Wal-Mart Stores, Inc. v. Dukes Brief Amici Curiae in Support of Respondents
Public Court Documents
March 1, 2011
Cite this item
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Brief Collection, LDF Court Filings. Wal-Mart Stores, Inc. v. Dukes Brief Amici Curiae in Support of Respondents, 2011. 9983536c-c89a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/14cdf185-297e-4486-bc75-a1c5bae91d55/wal-mart-stores-inc-v-dukes-brief-amici-curiae-in-support-of-respondents. Accessed January 07, 2026.
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N o. 10-277
In The
S u p re m e C o u rt of tfje ® m teb S ta te s
Wal-Mart Stores, Inc.,
Petitioner,
v.
Betty Dukes, et al.,
Respondents.
On Writ of Certiorari to the United States
Court of Appeals for the Ninth Circuit
Brief of NAACP Legal Defense and Educational
Fund, Inc., National Association for the
Advancement of Colored People, Leadership
Conference on Civil and Human Rights, AARP,
Disability Rights Education and Defense Fund, Inc.,
LatinoJustice PRLDEF, Asian American Justice
Center, Asian Law Caucus, and Lawyers’
Committee for Civil Rights Under Law
As Amici Curiae In Support of Respondents
John Payton
Director-Counsel
DEBO P. Adegbile
Counsel of Record
Kimberly Liu
Ryan Downer
NAACP Legal Deense &
Educational Fund, Inc.
99 Hudson St., 16th Floor
New York, NY 10013
(212) 965-2200
dadegbile@naacpldf.org
mailto:dadegbile@naacpldf.org
1
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES................................... iii
INTEREST OF AMICI CURIAE.............................. 1
SUMMARY OF ARGUMENT................................... 1
ARGUMENT............................................................. 4
I. Class actions of the kind at issue here play
a vital role in the enforcement of Title VII.......4
A. Civil rights cases are paradigmatic
cases for Rule 23(b)(2) certification............... 4
B. Plaintiffs’ claims must proceed as a
class action to allow proper judicial
evaluation of, and, if appropriate,
remedies for the broad-scale
discrimination they allege..............................8
1. The pattern-or-practice claim alleged
by Plaintiffs requires class treatment
for proper resolution.................................8
2. Wal-Mart’s arguments threaten to
undermine the viability of disparate
impact claims in addressing systemic
workplace discrimination.......................15
3. Classwide treatment of both the
disparate impact and the pattern-or-
practice claims alleged here is
necessary for Plaintiffs to obtain a
just outcome............................................. 19
11
T A B L E O F C O N T E N T S
(continued)
II. Wal-Mart’s attempt to bar monetary relief
from 23(b)(2) class actions would severely
hamper the effectiveness of 23(b)(2) class
actions and is unsupported by legislative
intent or legal precedent................................... 24
A. Back pay remedies are central to full
equitable relief and consistent with
Rule 23(b)(2) certification............................26
B. The issue of punitive damages in (b)(2)
classes should not be considered by this
Court..............................................................27
C. The fact that the class includes former
employees is not an appropriate ground
for denying certification under Rule
23(b)(2)...........................................................29
CONCLUSION.........................................................32
ADDENDUM............................................................ la
Ill
TABLE OF AUTHORITIES
Cases
Page(s)
Adreani v. First Colonial Bankshares Corp., 154
F.3d 389 (7th Cir. 1998).................................... 13
Albemarle Paper Co. v. Moody,
422 U.S. 405 (1975)....................................passim
Alexander v. Gardner-Denver Co.,
415 U.S. 36 (1974)................................................ 6
Allison v. Citgo Petroleum Corp.,
151 F.3d 402 (5th Cir. 1998)...................... 16, 28
Amchem Products, Inc. v. Winsdor,
521 U.S. 591 (1997).............................................. 5
American Federation of State, County, &
Municipal Employees v. Washington,
770 F.2d 1401 (9th Cir. 1985).......................... 13
Ash v. Tyson Foods, Inc.,
546 U.S. 454 (2006)............................................ 28
Bacon v. Honda of America
Manufacturing, Inc.,
370 F.3d 565 (6th Cir. 2004)................ 12, 17, 18
Bazemore v. Friday,
478 U.S. 385 (1986)........................................... 11
IV
Bell v. EPA,
232 F.3d 546 (7th Cir. 2000)...............................9
Bolin v. Sears Roebuck & Co.,
231 F.3d 970 (5th Cir. 2000)............................. 31
Bowe v. Colgate-Palmolive Co.,
416 F.2d 711 (7th Cir. 1969)............................. 27
Califano v. Yamasaki,
442 U.S. 682 (1979)........................................... 21
Carman v. McDonnell Douglas Corp.,
114 F.3d 790 (8th Cir. 1997)............................. 13
Celestine v. Petroleos de Venezuella SA,
266 F.3d 343 (5th Cir. 2001)............................. 12
Chisholm v. U.S. Postal Service,
665 F.2d 482 (4th Cir. 1981).............................27
Coe v. Yellow Freight System, Inc.,
646 F.2d 444 (10th Cir. 1981).................... 18, 19
Cooper v. Federal Reserve Bank of Richmond,
467 U.S. 867 (1984)....................................... 8, 15
Cooper v. Southern Co.,
390 F.3d 695 (11th Cir. 2004)...........................28
Davis v. Coca-Cola Bottling Co. Consolidated,
516 F.3d 955 (11th Cir. 2008)
T A B L E O F A U T H O R IT IE S
(continued)
1 2
V
T A B L E O F A U T H O R IT IE S
(continued)
Dothard v. Rawlinson,
433 U.S. 321 (1977)........................................... 16
Duke v. University of Texas at El Paso,
729 F.2d 994 (5th Cir. 1984)............................ 23
East Texas Motor Freight System Inc. v.
Rodriguez, 431 U.S. 395 (1977)......................... 5
EEOC v. Associated Dry Goods Corp.,
449 U.S. 590 (1981)............................................. 9
EEOC v. Shell Oil Co.,
466 U.S. 54 (1984)............................................... 9
EEOC v. United Association of Journeymen,
235 F.3d 244 (6th Cir. 2000)............................ 11
Ellis v. Costco Wholesale Corp.,
240 F.R.D. 627 (N.D. Cal. 2007)...................... 32
Franks v. Bowman,
424 U.S. 747 (1976)............................9, 11, 12, 14
Frontiero v. Richardson,
411 U.S. 677 (1973).......................................... 17
Gay v. Waiters’ & Dairy Lunchmens Union,
549 F.2d 1330 (9th Cir. 1977).......................... 27
General Telephone Co. of the Southwest v.
Falcon, 457 U.S. 147 (1982)............................. 10
VI
Griggs v. Duke Power Co.,
401 U.S. 424 (1971)..................... 7, 15-16, 17, 26
Hall v. Alabama Association of School Boards,
326 F.3d 1157 (11th Cir. 2003)......................... 11
Hazelwood School District v. United States,
433 U.S. 299 (1977)..................................... 10, 13
Holmes v. Continental Can Co.,
706 F.2d 1144 (11th Cir. 1983)...........................6
In re Monumental Life Insurance Co.,
365 F.3d 408 (5th Cir. 2004)........................30-31
Ingram v. Coca-Cola Co.,
200 F.R.D. 685 (N.D. Ga. 2001)........................ 19
International Union v. Johnson Controls, Inc.,
499 U.S. 187 (1991)............................................. 6
International Brotherhood of Teamsters v.
United States, 431 U.S. 324 (1977).......... passim
Kristian v. Comcast Corp.,
446 F.3d 25 (1st Cir. 2006)............................... 23
Kyriazi v. Western Electric Co.,
647 F.2d 388 (3d Cir. 1981)................................5
Lemon u. International Union of Operating
Engineers, 216 F.3d 577 (7th Cir. 2000)......... 29
T A B L E O F A U T H O R IT IE S
(continued)
Vll
T A B L E O F A U T H O R IT IE S
(continued)
Lewis v. City of Chicago,
127 S. Ct. 2191 (2010).......................................17
Lilly v. Harris-Teeter Supermarket,
720 F.2d 326 (4th Cir. 1983)............................. 10
Lopez v. Metropolitan Life Insurance Co.,
930 F.2d 157 (2d Cir. 1991)..............................13
Lowery v. Circuit City Stores, Inc.,
158 F.3d 742 (4th Cir. 1998)................. 12, 21-22
Madsen v. Women’s Health Center, Inc.,
512 U.S. 753 (1994)........................................ 21
McDonnell Douglas Corp. v. Green,
411 U.S. 792 (1973)........................................ 12
Melendez v. Illinois Bell Telephone Co.,
79 F.3d 661 (7th Cir. 1996)............................... 18
Munoz v. Orr,
200 F.3d 291 (5th Cir. 2000)............................ 11
Nevada Department of Human Res. v. Hibbs,
538 U.S. 721 (2003)........................................ 17
Obrey v. Johnson,
400 F.3d 691 (9th Cir. 2005)............................ 11
Pegues v. Mississippi State Employment
Service, 899 F.2d 1449 (5th Cir. 1990)............ 27
Vlll
Pollard v. E.I. du Pont de Nemours & Co.,
532 U.S. 843 (2001)...........................................25
Reed v. Arlington Hotel Co.,
476 F.2d 721 (8th Cir. 1973)............................. 32
Ricci v. DeStefano,
129 S. Ct. 2658 (2009)...................................... IV
Robinson v. Metro-North Commuter Railroad,
267 F.3d 147 (2d Cir. 2001)................. 11, 13, 29
Robinson v. Shell Oil Co,
519 U.S. 337 (1997)........................................... 32
Rogers v. Paul,
382 U.S. 198 (1965).............................................. 5
Sellers v. Delgado Community College,
839 F.2d 1132 (5th Cir. 1988)........................... 27
Senter u. General Motors Corp.,
532 F.2d 511 (6th Cir. 1976)............................. 27
Shipes v. Trinity Industries,
987 F.2d 311 (5th Cir. 1993)............................. 10
St. Mary’s Honor Ctr. v. Hicks,
509 U.S. 502 (1993)........................................... 13
Stephen v. PGA Sheraton Resort, Ltd.,
873 F.2d 276 (11th Cir. 1989).......................... 18
T A B L E O F A U T H O R IT IE S
(continued)
IX
Texas Department of Community Affairs v.
