribution of the resultsâ). Without some other justification, this express, race-based decisionmaking violates Title VIPs command that employers cannot take adverse employment actions because of an individualâs race. See § 2000e-2(a)(l).
The District Court did not adhere to this principle, however. It held that respondentsâ âmotivation to avoid making promotions based on a test with a racially disparate impact . . . does not, as a matter of law, constitute discriminatory intent.â Id., at 160. And the Government makes a similar argument in this Court. It contends that the âstructure of Title VII belies any claim that an employerâs intent to comply with Title VIPs disparate-impact provisions constitutes prohibited discrimination on the basis of race.â Brief for United States as Amicus Curiae 11. But both of those statements turn upon the Cityâs objective â avoiding disparate-impact liability â while ignoring the Cityâs conduct in the name of reaching that objective. Whatever the Cityâs ultimate aim â however well intentioned or benevolent it might have seemed â the City made its employment decision
We consider, therefore, whether the purpose to avoid disparate-impact liability excuses what otherwise would be prohibited disparate-treatment discrimination. Courts often confront cases in which statutes and principles point in different directions. Our task is to provide guidance to employers and courts for situations when these two prohibitions could be in conflict absent a rule to reconcile them. In providing this guidance our decision must be consistent with the important purpose of Title VII â that the workplace be an environment free of discrimination, where race is not a barrier to opportunity.
With these principles in mind, we turn to the partiesâ proposed means of reconciling the statutory provisions. Petitioners take a strict approach, arguing that under Title VII, it cannot be permissible for an employer to take race-based adverse employment actions in order to avoid disparate-impact liability â even if the employer knows its practice violates the disparate-impact provision. See Brief for Petitioners 43. Petitioners would have us hold that, under Title VII, avoiding unintentional discrimination cannot justify intentional discrimination. That assertion, however, ignores the fact that, by codifying the disparate-impact provision in 1991, Congress has expressly prohibited both types of discrimination. We must interpret the statute to give effect to both provisions where possible. See, e. g., United States v. Atlantic Research Corp., 551 U. S. 128,137 (2007) (rejecting an interpretation that would render a statutory provision âa dead letterâ). We cannot accept petitionersâ broad and inflexible formulation.
Petitioners next suggest that an employer in fact must be in violation of the disparate-impact provision before it can
At the opposite end of the spectrum, respondents and the Government assert that an employerâs good-faith belief that its actions are necessary to comply with Title VIFs disparate-impact provision should be enough to justify race-conscious conduct. But the original, foundational prohibition of Title VII bars employers from taking adverse action âbecause of... race.â § 2000e-2(a)(l). And when Congress codified the disparate-impact provision in 1991, it made no exception to disparate-treatment liability for actions taken in a good-faith effort to comply with the new, disparate-impact provision in subsection (k). Allowing employers to violate the disparate-treatment prohibition based on a mere good-faith fear of disparate-impact liability would encourage race-based action at the slightest hint of disparate impact. A minimal standard could cause employers to discard the results of lawful and beneficial promotional examinations even where there is little if any evidence of disparate-impact discrimination. That would amount to a defacto quota system, in which a âfocus on statistics .. . could put undue pressure on employers to adopt inappropriate prophylactic measures.â
In searching for a standard that strikes a more appropriate balance, we note that this Court has considered cases similar to this one, albeit in the context of the Equal Protection Clause of the Fourteenth Amendment. The Court has held that certain government actions to remedy past racial discrimination â actions that are themselves based on raceâ are constitutional only where there is a â âstrong basis in evidenceââ that the remedial actions were necessary. Richmond v. J A. Croson Co., 488 U. S. 469, 500 (1989) (quoting Wygant, supra, at 277 (plurality opinion)). This suit does not call on us to consider whether the statutory constraints under Title VII must be parallel in all respects to those under the Constitution. That does not mean the constitutional authorities are irrelevant, however. Our cases discussing constitutional principles can provide helpful guidance in this statutory context. See Watson, supra, at 993 (plurality opinion).
Writing for a plurality in Wygant and announcing the strong-basis-in-evidence standard, Justice Powell recognized the tension between eliminating segregation and discrimination on the one hand and doing away with all governmentally imposed discrimination based on race on the other. 476 U. S., at 277. The plurality stated that those ârelated constitutional duties are not always harmonious,â and that âreconciling them requires ... employers to act with extraordinary care.â Ibid. The plurality required a strong basis in evidence because â[ejvidentiary support for the conclusion that
The same interests are at work in the interplay between the disparate-treatment and disparate-impact provisions of Title VII. Congress has imposed liability on employers for unintentional discrimination in order to rid the workplace of âpractices that are fair in form, but discriminatory in operation.â Griggs, supra, at 431. But it has also prohibited employers from taking adverse employment actions âbecause ofâ race. §2000e-2(a)(1). Applying the strong-basis-in-evidence standard to Title VII gives effect to both the disparate-treatment and disparate-impact provisions, allowing violations of one in the name of compliance with the other only in certain, narrow circumstances. The standard leaves ample room for employersâ voluntary compliance efforts, which are essential to the statutory scheme and to Congressâ efforts to eradicate workplace discrimination. See Firefighters, supra, at 515. And the standard appropriately constrains employersâ discretion in making race-based decisions: It limits that discretion to cases in which there is a strong basis in evidence of disparate-impact liability, but it is not so restrictive that it allows employers to act only when there is a provable, actual violation.
