Patterson v. McLean Credit Union Petition for a Writ of Certiorari
Public Court Documents
October 5, 1987
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No. 87- M>7
I n the
&uprmp (Emtrt of % Ilmteii States
October Term, 1987
Brenda Patterson,
vs.
Petitioner,
M cL ean Credit U nion,
Respondent.
PETITION FOR A WRIT OF CERTIORARI TO THE
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
Julius L eV onne Chambers
Penda D. H air
Charles Stephen R alston*
Gail J. W right
99 Hudson Street
New York, N.Y. 10013
(212) 219-1900
H arold L. K ennedy, III
H arvey L. K ennedy
Kennedy, Kennedy,
Kennedy and Kennedy
710 First Union Building
Winston-Salem, NC 27101
(919) 724-9207
Attorneys for Petitioners
*Counsel o f Record
QUESTIONS PRESENTED
1. Does 42 U.S.C. § 1981 encompass
a claim of racial discrimination in the
terms and conditions of employment,
including a claim that petitioner was
harassed because of her race?
2. Did the district court err in
instructing the jury that in order for
petitioner to prevail on her claim of
discrimination in promotion that she must
prove that she was more qualified than
the white who received the promotion?
l
PARTIES IN THE COURT BELOW
All parties in this matter are set
forth in the caption.
ii
TABLE OF CONTENTS
Page
iQUESTIONS PRESENTED
PARTIES IN THE COURT BELOW........ ii
TABLE OF CONTENTS................. iii
TABLE OF AUTHORITIES.............. V
CITATIONS TO OPINIONS BELOW ........ 1
JURISDICTION ....................... 2
STATUTE INVOLVED ................... 3
STATEMENT OF THE C A S E .............. 3
1. Proceedings Below ........ 3
2. Statement of Facts........ 7
REASONS FOR GRANTING THE WRIT . . . . 11
I. CERTIORARI SHOULD BE GRANTED
TO RESOLVE A CONFLICT BETWEEN
THE CIRCUITS AS TO WHETHER 42
U.S.C. § 1981 ENCOMPASSES
CLAIMS OF RACIAL HARASSMENT . . 13
II. THE DECISION BELOW IS INCON
SISTENT WITH DECISIONS OF THIS
COURT, INCLUDING GOODMAN V.
LUKENS STEEL CO. AND SHAARE
TEFILA CONGREGATION V. COBB . . 17
III. THE DECISION BELOW RELATING
TO BURDEN OF PROOF CONFLICTS
WITH DECISIONS OF THIS COURT
AND OTHER CIRCUITS............ 2 5
A. The Decision Below Con
flicts With Texas Dent, of
Corrections v. Burdine . . 25
iii
B. The Decision Below Is
In Conflict With
Decisions of Other
Circuits................ 29
CONCLUSION.........................34
iv
TABLE OF AUTHORITIES
Cases:
Anderson v. City of Bessemer City,
717 F.2d 149 (4th Cir. 1983),
rev'd on other grounds. 470 U.S.
564 (1985) ...................
Block v. R. H. Macy & Co., Inc., 712
F.2d 1241 (8th Cir. 1983) . 12,
Carter v. Duncan-Huggins, Ltd., 727
F.2d 1225 (D.C. Cir. 1984) . . .
Christensen v. Equitable Life
Assurance, 767 F.2d 340
(7th Cir. 1985) ..............
Foster v. Areata Associates, Inc.,
772 F.2d 1453 (9th Cir. 1985) .
Goodman v. Lukens Steel Co., 777
F.2d 113 (3rd Cir. 1985)
aff'd ___ U.S. ____, 55 U.S.L.
Week 4881 (1987) . . . . 16, 17,
Grano v. Department of Development
of the City of Columbus,
637 F.2d 1073 (6th Cir. 1980) .
Hamilton v. Rodgers, 791 F.2d 439
( 5th Cir. 1986) ............
Hawkins v. Anheuser-Busch, 697 F.2d
810 (8th Cir. 1983) . . 30, 31,
Hishon v. King & Spaulding, 467
U.S. 69 (1984) ..............
Johnson v. Railway Express Agency,
421 U.S. 454 (1975)............
Page
26
15
14
30
.30
25
31
14
32
19
21
• V
Jones v. Alfred H. Mayer Co., 392
U. S. 409 (1968)....... 22, 23, 24
Joshi v. Florida State University
Health Center, 763 F.2d 1227
(11th Cir. 1985)............ 32
Mitchell v. Baldrige, 759 F.2d 80
(D.C. Cir. 1985)............... 30
Ramsey v. American Air Filter
Company, 772 F.2d 1303
(7th Cir. 1985)............... 15
Shaare Tefila Congregation
V. Cobb, 481 U.S. ___, 95 L.Ed.
2d 594 (1987)............ 17, 25
Texas Dept, of Community
Affairs v. Burdine, 450 U.S.
248 (1981)................. 26, 27
United States Postal Service
Board of Governors v. Aikens,
460 U.S. 711 (1983) . . . . 31, 33
Wilmington v. J. I. Case Company,
793 F.2d 909 (8th Cir. 1986) 15, 16
Young v. Lehman, 748 F.2d 194
(4th Cir. 1984).............. 26
Statutes:
Civil Rights Act of 1866 . . . . 22, 24
28 U.S.C. § 1254(1).................3
42 U.S.C. § 1 9 8 1 ................ passim
42 U.S.C. § 1982 ............ 18, 22, 23
vi
42 U.S.C. § 1983 ................... 14
Other Authorities:
Cong. Globe, 39th Cong.,
1st Sess. 474 ................ 24
vii
NO. 87-
IN THE
SUPREME COURT OF THE UNITED STATES
OCTOBER TERM, 1987
BRENDA PATTERSON,
Petitioner.
vs.