Burdine, 450 U.S. 248 (1981)..................... 11-12
United States v. Chicago,
549 F.2d 415 (7th Cir. 1977)............................. 16
United States v. City of New York,
683 F. Supp. 2d 225 (E.D.N.Y. 2010).............. 10
United States v. N.L. Industries, Inc.,
479 F.2d 354 (8th Cir. 1973)............................. 27
Walters v. Reno,
145 F.3d 1032 (9th Cir. 1998)........................... 30
Wang v. Chinese Daily News, Inc.,
623 F.3d 743 (9th Cir. 2010).............................27
Watson v. Fort Worth Bank & Trust,
487 U.S. 977 (1988)....................................6-7, 15
Wetzel v. Liberty Mutual Insurance Co.,
508 F.2d 239 (3d Cir. 1975)................ 5-6, 27, 31
Wicker v. Hoppock,
73 U.S. 94 (1867)............................................... 25
Docketed Cases
Butler v. Home Depot, Inc.,
No. 3:94-cv-4335
(N.D. Cal. Jan. 14, 1998)............................ 19-20
T A B L E O F A U T H O R IT IE S
(continued)
X
Davis v. Eastman Kodak Co.,
Nos. 6:04-cv-6098, 6:07-cv-6512
(W.D.N.Y. Sept. 3, 2010)...................................19
EEOC v. Abercrombie & Fitch,
No. 3:04-cv-04731-SI
(N.D. Cal. Nov. 8, 2004).................................... 19
Gonzalez v. Abercrombie & Fitch Stores, Inc.,
Nos. 3:04-cv-2817, 3:04-cv-4730, 3:04-cv-4731
(N.D. Cal. Apr. 15, 2005).................................. 19
In re Indus. Life Ins. Litig.,
No. 1371 (E.D. La. Jan 11, 2006).................... 31
Satchell v. FedEx Corp.,
Nos. 3:03-cv-2659, 3:03-cv-2878
(N.D. Cal. Aug. 14, 2007).................................. 19
Statutes and Rules
Civil Rights Act of 1964, 42 U.S.C. §§ 2000e to
2000e-17................................................................4
42 U.S.C. § 2000e-6....................................................8
42 U.S.C. § 2000e-2(k)..............................................16
42 U.S.C. § 2000e-2(k)(l)(A)(i)........................ 13, 16
42 U.S.C. § 2000e-2(k)(l)(A)(ii)............................... 16
T A B L E O F A U T H O R IT IE S
(continued)
XI
42 U.S.C. § 2000e-5(g)............................................. 26
42 U.S.C. § 2000e-5(g)(2)(B)................................... 18
Civil Rights Act of 1991, Pub. L. No. 102-166,
105 Stat. 1071 (1991) (codified at 42 U.S.C.
§ 1981a)............................................................. 25
Americans with Disabilities Act of 1990, 42
U.S.C. § 12117(a)................................................. 7
29 C.F.R. § 1607.4.A................................................ 23
T A B L E O F A U T H O R IT IE S
(continued)
Legislative Materials
S. Rep. No. 92-415 (1971), reprinted in
Subcommittee on Labor of the Senate
Committee on Labor and Public Welfare,
Legislative History of the Equal
Opportunity Act of 1972 (1972) ........................ 7
H.R. Rep. No. 92-238,), reprinted in
Subcommittee on Labor of the Senate
Committee on Labor and Public Welfare,
Legislative History of the Equal
Opportunity Act of 1972 (1972)............. 9, 22, 23
Other A uthorities
Fed. R. Civ. P. 23 advisory committee’s note,
39 F.R.D. 69 (1966)................................... 4, 5, 30
X ll
Miriam Hechler Baer, Corporate Policing and
T A B L E O F A U T H O R IT IE S
(continued)
Corporate Governance: What Can We
Learn From Hewlett-Packard’s
Pretexting Scandal?, 77 U. Cin. L. Rev.
523 (2008)...........................................................20
Elizabeth Bartholet, Application of Title VII
to Jobs in High Places, 95 Harv. L. Rev.
945 (1982)........................................................... 18
Robert Belton, A Comparative Review of
Public and Private Enforcement of Title
VII of the Civil Rights Act of 1964, 31
Vand. L. Rev. 905 (1978)..................................... 7
Robert L. Carter, The Federal Rules of Civil
Procedure as a Vindicator of Civil Rights,
137 U. Pa. L. Rev. 2179 (1989)............................6
Tristin K. Green, Targeting Workplace
Context: Title VII as a Tool for
Institutional Reform, 72 Fordham L. Rev.
659 (2003).......................................................... 22
Melissa Hart, Subjective Decisionmaking and
Unconscious Discrimination, 56 Ala. L.
Rev. 741 (2005)................................................. 10
Nancy Levitt, Megacases, Diversity, and the
Elusive Goal of Workplace Reform,
49 B.C. L. Rev 367 (2008)........................ 20
X lll
Barbara T. Lindemann & Paul Grossman,
Employment Discrimination Law (4th ed.
2007)...................................................9, 13, 18, 26
Note, Certifying Class and Subclasses in
Title VII Suits, 99 Harv. L. Rev.
619 (1986).................................................... 12, 19
Alba Conte & Herbert Newberg, Newberg on
Class Actions (4th ed. 2002)...............................6
Petition for Rehearing En Banc, Dukes v. Wal-
Mart Stores, Inc. Nos. 04-16688 & 04-
16720, (9th Cir. Feb. 20, 2007)........................ 29
Hon. Jack B. Weinstein, et al., Some
Reflections on the “Abusiveness” of Class
Actions, 58 F.R.D. 299 (1973)
T A B L E O F A U T H O R IT IE S
(continued)
22
INTEREST OF AMICI CURIAE1
Amici NAACP Legal Defense & Educational
Fund, Inc., National Association for the
Advancement of Colored People, Leadership
Conference on Civil and Human Rights, AARP,
Disability Rights Education and Defense Fund, Inc.,
LatinoJustice PRLDEF, Asian American Justice
Center, Asian Law Caucus, and Lawyers’ Committee
for Civil Rights Under Law are non-profit
organizations dedicated to, among other goals,
eradicating workplace discrimination and addressing
workplace conditions that affect racial and ethnic
minorities, women, older workers, and those with
disabilities.
More details about individual amici are included
in the Addendum.
SUMMARY OF ARGUMENT
Title VII jurisprudence has consistently
recognized that class treatment of claims alleging
pervasive and systemwide discrimination is often the
best, and sometimes the only, way to ensure effective
resolution of claims of workplace civil rights
violations. Taken together, Title VII and Rule
23(b)(2) provide a mechanism for the fair and
efficient adjudication of claims similarly affecting
1 Pursuant to Supreme Court Rule 37.6, counsel for amici
state that no counsel for a party authored this brief in whole or
in part, and that no person other than amici, its members, or
its counsel made a monetary contribution to the preparation or
submission of this brief. The parties have filed blanket consent
letters with the Clerk of the Court pursuant to Supreme Court
Rule 37.3.
2
large classes of individuals. The statute and Rule
have a long history of working in tandem to address
the congressional purpose of eradication of
discrimination in the workplace.
As explained in detail in Plaintiffs’ brief, Wal-
Mart seeks to resist class treatment by imposing a
series of heightened standards on Plaintiffs’ claims,
above and beyond the appropriate and rigorous
review conducted by the district court. Such
heightened standards are inconsistent with the
purposes of the Rule, and would dramatically narrow
the circumstances in which the class action vehicle
could be used, regardless of the extent and scope of
the underlying discriminatory conduct. Considered
separately, each of the proposed interpretations of
Rule 23 is legally tenuous. But when viewed
collectively, Wal-Mart’s stance would unnecessarily
constrict access to the class action as a viable vehicle
for challenging broad-scale discrimination, contrary
to congressional intent and well-established practice
and precedent.