Resolving the statutory conflict in this way allows the disparate-impact prohibition to work in a manner that is consistent with other provisions of Title VII, including the prohibition on adjusting employment-related test scores on the basis of race. See §2000e-2(l). Examinations like those administered by the City create legitimate expectations on the part of those who took the tests. As is the case with any promotion exam, some of the firefighters here invested substantial time, money, and personal commitment in prepar
If an employer cannot rescore a test based on the candidatesâ race, §2000e-2(0, then it follows a fortiori that it may not take the greater step of discarding the test altogether to achieve a more desirable racial distribution of promotion-eligible candidates â absent a strong basis in evidence that the test was deficient and that discarding the results is necessary to avoid violating the disparate-impact provision. Restricting an employerâs ability to discard test results (and thereby discriminate against qualified candidates on the basis of their race) also is in keeping with Title VIIâs express protection of bona fide promotional examinations. See § 2000e-2(h) (â[N]or shall it be an unlawful employment practice for an employer to give and to act upon the results of any professionally developed ability test provided that such test, its administration or action upon the results is not designed, intended or used to discriminate because of raceâ); cf. AT&T Corp. v. Hulteen, 556 U. S. 701, 710 (2009).
For the foregoing reasons, we adopt the strong-basis-in-evidence standard as a matter of statutory construction to resolve any conflict between the disparate-treatment and disparate-impact provisions of Title VII.
Our statutory holding does not address the constitutionality of the measures taken here in purported compliance with Title VII. We also do not hold that meeting the strong-basis-in-evidence standard would satisfy the Equal Protection Clause in a future case. As we explain below, because respondents have not met their burden under Title VII, we need not decide whether a legitimate fear of disparate impact is ever sufficient to justify discriminatory treatment under the Constitution.
Title VII does not prohibit an employer from considering, before administering a test or practice, how to design that test or practice in order to provide a fair opportunity for all individuals, regardless of their race. And when, during the test-design stage, an employer invites comments to ensure the test is fair, that process can provide a common ground for open discussions toward that end. We hold only that, under Title VII, before an employer can engage in intentional discrimination for the asserted purpose of avoiding or remedying an unintentional disparate impact, the employer must have a strong basis in evidence to believe it will be subject to disparate-impact liability if it fails to take the race-conscious, discriminatory action.
C
The City argues that, even under the strong-basis-in-evidence standard, its decision to discard the examination results was permissible under Title VII. That is incorrect. Even if respondents were motivated as a subjective matter by a desire to avoid committing disparate-impact discrimination, the record makes clear there is no support for the conclusion that respondents had an objective, strong basis in evidence to find the tests inadequate, with some consequent disparate-impact liability in violation of Title VII.
The racial adverse impact here was significant, and petitioners do not dispute that the City was faced with a prima facie case of disparate-impact liability. On the captain exam, the pass rate for white candidates was 64 percent but was 37.5 percent for both black and Hispanic candidates. On the lieutenant exam, the pass rate for white candidates was 58.1 percent; for black candidates, 31.6 percent; and for Hispanic candidates, 20 percent. The pass rates of minorities, which were approximately one-half the pass rates for white candidates, fall well below the 80-percent standard set by the EEOC to implement the disparate-impact provision of Title VII. See 29 CFR § 1607.4(D) (2008) (selection rate that
Based on the degree of adverse impact reflected in the results, respondents were compelled to take a hard look at the examinations to determine whether certifying the results would have had an impermissible disparate impact. The problem for respondents is that a prima facie case of disparate-impact liability â essentially, a threshold showing of a significant statistical disparity, Connecticut v. Teal, 457 U. S. 440, 446 (1982), and nothing more â is far from a strong basis in evidence that the City would have been liable under Title VII had it certified the results. That is because the City could be liable for disparate-impact discrimination only if the examinations were not job related and consistent with business necessity, or if there existed an equally valid, less-discriminatory alternative that served the Cityâs needs but that the City refused to adopt. §§2000e-2(k)(l)(A), (C). We conclude there is no strong basis in evidence to establish that the tests were deficient in either of these respects. We address each of the two points in turn, based on the record developed by the parties through discovery â a record that concentrates in substantial part on the statements various witnesses made to the CSB.
1
There is no genuine dispute that the examinations were job related and consistent with business necessity. The Cityâs assertions to the contrary are âblatantly contradicted
Arguing that the examinations were not job related, respondents note some candidatesâ complaints that certain examination questions were contradictory or did not specifically apply to firefighting practices in New Haven. But Legel told the CSB that IOS had addressed those concernsâ that it entertained âa handfulâ of challenges to the validity of particular examination questions, that it âreviewed those challenges and provided feedback [to the City] as to what we thought the best course of action was,â and that he could remember at least one question IOS had thrown out (âoffer-ting] credit to everybody for that particular questionâ). Id., at A955-A957. For his part, Hornick said he âsuspect[ed] that some of the criticisms ... [leveled] by candidatesâ were not valid. Id., at A1035.