In this case, perhaps the most serious threat to
the continued salience of the class action vehicle for
employment discrimination claims is Wal-Mart’s
novel argument that back pay is entirely
inconsistent with (b)(2) certification. Wal-Mart’s
reading of Rule 23 would effectively force plaintiffs
to choose between maintaining a viable class action
and seeking make whole relief. Significantly, this is
not merely an academic exercise about the
appropriate subsection of the rule under which to
seek certification: Wal-Mart argues that Plaintiffs’
claims cannot go forward as a class under either
(b)(2) or (b)(3).
3
In this brief amici explain some of the important
consequences of Wal-Mart’s approach to class
certification. First, Wal-Mart’s arguments conflict
with decades of precedent as to the applicability of
(b)(2) certification to employment discrimination
cases, including those that challenge discrimination
conducted through excessively subjective
decisionmaking. Indeed, hampering discrimination
victims’ ability to proceed on a classwide basis would
gravely undermine two well-established theories of
liability under Title VII—pattern-or-practice and
disparate impact—both of which are essential tools
in eradicating broad-scale discrimination of the sort
alleged here. Both types of class actions allow
plaintiffs broader access to the evidence necessary
for careful judicial evaluation of systemic patterns of
discrimination and, where appropriate, the remedies
necessary to eradicate them.
Second, Wal-Mart’s proposal to limit (b)(2) classes
to those plaintiffs who request exclusively injunctive
relief conflicts with decades of judicial precedent and
with congressional intent. Back pay is a
presumptively available remedy for victims of job
discrimination, is integral to full equitable relief, and
is uniformly available in (b)(2) class actions. This
Court need not decide whether punitive damages are
consistent with (b)(2) certification in the instant case
because the Ninth Circuit vacated and remanded
that issue for a factual determination by the district
court in the first instance.
Finally, Wal-Mart’s assertion that the question of
whether injunctive relief predominates can be
answered by calculating the number of former
employees in the class is contrary to logic and case
4
law, and would create perverse incentives for
employers.
This Court should reject Wal-Mart’s invitation to
refashion Rule 23 and affirm the Ninth Circuit’s
decision to certify the plaintiff class.
ARGUMENT
I. Class actions of the kind at issue here play a
vital role in the enforcement of Title VII.
The “central statutory purposes” of Title VII of
the Civil Rights Act of 1964, 42 U.S.C. §§2000e to
2000e-17, are “eradicating discrimination
throughout the economy and making persons whole
for injuries suffered through past discrimination.”
Albemarle Paper Co. v. Moody, 422 U.S. 405, 421
(1975). Private class actions play a vital role in
achieving these purposes. In the instant case,
Plaintiffs seek only a fair opportunity to vindicate
their rights through the proper enforcement of Title
VII. Class treatment is necessary for this goal to be
achieved.
A. Civil rights cases are paradigmatic cases
for Rule 23(b)(2) certification.
The case at bar, aimed at redressing systemic
discrimination, fits comfortably within the Rule
23(b)(2) civil rights class action paradigm. The
Advisory Committee’s Note to Rule 23 recognizes
that civil rights class actions seeking injunctive and
other relief to end invidious discrimination are
paradigmatic cases for (b)(2) certification. Fed. R.
Civ. P. 23 advisory committee’s note, reprinted in 39
F.R.D. 69, 102 (1966) [hereinafter Advisory
5
Committee Note]. The Note cites eight class action
lawsuits as illustrative of the principal category of
cases intended to be certified under this subsection,
each of which was brought on behalf of a class of
African Americans and other minorities to eradicate
intentional race discrimination.2 See id. Both before
and after the 1966 Amendments, this Court has
recognized the particular suitability of anti-
discrimination suits for class action treatment. See,
e.g., Amchem Prods., Inc., v. Winsdor, 521 U.S. 591,
614 (1997) (recognizing that civil rights cases
alleging class-based discrimination are “prime
examples” of appropriate (b)(2) cases); E. Texas
Motor Freight Sys., Inc. v. Rodriguez, 431 U.S. 395,
405 (1977) (“We are not unaware that suits alleging
racial or ethnic discrimination are often by their
very nature class suits, involving classwide
wrongs.”); Rogers v. Paul, 382 U.S. 198, 199 (1965).
Courts have also frequently invoked the Advisory
Committee’s Note in holding that this subsection is
suitable for class certification of Title VII cases
specifically. See, e.g., Kyriazi v. W. Elec. Co., 647
F.2d 388, 393 (3d Cir. 1981) (explaining that a Title
VII class action seeking relief for systemic
discrimination is “the paradigm of a Rule 23(b)(2)
class action”); Wetzel v. Liberty Mut. Ins. Co., 508
2 Wal-Mart’s contention that the Rule’s citation to
desegregation cases alone indicates that employment
discrimination cases are disfavored for class treatment is
unpersuasive. Pet. Br. 48. As Plaintiffs properly point out, the
Advisory Committee’s Note to Rule 23 was drafted prior to the
passage of Title VII, meaning no case law existed from which to
cite. Resp. Br. 51-52. As we explain above, the assertion is also
contrary to experience.
6
F.2d 239, 250 (3d Cir. 1975) (“[A] Title VII action is
particularly fit for (b)(2) treatment, and the drafters
of Rule 23 specifically contemplated that suits
against discriminatory hiring and promotion policies
would be appropriately maintained under (b)(2).”);
see also 8 Alba Conte & Herbert B. Newberg,
Newberg on Class Actions §24:81, at 315 (4th ed.
2002) (“The aptness of designating employment
discrimination suits as class actions under Rule
23(b)(2) has been recognized repeatedly and
definitively by courts.”). Indeed, Title VII and Rule
23(b)(2) work in tandem: “[The two] should be
construed so as to further the strong public policy of
eradicating all vestiges of racial discrimination in
employment.” Holmes v. Cont’l Can Co., 706 F.2d
1144, 1152 (11th Cir. 1983).
In bringing suit under Title VII, “the private
litigant not only redresses his own injury but also
vindicates the important congressional policy
against discriminatory employment practices.”
Alexander v. Gardner-Denver Co., 415 U.S. 36, 45
(1974). This principle applies a fortiori when private
plaintiffs pursue class actions to challenge broadly
applicable policies and practices of discrimination
and seek classwide relief. See, e.g., Robert L. Carter,
The Federal Rules of Civil Procedure as a Vindicator
of Civil Rights, 137 U. Pa. L. Rev. 2179, 2184 (1989)
(describing the “special dependence of civil rights
(and other public rights) litigation on the device of
the class action”). Accordingly, class actions have
led to many of the key employment discrimination
precedents that invigorated enforcement of Title VII.
See, e.g., Int’l Union v. Johnson Controls, Inc., 499
U.S. 187 (1991); Watson v. Fort Worth Bank & Trust,
7
487 U.S. 977 (1988); Albemarle Paper Co., 422 U.S.
405; Griggs v. Duke Power Co., 401 U.S. 424 (1971);
see also Robert Belton, A Comparative Review of
Public and Private Enforcement of Title VII of the
Civil Rights Act of 1964, 31 Vand. L. Rev. 905, 932-
47 (1978).
Congress too has continuously recognized the
importance of class actions to the enforcement of
Title VII.3 For example, in 1972, when Title VII was
amended by the Equal Employment Opportunity
Act, proposals to abolish class actions or to restrict
their scope in Title VII cases were rejected. As the
Senate Report stated: “This section [706] is not
intended in any way to restrict the filing of class
complaints. The committee agrees with the courts
that Title VII actions are by their very nature class
complaints, and that any restriction on such actions
would greatly undermine the effectiveness of Title
VII.” S. Rep. No. 92-415, at 27 (1971), reprinted in
Subcomm. on Labor of the S. Comm, on Labor and
Pub. Welfare, Legislative History of the Equal
Opportunity Act of 1972, at 436 (1972) [hereinafter
Legislative History].
3 Title VII remedies and procedures have also been
explicitly incorporated into other major federal civil rights
statutes, giving the availability of Title VII class action
remedies even broader significance. See, e.g., Americans with
Disabilities Act of 1990, 42 U.S.C. §12117(a) (incorporating
Title VII remedies into the Americans with Disabilities Act of
1990, which provides nondiscrimination protection to
individuals with disabilities).
8
B. Plaintiffs’ claims must proceed as a class
action to allow proper judicial
evaluation of, and, if appropriate,
remedies for the broad-scale
discrimination they allege.
Plaintiffs have alleged in great detail a broad
pattern of discrimination that begins in Wal-Mart’s
Home Office and affects female employees in stores
throughout its network. Appropriately, therefore,
Plaintiffs put forth two well-established legal
theories that are uniquely suited to addressing this
type of broad-scale discrimination. Limiting the
availability of the class action vehicle will inevitably
constrain courts’ ability to properly resolve
allegations of the pervasive type of discrimination at
issue here. Class treatment is essential in this
instance to give thousands of female employees a fair
opportunity for vindication of their substantive
rights under Title VII.
1. The pattern-or-practice discrimination
claim alleged by Plaintiffs requires class
treatment for proper resolution.
Plaintiffs here allege disparate treatment on a
systemic basis. For decades, this pattern-or-practice
framework4—first established by this Court in
4 Title VII explicitly empowers the Attorney General to
bring a civil action whenever he or she “has reasonable cause to
believe that any person or group of persons is engaged in a
pattern or practice” of discrimination. 42 U.S.C. § 2000e-6.
Although Title VII endows only the government with such
technical “pattern-or-practice” authority, it is commonplace for
courts and parties to refer to disparate treatment suits brought
on a classwide basis as “pattern-or-practice” cases. See, e.g.,
Cooper v. Fed. Reserve Bank of Richmond, 467 U.S. 867, 876
9
Franks v. Bowman, 424 U.S. 747 (1976), and further
developed in International Brotherhood of Teamsters
v. United States, 431 U.S. 324 (1977)—has been
recognized by courts as an essential tool in
combating pervasive workplace discrimination and
providing “make whole relief’ to large groups of
victims.5 See Teamsters, 431 U.S. at 336 n.16
(observing the necessity of pattern-or-practice
litigation to address discrimination that is “repeated,
routine or of a generalized nature”); see also Shell
Oil Co., 466 U.S. at 69 (noting that the pattern-or-
practice model is “essential if the purposes of Title
(1984); Bell v. EPA, 232 F.3d 546, 553 (7th Cir. 2000); Barbara
T. Lindemann & Paul Grossman, 1 Employment Discrimination
Law 104 (4th ed. 2007) [hereinafter Lindemann & Grossman].
5 Congress too has recognized the particular problem of
systemwide discrimination, and the difficulty of attacking it.
As the House Committee reported, in considering the 1971
amendments to Title VII: “Pattern or practice discrimination is
a pervasive and deeply imbedded form of discrimination.
Specific acts or incidents of discrimination . . . are frequently
symptomatic of a pattern or practice which Title VII seeks to
eradicate.” H.R. Rep. No. 92-238, at 14 (1971), reprinted in
Legislative History, at 74. So important was this theory of
liability that Congress granted the EEOC authority to
prosecute such cases because “ [ujnrelenting broad-scale action
against patterns or practices of discrimination is . . . critical in
combating employment discrimination.” Id.; see also EEOC v.
Shell Oil Co., 466 U.S. 54, 69 (1984) (“Congress was aware that
employment discrimination was a ‘complex and pervasive’
problem that could be extirpated only with thoroughgoing
remedies.” (citation omitted)). But as the Supreme Court
subsequently observed, Congress still considered the private
litigant “a ‘private attorney general,’ whose role in enforcing
the ban on discrimination is parallel to that of the Commission
itself.” EEOC v. Associated Dry Goods Corp., 449 U.S. 590, 602
(1981) (citation omitted).
10
VII [are] to be achieved”). It continues to be
necessary for those purposes, particularly where, as
here, the alleged discriminatory practices are
ongoing and pervasive. See, e.g., United States v.
City of New York, 683 F. Supp. 2d 225, 232-
33 (E.D.N.Y. 2010) (finding a pattern-or-practice of
discrimination in the New York City fire
department).
Moreover, this Court has endorsed the use of the
pattern-or-practice framework to address hiring and
promotion processes based on excessively subjective
criteria. See Gen. Tel. Co. of the Sw. v. Falcon, 457
U.S. 147, 159 n.15 (1982); Hazelwood Sch. Dist. v.
United States, 433 U.S. 299, 301, 303 (1977).
Classwide evaluation of such decisionmaking
processes makes sense where, as here, an employer
is structured and administered in such a fashion
that the challenged employment practices are likely
to have an impact throughout the class. See Lilly v.
Harris-Teeter Supermarket, 720 F.2d 326, 331-33
(4th Cir. 1983) (upholding (b)(2) certification of
challenge to excessively subjective decisionmaking
process); Shipes v. Trinity Indus., 987 F.2d 311, 316
(5th Cir. 1993) (same). The class action device
allows for consideration of overly subjective decisions
in the aggregate, which may reveal a pattern of
discrimination. See Melissa Hart, Subjective
Decisionmaking and Unconscious Discrimination, 56
Ala. L. Rev. 741, 788 (2005).
In any pattern-or-practice class action, the
plaintiff bears the initial burden at the liability
phase of demonstrating “that unlawful
discrimination has been the regular procedure or
policy followed by an employer or group of
11
employers.” Teamsters, 431 U.S. at 360. If the
plaintiff meets this high burden, it establishes a
presumption that “any particular employment
decision, during the period in which the
discriminatory policy was in force, was made in
pursuit of that policy,” thus shifting the burden of
persuasion to the defendant employer. Id. at 362.
This is as it should be: “No reason appears . . . why
the victim rather than the perpetrator of the illegal
act should bear the burden of proof on this issue.”6
Franks, 424 U.S. at 772 n.32.
Teamsters makes clear that because pattern-or-
practice cases involve a distinct type of
discrimination, the inquiry is correspondingly
distinct from that in an individual case. Teamsters,
431 U.S. at 357. A court’s chief role in a pattern-or-
practice case is to determine whether discrimination
is the employer’s standard operating procedure,
rather than to parse the motives behind individual
employment decisions. Id. at 360 & n.46. In
contrast, in an individual case, even if patterns of
discrimination are shown to exist, the individual
plaintiff must also prove that a particular adverse
employment decision was motivated by
6 The Teamsters framework is well-established law that has
been endorsed and utilized by federal courts for decades. See,
e.g., Bazemore v. Friday, 478 U.S. 385, 398 (1986); Obrey v.
Johnson, 400 F.3d 691, 694 (9th Cir. 2005); Hall u. Alabama
Ass’n of Sch. Bds., 326 F.3d 1157, 1171 (11th Cir. 2003);
Robinson v. Metro-North Commuter R.R. Co., 267 F.3d 147, 158
(2d. Cir. 2001); EEOC v. United Ass’n of Journeymen, 235 F.3d
244, 251 (6th Cir. 2000); Munoz v. Orr, 200 F.3d 291, 299 (5th
Cir. 2000).
12
discriminatory intent.7 See Texas Dep’t of Cmty.
Affairs v. Burdine, 450 U.S. 248, 252-56 (1981);
McDonnell Douglas Corp. v. Green, 411 U.S. 792,
802-05 (1973). This individual method of proof is
appropriate for evaluating isolated instances of bias,
but is ill-suited to uncover a pattern of
discrimination. The pattern-or-practice framework
not only allows, but requires courts to step back and
assess the universe of an employer’s actions as a
whole; only through this broader lens can
widespread discrimination be uncovered and
evaluated.
The pattern-or-practice framework is strongly
tied to the class action vehicle. This Court first
elucidated this important framework in the context
of a (b)(2) class action, Franks, 424 U.S. at 747, and
today, the prosecution of such claims often depends
on certification of a class. Although this Court has
never held that individual plaintiffs cannot utilize
the Teamsters framework, several circuit courts have
indeed so concluded. See, e.g., Davis v. Coca-Cola
Bottling Co. Consol, 516 F.3d 955, 968-69 (11th Cir.
2008); Bacon v. Honda of Am. Mfg., Inc., 370 F.3d
565, 575 (6th Cir. 2004); Celestine v. Petroleos de
Venezuella SA, 266 F.3d 343, 355-56 & n.4 (5th Cir.
2001); Lowery v. Circuit City Stores, Inc., 158 F.3d
742, 759 (4th Cir. 1998), vacated on other grounds,
527 U.S. 1031 (1999).
7 “In a time when overt acts of employment discrimination
are relatively rare— when discrimination takes more subtle if
no less invidious forms—such a showing is extremely difficult
to make.” Note, Certifying Class and Subclasses in Title VII
Suits, 99 Harv. L. Rev. 619, 628 (1986) [hereinafter Note].
13
Even evidence indicating a pattern of
discrimination has been considered by some courts to
be inadmissible, or of limited relevance, in a case
brought by an individual plaintiff. See, e.g., Carman
v. McDonnell Douglas Corp., 114 F.3d 790, 792 (8th
Cir. 1997). In particular, statistical evidence
demonstrating an employer’s discriminatory conduct
toward a class of employees is considered “rarely
determinative” and sometimes irrelevant when the
suit is not a class action. See 1 Lindemann &
Grossman 79; see also Adreani v. First Colonial
Bankshares Corp., 154 F.3d 389, 400 (7th Cir. 1998);
Robinson, 267 F.3d at 158 n.5. By contrast, pattern-
or-practice theory allows courts to take legal
cognizance of the fact that statistical disparities are
often indicative of institutional, pervasive, and
sometimes relatively covert discrimination.8 See
Hazelwood, 433 U.S. at 307-08 (1977) (observing
8 This is not to say that statistical disparities alone require
the conclusion that an employer is using a discriminatory
policy. Courts have rejected that view and amici do not press it
here. See, e.g., Lopez v. Metro. Life Ins. Co., 930 F.2d 157, 161
(2d Cir. 1991), overruled on other grounds by, St. Mary’s Honor
Ctr. v. Hicks, 509 U.S. 502 (1993); Am. Fed’n of State, Cnty., &
Mun. Employees v. Washington, 770 F.2d 1401, 1407 (9th Cir.
1985). Certainly, statistical disparities may exist for benign or
legitimate reasons. And both the pattern-or-practice and the
disparate impact evidentiary frameworks allow employers the
opportunity to explain any such disproportionalities. 42 U.S.C.