2
Respondents also lacked a strong basis in evidence of an equally valid, less discriminatory testing alternative that the City, by certifying the examination results, would necessarily have refused to adopt. Respondents raise three arguments to the contrary, but each argument fails. First, respondents refer to testimony before the CSB that a different composite-score calculation â weighting the written and oral examination scores 30/70 â would have allowed the City to consider two black candidates for then-open lieutenant positions and one black candidate for then-open captain positions. (The City used a 60/40 weighting as required by its contract with the New Haven firefightersâ union.) But respondents have produced no evidence to show that the 60/40 weighting was indeed arbitrary. In fact, because that formula was the result of a union-negotiated collective-bargaining agreement, we presume the parties negotiated that weighting for a rational reason. Nor does the record contain any evidence that the 30/70 weighting would be an equally valid way to determine whether candidates possess the proper mix of job knowledge and situational skills to earn promotions. Changing the weighting formula, moreover, could well have violated Title VIIâs prohibition of altering test scores on the
Second, respondents argue that the City could have adopted a different interpretation of the ârule of threeâ that would have produced less discriminatory results. The rule, in the New Haven city charter, requires the City to promote only from âthose applicants with the three highest scoresâ on a promotional examination. New Haven, Conn., Code of Ordinances, Tit. I, Art. XXX, §160 (1993). A state court has interpreted the charter to prohibit so-called âbandingââ the Cityâs previous practice of rounding scores to the nearest whole number and considering all candidates with the same whole-number score as being of one rank. Banding allowed the City to consider three ranks of candidates (with the possibility of multiple candidates filling each rank) for purposes of the rule of three. See Kelly v. New Haven, No. CV000444614,2004 WL 114377, *3 (Conn. Super. Ct., Jan. 9, 2004). Respondents claim that employing banding here would have made four black and one Hispanic candidates eligible for then-open lieutenant and captain positions.
A state courtâs prohibition of banding, as a matter of municipal law under the charter, may not eliminate banding as a valid alternative under Title VII. See 42 U. S. C. § 2000e-7. We need not resolve that point, however. Here, banding was not a valid alternative for this reason: Had the City reviewed the exam results and then adopted banding to make the minority test scores appear higher, it would have violated Title VIPs prohibition of adjusting test results on the basis of race. §2000e-2(Z); see also Chicago Firefighters Local 2 v. Chicago, 249 F. 3d 649, 656 (CA7 2001) (Posner, J.) (âWe have no doubt that if banding were adopted in order to make lower black scores seem higher, it would indeed be ... forbiddenâ). As a matter of law, banding was not an alternative available to the City when it was considering whether to certify the examination results.
Especially when it is noted that the strong-basis-in-evidence standard applies, respondents cannot create a genuine issue of fact based on a few stray (and contradictory) statements in the record. And there is no doubt respondents fall short of the mark by relying entirely on isolated statements by Hornick. Hornick had not âstudied] the test at length or in detail.â Id., at A1030. And as he told the CSB, he is a âdirect competitorâ of IOSâ. Id., at A1029. The remainder of his remarks showed that Hornickâs pri
3
On the record before us, there is no genuine dispute that the City lacked a strong basis in evidence to believe it would face disparate-impact liability if it certified the examination results. In other words, there is no evidence â let alone the required strong basis in evidence â that the tests were flawed because they were not job related or because other, equally valid and less discriminatory tests were available to the City. Fear of litigation alone cannot justify an employerâs reliance on race to the detriment of individuals who passed the examinations and qualified for promotions. The Cityâs discarding the test results was impermissible under Title VII, and summary judgment is appropriate for petitioners on their disparate-treatment claim.
* * *
The record in this litigation documents a process that, at the outset, had the potential to produce a testing procedure that was true to the promise of Title VII: No individual should face workplace discrimination based on race. Re
The problem, of course, is that after the tests were completed, the raw racial results became the predominant rationale for the Cityâs refusal to certify the results. The injury arises in part from the high, and justified, expectations of the candidates who had participated in the testing process on the terms the City had established for the promotional process. Many of the candidates had studied for months, at considerable personal and financial expense, and thus the injury caused by the Cityâs reliance on raw racial statistics at the end of the process was all the more severe. Confronted with arguments both for and against certifying the test results â and threats of a lawsuit either way â the City was required to make a difficult inquiry. But its hearings produced no strong evidence of a disparate-impact violation, and the City was not entitled to disregard the tests based solely on the racial disparity in the results.
Our holding today clarifies how Title VII applies to resolve competing expectations under the disparate-treatment and disparate-impact provisions. If, after it certifies the test results, the City faces a disparate-impact suit, then in light of our holding today it should be clear that the City would avoid disparate-impact liability based on the strong basis in evidence that, had it not certified the results, it would have been subject to disparate-treatment liability.
Petitioners are entitled to summary judgment on their Title VII claim, and we therefore need not decide the underlying constitutional question. The judgment of the Court of Appeals is reversed, and the cases are remanded for further proceedings consistent with this opinion.
It is so ordered.