§2000e-2(k)(l)(A)(i) (employer has the opportunity to
“demonstrate that the challenged practice is job related for the
position in question and consistent with business necessity”);
Hazelwood, 433 U.S. at 308-09 (employer may challenge
statistical proof offered or suggest other explanation for the
apparent statistical anomaly).
14
that “[w]here gross statistical disparities can be
shown, they alone may in a proper case constitute
prima facie proof of a pattern or practice of
discrimination”); Teamsters, 431 U.S. at 340 (noting
that statistical evidence is often “the only available
avenue of proof . . . to uncover clandestine and covert
discrimination by the employer”).
Plaintiffs here have demonstrated that women
throughout Wal-Mart’s stores were paid significantly
less than men, J.A. 518a-519a, and that “a
statistically significant shortfall of women [were]
being promoted into each of the in-store
management classifications over the entire class
period,” App. 212a. Only if Plaintiffs here can
proceed on a classwide basis, allowing a challenge to
Wal-Mart’s entire system of pay and promotion, is
the larger picture likely to be considered legally
relevant.
Wal-Mart would eliminate this well-established
method of proof, requiring instead that systemic
discrimination cases be litigated for both liability
and remedies on an individual-by-individual basis.
Plaintiffs would be required to prove that “the
motive for every single discretionary pay and
promotion decision affecting every single class
member was discriminatory.” Pet Br. 40 (emphasis
in original). This is contrary to the very essence of a
pattern-or-practice claim in which the relevant
question at the liability stage is whether
discrimination was the employer’s “standard
operating procedure,” Teamsters, 431 U.S. at 336,
and “individually applicable evidence cannot serve
as a justification for the denial of relief to the entire
class.” Franks, 424 U.S. at 772 (emphasis added);
15
see also Cooper, 467 U.S. at 876 (observing that in “a
pattern-or-practice trial the focus often will not be on
individual hiring decisions, but on a pattern of
discriminatory decisionmaking”) (quoting Teamsters,
431 U.S. at 360 n.46). If Wal-Mart’s argument is
accepted, no disparate treatment class action where
plaintiffs’ individual claims for relief differed, even
minimally, in merit or value could ever be certified,
and the entire concept of the pattern-or-practice
claim would be upended. Wal-Mart’s position,
advocating for heightened standards for certifying
these claims as a class, would undermine the role of
pattern-or-practice suits in the private enforcement
of Title VII, as well as other laws—federal, state,
and municipal—that follow Title VII precedent.
2. Wal-Mart’s arguments threaten to
undermine the viability of disparate
impact claims in addressing systemic
workplace discrimination.
Plaintiffs also allege that Wal-Mart’s excessively
subjective decisionmaking practices cause a
disparate impact on female employees. More than
twenty years ago, this Court removed any doubt that
Title VII reaches this kind of practice under
disparate impact theory. Watson, 487 U.S. at 990-
91.
Disparate impact theory goes to the purpose of
Title VII itself, which “proscribes not only overt
discrimination but also practices that are fair in
form, but discriminatory in operation.”9 Griggs, 401
9 Title VII’s disparate impact provisions prohibit
employment practices that operate to discriminate on a
prohibited basis even where such practices are not motivated
16
U.S. at 431. Disparate impact suits—which
challenge facially-neutral policies that
disproportionately disadvantage members of a
protected group—“by their very nature implicate
class-based claims.” Allison v. Citgo Petroleum
Corp., 151 F.3d 402, 409 (5th Cir. 1998); accord
United States v. Chicago, 549 F.2d 415, 427 (7th Cir.
1977). Indeed, the disparate impact theory of
liability—first articulated by this Court, and later
codified by Congress—relies exclusively on class-
based inquiries. Griggs, 401 U.S. at 426; 42 U.S.C.
2000e-2(k). The initial showing, for example,
requires statistical evidence demonstrating the
disproportionate effect of an employment practice on
members of a protected group as a whole. Thus all
members of the protected group are implicated, and
no individualized facts or decisions are considered.
See, e.g., Dothard v. Rawlinson, 433 U.S. 321, 329
(1977); Griggs, 401 U.S. at 426. After the plaintiff
meets that initial burden, the employer must show
proof of business necessity. 42 U.S.C. §2000e-
2(k)(l)(A)(i). Should the employer make that
showing, the plaintiff may demonstrate that the
employer could have used a less discriminatory
alternative. Id. at §2000e-2(k)(l)(A)(ii). Both these
by discriminatory intent. See 42 U.S.C. 2000e-2(k); Griggs, 401
U.S. at 426 n.l, 433-36. Because Congress intended for Title
VII to reach the consequences of employment practices, rather
than just the motivations underlying them, the “absence of
discriminatory intent does not redeem employment procedures
or testing mechanisms that operate as built-in headwinds” for
protected groups. Id. at 432 (internal quotation marks
omitted).
17
inquiries also go generally to the employer’s conduct
and its effect classwide.
Unsurprisingly then, use of the (b)(2) class action
to bring disparate impact claims has been essential
to efforts at combating widespread, institutional
discrimination. See, e.g., Lewis v. City of Chicago,
127 S. Ct. 2191 (2010); Griggs, 401 U.S. 426; see also
Bacon, 370 F.3d at 576 (noting that disparate impact
analysis usually arises in the class action context).
Such litigation continues to be essential to the
eradication of employment discrimination,
particularly as obstacles to fair workplaces are often
covert and thus harder to identify and resolve
through disparate treatment theory. See Nev. Dept
of Human Res. v. Hibbs, 538 U.S. 721, 730 (2003) (“It
can hardly be doubted that . . . women still face
pervasive, although at times more subtle,
discrimination . . . in the job market.” (quoting
Frontiero v. Richardson, 411 U.S. 677, 686 (1973))
(internal quotation marks and brackets omitted));
Ricci v. DeStefano, 129 S. Ct. 2658, 2696 (2009)
(Ginsburg J., dissenting) (“More subtle—and
sometimes unconscious—forms of discrimination
replaced once undisguised restrictions.”).
Restricting the reach of 23(b)(2) class actions—
by, inter alia, limiting their certification to instances
where monetary relief is not requested—contravenes
the structure and purpose of disparate impact
theory, as first conceived by this Court. An
individual plaintiff is not the most logical vehicle for
dismantling class-based “built-in headwinds”—the
goal of a disparate impact claim. When an
individual brings suit under this theory, the court’s
focus changes from the overall impact of the practice
18
to the individual employment decision: The plaintiff
must show not only that the employment practice in
question negatively impacted a protected class as a
whole, but that “the allegedly discriminatory
practice directly resulted in harm to him or her.”10
See 1 Lindemann & Grossman 111 n.8; accord Coe v.
Yellow Freight System, Inc., 646 F.2d 444, 451 (10th
Cir. 1981) (“Where the disparate impact doctrine has
been used by the courts in individual actions rather
than class actions, a plaintiff has been required to
show that he personally has been the victim of
discrimination by the general practice . . .
Melendez v. Ill Bell Tel. Co., 79 F.3d 661, 668 (7th
Cir. 1996). Accordingly, courts frequently dismiss
individual disparate impact cases at the liability
stage despite evidence of a classwide adverse
impact.11 See, e.g., Bacon, 370 F.3d at 577
(“Whatever the validity of [plaintiffs] disparate
impact claims . . . we agree with the district court
that the plaintiffs cannot show that the policies
injured them personally, and therefore their claim
must fail.”); Stephen v. PGA Sheraton Resort,
Ltd., 873 F.2d 276, 279 (11th Cir. 1989) (holding that
even if the plaintiff s proof showed disparate impact,
10 This inquiry is separate and apart from the “same
decision” affirmative defense, which applies at the remedy
phase to prohibit courts from awarding individual remedies,
such as reinstatement or back pay, to plaintiffs who were
subject to an adverse employment decision for reasons other
than discrimination. 42 U.S.C. §2000e-(5)(g)(2)(B).
11 Individual disparate impact cases may actually require
more intrusion on an employer’s prerogatives than a class-
based suit, where specific decisions need not be scrutinized at
the liability stage. See Elizabeth Bartholet, Application of Title
VII to Jobs in High Places, 95 Harv. L. Rev. 945, 1002 (1982).
19
that impact did not relate to this particular plaintiff
who was terminated for a legitimate reason); Coe,
646 F.2d at 451. “In both adverse-impact and
disparate-treatment cases, then, the difference
between the success and the failure of a valid claim
is often the difference between a class action and an
individual suit.” Note, 99 Harv. L. Rev. at 628
(emphasis added).
3. Classwide treatment of both the disparate
impact and the pattern-or-practice claims
alleged here is necessary for Plaintiffs to
obtain a just outcome.
Both the pattern-or-practice and the disparate
impact causes of action play vital roles in the
enforcement of Title VII. Each type of class action
is well-suited to combat institutional and ingrained
discrimination in the modern workplace.
Increasingly, the most serious instances of alleged
employment discrimination involve large corporate
entities whose reach extends across multiple states
and regions.12 Although large corporations
12 See, e.g., Davis v. Eastman Kodak Co., Nos. 6:04-cv-6098,
6:07-cv-6512 (W.D.N.Y. Sept. 3, 2010) (approving class
settlement on behalf of over 3,000 current and former African-
American employees); Satchell v. FedEx Corp., Nos. 3:03-cv-
2659, 3:03-cv-2878 (N.D. Cal. Aug. 14, 2007) (approving class
settlement on behalf of 20,000 African-American and Latino
employees); Gonzalez v. Abercrombie & Fitch Stores, Inc., Nos.
3:04-cv-2817, 3:04-cv-4730, 3:04-cv-4731 (N.D. Cal. Apr. 15,
2005) (approving consent decree settling claims of systemic
discrimination against Latino, African-American, Asian-
American, and female applicants and employees); Ingram v.
Coca-Cola Co., 200 F.R.D. 685 (N.D. Ga. 2001) (approving class
settlement on behalf of 2,200 current and former African-
American employees); Butler v. Home Depot, Inc., No. 3:94-cv-
2 0
frequently function through the operation of semi
independent branches, corporate uniformity can be
imposed through the maintenance of a company
wide corporate culture and standardized workplace
policies and practices. Miriam Hechler Baer,
Corporate Policing and Corporate Governance: What
Can We Learn From Hewlett-Packard’s Pretexting
Scandal?, 77 U. Cin. L. Rev. 523, 549 (2008) (noting
that some commentators urge the adoption of
“mechanisms” that would encourage the creation
and maintenance of a single “corporate culture
across the firm”); Nancy Levitt, Megacases,
Diversity, and the Elusive Goal of Workplace Reform,
49 B.C. L. Rev 367, 417 (2008) (observing that
“CEOs have enormous influence” in producing and
changing corporate cultures). Therefore, the core
purposes of Title VII can be realized only if
discriminatory company-wide policies and practices
are challenged at their source. See id. at 417-29.
Class-based claims offer significant advantages in
achieving this goal.
First, class-based discrimination claims allow for
the formulation of broader remedies that have a
realistic chance of reforming workplace practices. In
the Title VII context, a (b)(2) class provides the
vehicle for a generally applicable and efficient
classwide remedy, resulting in cessation of the
discriminatory practice and, where appropriate,
additional equitable remedies for class members.
This is particularly true in cases where the harm is
4335 (N.D. Cal. Jan. 14, 1998) (approving consent decree on
behalf of 17,000 current and former female employees and
200,000 unsuccessful applicants).
21
extraordinarily widespread and ingrained. In this
case, Plaintiffs have introduced into evidence
statistics showing that Wal-Mart’s female employees
are paid less than male employees in virtually every
job category in every one of Wal-Mart’s regions,
despite the fact that female employees on average
have greater seniority and higher performance
scores. J.A. 518a-519a. Moreover, it is a matter of
record that Wal-Mart’s own Executive Vice President
for People regularly reported that it lagged
“significantly behind” its competitors in the
advancement of women in management. J.A. 408a.
If proven, these systemic harms will require a
comprehensive and universal solution.
Absent class certification, courts often refrain
from granting relief that extends beyond the harms
suffered by the individual plaintiffs. See Madsen v.
Womens Health Ctr., Inc., 512 U.S. 753, 765 (1994)
(“[Ijnjunctive relief should be no more burdensome to
the defendant than necessary to provide complete
relief to the plaintiffs.”); Califano v. Yamasaki, 442
U.S. 682, 702 (1979) (“[T]he scope of injunctive relief
is dictated by the extent of the violation
established.”). In this case, where Plaintiffs have
claimed pervasive and systematic gender
discrimination by the nation’s largest private
employer, relief granted to an individual plaintiff, or
even a small group of plaintiffs, would be
inadequate. Class treatment empowers courts to
craft relief appropriate to the extent of the identified
problem. See Albemarle Paper Co., 422 U.S. at 418
(1975).
The difficulty of obtaining meaningful relief as an
individual is real. For example, in Lowery v. Circuit
2 2
City Stores, a unanimous jury found that Circuit
City had engaged in a pattern or practice of racial
discrimination, and the district court ordered broad
injunctive relief, including the creation of new
procedures to ensure nondiscriminatory promotion.
158 F.3d at 755-56. On appeal, the Fourth Circuit
held that because the trial court had declined to
certify a class, the Teamsters framework was
inapplicable. The court promoted one of the named
plaintiffs, but vacated all other equitable relief,
including an injunction requiring the employer
merely to promote employees “without regard to
their race.” Id. at 766-67. Here, the lack of class
certification forced the court to disregard a finding of
pervasive discrimination, thwarting the plaintiffs’
effort to fully vindicate the purposes of Title VII.
Unlike most individual suits, the “impact of class
suits in civil rights cases is substantial.” Hon. Jack
B. Weinstein et al., Some Reflections on the
“Abusiveness” of Class Actions, 58 F.R.D. 299, 304
(1973). “Precedent alone never has the effect of a
judgment naming a particular class of which a
person is a member. Very often, a class action
permits the judge to get to the heart of an
institutional problem.” Id. Because it broadens “the
number of complainants, the class action triggers
inquiry about institutional and organizational
sources of harm and encourages development of
solutions aimed at systemic reform.” Tristin K.
Green, Targeting Workplace Context: Title VII as a
Tool for Institutional Reform, 72 Fordham L. Rev.
659, 678 (2003). This fits with the nature of
employment discrimination in practice, which “is a
far more complex and pervasive phenomenon” than
23
just “a series of isolated and distinguishable events.”
H.R. Rep. No. 92-238, at 8 (1971), reprinted in
Legislative History at 68.
Second, class proceedings allow victims to obtain
and present the evidence necessary to prove broad-
based discrimination, either intentional patterns and
practices or disparate impact. When the issue is one
individual’s job treatment rather than the treatment
of a larger class, courts may not permit the extensive
discovery and proof needed to understand how an
employment system operates. Even if statistical
evidence were equally probative in individual cases,
the practical realities of modern litigation mean that
such evidence is available only in class proceedings.
An individual “is unlikely to have or make available
the up-front costs needed to prosecute” a complex
lawsuit requiring experts, sophisticated statistical
analyses, and extensive discovery. Kristian v.
Comcast Corp., 446 F.3d 25, 54-55 (1st Cir. 2006).
Extensive discovery is essential to the prosecution of
almost any employment discrimination claim,
because evidence of an employer’s practices
regarding such matters as hiring, assignment,
promotion, workplace conditions, and termination
lies almost completely within the employer’s control.
See, e.g., 29 C.F.R. § 1607.4.A (requiring employers
subject to Title VII to maintain certain employment
records). But discovery of this evidence - especially
in cases involving large employers — is prohibitively
expensive in individual actions, and thus the ability
to spread the costs over a class is essential to
obtaining redress. See, e.g., Duke v. Univ. of Texas
at El Paso, 729 F.2d 994, 996-97 (5th Cir. 1984)
(reversing judgment against discrimination plaintiff
24
in order to permit broad discovery in support of a
class certification motion, and observing that “[h]ad
Duke’s class claims prevailed, she would have faced
a distinctively less onerous burden at the trial of her
individual claim”). Class actions allow for burden
sharing in order to level the playing field against
sophisticated and well-resourced corporate entities.
These limitations on obtaining evidence make
individual cases relatively poor vehicles for rooting
out institutional discrimination.
II. Wal-Mart’s attempt to bar monetary
relief from 23(b)(2) classes would severely
hamper the effectiveness of such actions and is
unsupported by legislative intent or legal
precedent.
Wal-Mart’s opening brief argues that Rule
23(b)(2) “does not authorize certification of any
monetary claims.” Pet. Br. 44. Wal-Mart also
argues that punitive damages are categorically
unavailable in a (b)(2) action. See id. at 55. Wal-
Mart’s proposed standard for class certification of
Title VII claims that include monetary relief is
unsupported by existing case law, inconsistent with
congressional intent, and a harmful interpretation of
Rule 23.
Wal-Mart’s proposal that victims of
discrimination must waive their entitlement to all
but injunctive relief in order to proceed as a class
would vitiate Title VII’s purposes of making victims
whole and eradicating discrimination. “If employers
faced only the prospect of an injunctive order, they
would have little incentive to shun practices of
25
dubious legality.”13 Albemarle, 422 U.S. at 417. Any
reading of Rule 23(b)(2) that prohibits economic
remedies when victims of discrimination seek to
litigate as a class denies them a remedy that is equal
to their injury: “Title VII deals with legal injuries of
an economic character occasioned by racial or other
antiminority discrimination. . . . And where a legal
injury is of an economic character, . . . ‘the
compensation shall be equal to the injury.’” Id. at
418 (quoting Wicker v. Hoppock, 73 U.S. 94, 99
(1867)).
Forcing plaintiffs to forgo their entitlement to full
Title VII remedies in order to litigate as a class
would contravene the principle that relief in Title
VII cases should not frustrate the purposes of the
statute.14 See id. at 421.
13 This theme has been consistent throughout the history of
Title VII. For example, the legislative history of the Civil
Rights Act of 1991, amending Title VII to, inter alia, include
the possibility of punitive damages for victims of intentional
discrimination, makes clear that Congress sought to expand,
not curtail, remedial relief to such victims in order to better
achieve the original purposes of the statute. See Civil Rights
Act of 1991, Pub. L. No. 102-166, § 102, 105 Stat. 1071, 1072
(1991) (codified at 42 U.S.C. § 1981a); see also Pollard v. E.I. du
Pont de Nemours & Co., 532 U.S. 843, 852 (2001) (“In the Civil
Rights Act of 1991, Congress determined that victims of
employment discrimination were entitled to additional
remedies . . . without giving any indication that it wished to
curtail previously available remedies.”) (emphasis in original).
14 Significantly, Wal-Mart is not engaging the Court in an
inquiry as to which subsection of Rule 23 is best suited for
certification of this action. Wal-Mart argues that Plaintiffs’
claims cannot be certified under (b)(2) or (b)(3). Pet. Br. 43.
26
A. Back pay remedies are central to full
equitable relief and consistent with Rule
23(b)(2) certification.
Congress enacted Title VII as part of the Civil
Rights Act of 1964 to “achieve equality of
employment opportunities and remove barriers that
have operated in the past to favor an identifiable
group of white employees over other employees.”
Griggs, 401 U.S. at 424. A central objective of the
statute is “to make persons whole for injuries
suffered on account of unlawful employment
discrimination.” Albemarle, 422 U.S. at 418.
These objectives are achieved in part through the
Title VII remedial scheme, which critically includes
back pay. 42 U.S.C. § 2000e-5(g). This Court has
explained that back pay has an “obvious connection”
to Title VII’s central purposes, and is a necessary
catalyst for employers to “endeavor to eliminate, so
far as possible, the last vestiges of an unfortunate
and ignominious page in this country’s history.”
Albermarle, 422 U.S. at 417-18 (internal quotation
mark omitted). For this reason, this Court has made
clear that back pay is presumptively available to
victims of discrimination under Title VII: “[Gjiven a
finding of unlawful discrimination, backpay should
be denied only for reasons which, if applied
generally, would not frustrate the central statutory
purposes of eradicating discrimination throughout
the economy and making persons whole for injuries
suffered through past discrimination.”15 Id. at 421.
15 “[Cjourts have cited few circumstances that justify
denying back pay other than the plaintiffs failure to mitigate
damages.” 2 Lindemann & Grossman 2757 & n.27; see also
27
Accordingly, federal courts have-for decades-
held that back pay relief is available in (b)(2) class
actions, and that the award of this monetary remedy
is consistent with the requirement that declaratory
and injunctive relief predominate. See, e.g., Wang v.
Chinese Daily News, Inc., 623 F.3d 743, 754 (9th Cir.
2010); Chisholm u. U.S. Postal Serv., 665 F.2d 482,
488 (4th Cir. 1981); Gay v. Waiters’ & Dairy
Lunchmen’s Union, 549 F.2d 1330, 1331-34 (9th Cir.
1977); accord Senter v. Gen. Motors Corp., 532 F.2d
511, 525 (6th Cir. 1976); Wetzel, 508 F.2d at 250-53;
United States v. N.L. Indus., Inc., 479 F.2d 354, 378-
80 (8th Cir. 1973); Bowe v. Colgate-Palmolive Co.,
416 F.2d 711, 719-21 (7th Cir. 1969).
Indeed, as the Ninth Circuit en banc correctly
noted, every circuit to have addressed the issue has
held that Rule 23(b)(2) allows for claims of monetary
relief, and that a “request for back pay in a Title VII
case is fully compatible with the certification of a
23(b)(2) class.” App. 91a.
B. The issue of punitive damages in (b)(2)
classes should not be considered by this
Court.
This Court need not resolve whether punitive
damages may be certified under Rule 23(b)(2). The
Ninth Circuit en banc vacated and remanded the
punitive damages claim for the district court to
decide in the first instance whether punitive
Pegues v. Miss. State Employment Serv., 899 F.2d 1449, 1457
(5th Cir. 1990) (“[Ojnce a plaintiff establishes a violation of the
statute, ‘the instances wherein [a backpay] award is not
granted are exceedingly rare.”’ (quoting Sellers v. Delgado
Cmty. Coll., 839 F.2d 1132, 1136 (5th Cir. 1988))).
2 8
damages predominate over injunctive relief. Thus,
the issue is not properly before this Court.
Wal-Mart attempts to manufacture a circuit split
because the Ninth Circuit, in vacating the punitive
damages certification, did not foreclose the
possibility of certification entirely and instead
ordered the district court to inquire into the
particular facts of this case. Pet Br. 55 (asserting
that in “not foreclosing [the possibility of
certification of punitive damages under (b)(2)] the
Ninth Circuit broke ranks with every other circuit”).
But no such circuit split exists. Indeed, Wal-Mart’s
merits brief conspicuously fails to cite any case law
supporting its contention that the Ninth Circuit’s
decision to remand because the district court had not
conducted a predominance inquiry was inconsistent
with other circuits. Indeed, the circuits that have
declined to certify punitive damages in a (b)(2) class
have recognized that this issue requires an
approach tied to the individual circumstances of the
case, consistent with the Ninth Circuit’s decision to
remand. See Allison, 151 F.3d at 417 (declining to
certify a claim for punitive damages where the
award would be dependent on compensatory
damages, but explicitly allowing for the possibility
that punitive damages might “be awarded on a class
wide basis, without individualized proof of injury” in
an appropriate case); Cooper v. S. Co., 390 F.3d 695,
720 (11th Cir. 2004) (upholding district court’s
refusal to certify class after it found that too many
individualized issues would be involved in the award
of both compensatory and punitive damages in that
particular case), overruled on other grounds by, Ash
v. Tyson Foods, Inc., 546 U.S. 454, 456 (2006);
29
Lemon v. Int’l Union of Operating Engrs, 216 F.3d
577, 579 (7th Cir. 2000) (remanding for
consideration of whether class for punitive damages
could be certified under Rule 23(b)(2) if notice and
opt-out rights were provided); see also Petition for
Rehearing En Banc at 11-12, Dukes v. Wal-Mart
Stores, Inc., 603 F.3d 571 (9th Cir. 2010) (Nos. 04-
16688 & 04-16720) (citing the previous three cases
as representing the only other Courts of Appeals to
consider this issue).
C. The fact that the class includes former
employees is not an appropriate ground
for denying certification under Rule
23(b)(2).
Wal-Mart argues that Plaintiffs’ claims for
monetary relief predominate because the “majority”
of the class are former employees who lack standing
to pursue injunctive relief. Pet. Br. 52. Besides
failing to demonstrate that the underlying assertion
is factually correct, Wal-Mart has cited no case law
to support this argument, and has failed to explain
how it is relevant to the modified “incidental
damages” standard it proposes for determining
whether monetary relief predominates.16 See Pet.
Br. 50-51
16 Indeed, to the extent that Wal-Mart raises this, it seems
to have adopted the Second Circuit’s approach that the
subjective intent of plaintiffs in bringing suit should be
paramount. See Robinson, 267 F.3d at 164. This approach
could logically allow for limited consideration of the proportion
of the class who are former employees as an indication of the
intent of the plaintiffs in seeking injunctive relief. See id.
(“Insignificant or sham requests for injunctive relief should not
30
Wal-Mart cites no case law for its argument that
the question of whether injunctive relief
predominates can be definitively settled by
calculating the proportion of the class that is former
employees. Indeed, this proposition is contrary to
the accepted understanding that “ [a]n action or
inaction is directed to a class within the meaning of
[23(b)(2)] even if it has taken effect or is threatened
only as to one or a few members of the class,
provided it is based on grounds, which have general
application to the class.” Advisory Committee Note,
39 F.R.D. at 102; see also Walters v. Reno, 145 F.3d
1032, 1047 (9th Cir. 1998) (“Even if some class
members have not been injured by the challenged
practice, a class may nevertheless be appropriate.”).
The appropriate question then is whether a
defendants’ actions are based on grounds generally
applicable to the class, not whether a majority of
class members will benefit from an injunction.
Advisory Committee Note, 39 F.R.D. at 102.
To the extent that the number of class members
who will benefit from injunctive relief is relevant to
the inquiry of whether monetary relief
predominates, it is only if that number is so trivial
as to call into question the legitimacy of the request
for injunctive relief. One appellate court has
asserted that where the proportion of the class that
could benefit from injunctive relief is “negligible” it
may endanger (b)(2) certification because it would
raise the question of whether “the class as a whole is
deemed properly to be seeking injunctive relief.” In
re Monumental Life Ins. Co., 365 F.3d 408, 416 (5th
provide cover for (b)(2) certification of claims that are brought
essentially for monetary recovery.”).
31
Cir. 2004). On remand in that case, the district
court found that certification was inappropriate
where fewer than 2% of class members could possibly
benefit from the requested injunctive relief. In re
Indus. Life Ins. Litig., No. 1371, slip op. at 4-5, 6, 9
(E.D. La. Jan 11, 2006); see also Bolin v. Sears
Roebuck & Co., 231 F.3d 970, 978 (5th Cir. 2000)
(finding class certification was inappropriate where
the “vast majority” of the class could not benefit from
injunctive relief, and where the equitable relief
“serve[d] only to facilitate the award of damages”).
Wal-Mart has never alleged that the number of
current employees in Plaintiffs’ class is so
insignificantly small as to be “negligible.”17
Moreover, the district court found as a matter of fact
that Plaintiffs’ claims for prospective relief “would
achieve very significant long-term relief in the form
of fundamental changes to the manner in which Wal-
Mart makes its pay and promotions decision
nationwide that would benefit not only current class
members, but all future female employees as well.”
App. 239a.
Wal-Mart’s proposed rule is not only untethered
to any legal basis, but it would create perverse
incentives for employers and frustrate the objective
of Title VII to eliminate discrimination. Cf. Wetzel,
508 F.2d at 247 (asserting that if a former employee
could not serve as a class representative, “employers
would be encouraged to discharge those employees
suspected as most likely to initiate a Title VII suit in
the expectation that such employees would thereby
be rendered incapable of bringing the suit as a class
17 Indeed, Wal-Mart never raised this argument as to
former employees in the district court at all.
32
action” (citing Reed v. Arlington Hotel Co., 476 F.2d
721 (8th Cir. 1973)); Ellis v. Costco Wholesale Corp.,
240 F.R.D. 627, 637 (N.D. Cal. 2007) (“To hold that
employees must continue to work in jobs where they
face discrimination in order to challenge the
discrimination would pervert Article Ill’s injury-in
fact requirement.”). In many cases, including the
instant one, victims leave their employer because of
the very discrimination challenged or as a result of
retaliation for having objected to discriminatory
treatment. J.A. at 1158, 1162, 1167, 1209, 1297,
1300. If a majority of victims had to remain with a
discriminatory employer in order for a class to seek
prospective relief, employers could manipulate their
workforce in order to avoid class-wide liability. Cf.
Robinson v. Shell Oil Co, 519 U.S. 337, 346 (1997).
Wal-Mart’s rule would create a constantly moving
target for discrimination victims to hit in order to
certify their class—a target that is entirely in the
control of the defendant.
CONCLUSION
Wal-Mart proposes a version of class action law
that would force plaintiffs to choose between class
certification and full remedial relief.
That interpretation of the class action rule and
law is at variance with Congress’s intent and this
Court’s precedents. It would dramatically
undermine Congress’s stated goals of eliminating
discrimination throughout the workplace and
making victims of discrimination whole, and
unnecessarily heighten barriers for class
33
certification. It should therefore be firmly rejected
by this Court.
Amici respectfully request that this Court affirm
the Ninth Circuit’s decision affirming certification of
the plaintiff class under Rule 23(b)(2).
Respectfully submitted,
John Payton
Director-Counsel
Debo P. Adegbile
Counsel of Record
Kimberly Liu
Ryan Downer
NAACP Legal Defense &
Educational Fund , Inc.
99 Hudson St., 16th Floor
New York, NY 10013
(212) 965-2200
dadegbile@naacpldf.org
March 1, 2011
mailto:dadegbile@naacpldf.org
ADDENDUM
la
The NAACP Legal Defense & Educational Fund,
Inc., is a non-profit corporation established to assist
African Americans in securing their civil and
constitutional rights through the prosecution of
lawsuits that challenge racial discrimination. For
six decades, LDF attorneys have represented parties
in litigation before the Supreme Court and other
federal courts on matters of race discrimination in
general, and employment discrimination in
particular, including Lewis v. City of Chicago, 127 S.
Ct. 2191 (2010); Patterson v. McLean Credit Union,
491 U.S. 164 (1989); Franks u. Bowman
Transportation Co., 424 U.S. 747 (1976); Albemarle
Paper Co. v. Moody, 422 U.S. 405 (1975); and Griggs
v. Duke Power Co., 401 U.S. 424 (1971); LDF has
focused its employment discrimination work
particularly upon class actions because of their
effectiveness in securing systemic change.
The National Association for the Advancement of
Colored People (NAACP) is a non-profit corporation
with membership throughout the nation. The
NAACP is the nation’s oldest and largest civil rights
organization. The mission of the NAACP is to
ensure the political, educational, social and economic
equality of all persons and to eliminate racial hatred
and racial discrimination. For over a century, the
NAACP has been at the forefront of ending unlawful
employment discrimination. The NAACP relies on
the use of class actions, inter alia, as an effective
method of eliminating systemic workplace
discrimination.
The Leadership Conference on Civil and Human
Rights is a coalition charged by its diverse
membership of more than 200 national organizations
2 a
to promote and protect the civil and human rights of
all persons in the United States. It is the nation’s
premier civil and human rights coalition working to
build an America that’s as good as its ideals. The
Leadership Conference was founded in 1950 by A.
Philip Randolph, head of the Brotherhood of
Sleeping Car Porters; Roy Wilkins of the NAACP;
and Arnold Aronson, a leader of the National Jewish
Community Relations Advisory Council. For more
than half a century, The Leadership Conference,
based in Washington, D.C., has led the fight for civil
and human rights by advocating for federal
legislation and policy, securing passage of the Civil
Rights Acts of 1957, 1960, and 1964; the Voting
Rights Act of 1965; the Fair Housing Act of 1968;
and the Americans With Disabilities Act of 1990.
Many of the member organizations of The
Leadership Conference use the class action
mechanism in their efforts to combat discrimination
and advance civil and human rights.
AARP is a non-partisan, non-profit organization
of people age 50 or older dedicated to addressing the
needs and interests of older people. AARP supports
the rights of older workers and strives to preserve
the legal means to enforce them. More than half of
AARP’s members are in the work force and are
protected by Title VII of the Civil Rights Act of 1964,
as well as other civil rights laws at the federal, state
and municipal level in regard to which legislatures,
courts, and enforcement agencies look to Title VII as
a model. AARP attorneys also represent clients in
cases concerning access to healthcare and long-term
care, consumer protection and other matters of
concern to older persons. In each of these areas, the
3a
option of seeking systemic and/or broad-based relief
through a class action may be and often is critical to
vigorous and successful private enforcement of the
rights and claims of older persons. AARP thus has a
strong interest in the continued vitality of class
actions as a means of serving the needs and interests
of older persons, including older persons of limited
means, older persons of color, older women and other
vulnerable groups of older persons.
The Disability Rights Education and Defense
Fund, Inc., (DREDF) is a national nonprofit
disability civil rights law and policy organization
dedicated to protecting and advancing the civil
rights of people with disabilities. Based in Berkeley,
California, DREDF has remained board- and staff-
led by people with disabilities since its founding in
1979. DREDF pursues its mission through
education, advocacy and law reform efforts, and is
nationally recognized for its expertise in the
interpretation of federal disability civil rights laws.
As part of its mission, DREDF works to ensure that
people with disabilities have the legal protections,
including effective legal remedies, necessary to
vindicate their right to be free from discrimination.
The federal Americans with Disabilities Act
explicitly incorporates Title VII remedies to enforce
its employment nondiscrimination protections, and
thus DREDF and the disability community it
represents have an interest in the Title VII issues
presented by this case.
Latino Justice PRLDEF is a national not for
profit civil rights organization that has advocated for
and defended the constitutional rights and the equal
protection of all Latinos under law; sought to
4a
promote the civic participation of the pan-Latino
community; and to cultivate future Latina/o
community leaders. Since our founding in 1972 as
the Puerto Rican Legal Defense and Education
Fund, we have brought precedent-setting impact
litigation across the country on behalf of the Puerto
Rican and the greater pan-Latino community in the
areas of education, employment, fair housing,
language rights, immigrants’ rights, redistricting
and voting rights. During its 39 year history,
LATINOJUSTICE PRLDEF has litigated numerous
cases of employment discrimination on behalf of
Latina and Latino workers, and seeks to ensure that
Latina/o workers continue to have unfettered access
to the courts for full legal redress of workplace
discrimination.
The Asian American Justice Center (AAJC) is a
national nonprofit, nonpartisan organization whose
mission is to advance the civil and human rights of
Asian Americans and to promote a fair and equitable
society for all. A member of the Asian American
Center for Advancing Justice, AAJC engages in
litigation, public policy, advocacy, and community
education and outreach on a range of civil rights
issues, including anti-discrimination. AAJC’s
longstanding interest in employment discrimination
matters that impact Asian Americans and other
underserved communities has resulted in the
organization’s participation in numerous amicus
curiae briefs before the courts.
Founded in 1972, the Asian Law Caucus (“ALC”)
is the nation's oldest legal organization advancing
the civil rights of Asian American and Pacific
Islander communities. A member of the Asian
5a
American Center for Advancing Justice, ALC has a
long history of protecting low-wage immigrant
workers and engages in broad community education
and litigation on pressing civil and employment
rights issues. ALC is committed to ending
discrimination and unfair treatment of vulnerable
workers.
The Lawyers’ Committee for Civil Rights Under
Law is a tax-exempt, nonprofit civil rights
organization that was founded in 1963 by the leaders
of the American bar, at the request of President
John F. Kennedy, in order to help defend the civil
rights of minorities and the poor. Its Board of
Trustees presently includes several past Presidents
of the American Bar Association, law school deans
and professors, and many of the nation’s leading
lawyers. The Lawyers’ Committee is dedicated,
among other goals, to eradicating all forms of
workplace discrimination affecting racial and ethnic
minorities, women, individuals with disabilities and
other disadvantaged populations. Since the passage
of the Civil Rights Act of 1964, the Lawyers’
Committee has relied on the class action mechanism
and all available remedies as essential tools for
combating unlawful discrimination in the workplace.