MCLEAN CREDIT UNION,
Respondent.
PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF
APPEALS FOR THE FOURTH CIRCUIT
The petitioner, Brenda Patterson,
respectfully prays that a writ of
certiorari issue to review the judgment
and opinion of the United States Court of
Appeals for the Fourth Circuit entered in
this proceeding on November 25, 1986.
CITATIONS TO OPINIONS BELOW
The opinion of the court of appeals
is reported at 805 F.2d 1143 and is set
2
out in the appendix to this petition at
pages la-20a. The order of the court of
appeals denying rehearing is set out in
the appendix hereto at pages 21a-22a.
The oral ruling of the district court
granting in part respondent's motion to
dismiss is unreported and is set out in
the appendix at pages 23a-25a. The
judgment of the district court dismissing
the case based on the jury's verdict is
set out in the appendix at pages 26a-28a.
JURISDICTION
The judgment of the court of appeals
affirming the Court's dismissal of the
case was entered on November 25, 1986.
App. la. The court of appeals entered an
order denying a timely petition for
rehearing en banc on March 19, 1987.
App. 22a. On June 5, 1987, Chief Justice
Rehnquist entered an order extending the
time for filing a petition for writ of
certiorari to and including July 17,
3
1987. The jurisdiction of this Court is
invoked under 28 U.S.C. § 1254(1).
STATUTE INVOLVED
This case involves 42 U.S.C. § 1981,
which provides:
All persons within the
jurisdiction of the United
States shall have the same
right in every State and
Territory to make and enforce
contracts, to sue, be parties,
give evidence, and to the full
and equal benefit of all laws
and proceedings for the
security of persons and
property as is enjoyed by white
citizens, and shall be subject
to like punishment, pains,
penalties, taxes, licenses, and
exactions of every kind, and to
no other.
(R. S. § 1977.)
STATEMENT OF THE CASE
1. Proceedings Below
The petitioner, Brenda Patterson,
brought this action on January 25, 1984,
in the United States District Court for
the Middle District of North Carolina
against her former employer, McLean
Credit Union. The action was brought
4
under 42 U.S.C. § 1981 and alleged that
petitioner was discriminated against with
respect to promotions, layoffs, and in
the terms and conditions of employment,
including racial harassment. In
addition, the state tort claim of
intentional infliction of mental and
emotional distress was brought pursuant
to pendent jurisdiction.
The case was tried before a jury
from November 12 to November 18, 1985.
The trial court dismissed the claim of
racial harassment on the ground that 42
U.S.C. § 1981 did not provide a remedy
for racial harassment during the term of
employment.1 App. 23a-25a. With regard
to petitioner's claim that she was
discriminatorily denied promotional
opportunities, the district court
1The district court also did not
submit the state tort claim to the jury.
The correctness of that ruling is not
raised in this petition.
5
instructed the jury, over the objection
of the petitioner, that she had to prove
that she was more qualified for the
position than the person who received the
job.2 The jury returned a verdict in
favor of the defendant employer and the
district court dismissed the case in its
entirety. App. 26a-28a.
Petitioner appealed to the United
States Court of Appeals for the Fourth
Circuit, which affirmed the district
court. The court of appeals held that
Section 1981 covered only racial
2Transcript of Trial, Nov. 18, 1985:
THE COURT: . . . the law in the
Fourth Circuit seems to be that in
order to make out a prima facie
case, you must show that you are
better qualified than the person who
received [the promotion], and I have
so instructed the jury.
MR. KENNEDY: I would like, for the
purposes of the record, to make an
exception to that point.
THE COURT: Yes, sir.
Id. at 5-30 - 5-31.
6
discrimination in hiring, firing and
promotion since those matters went to the
"very existence and nature of the
employment contract." App. 8a. The
court ruled that racial harassment
related to the terms and conditions of
employment and, therefore, did not,
standing alone, abridge the right to make
and enforce contracts that was conferred
by Section 1981. App. 9a.
With regard to the charge to the
jury, the court relied on prior Fourth
Circuit precedents requiring that a
plaintiff must prove that she was more
qualified than the person to whom the
promotion was given in order for her to
establish a prima facie case of
discrimination. Therefore, the instruc
tion was correct. App. 19a-20a.
A timely petition for rehearing and
suggestion for rehearing en banc was
denied. App. 21a-22a.
7
2. Statement of Facts
At trial, petitioner introduced
substantial evidence to support her claim
that she had been a victim of racial
harassment and had been treated
differently from similarly situated
whites in the terms and conditions of
employment. At the very beginning of her
employment she was told by the
defendant's president, Robert Stevenson,
that she would be working only with white
women and that those women would probably
not like her because they were not used
to working with blacks. Plaintiff was
never promoted; instead, after her
immediate supervisor spoke to the
president about petitioner's having too
heavy a work load, she was given more
work by Stevenson.^ Throughout her
employment she was given more work than
her white co-workers, and was then 3
3Tr. of Trial, pp. 1-86 - 1-87.
8
criticized for her alleged "slowness".
When she spoke to the president about her
work, she testified that he replied,
"Well, blacks are known to work slower
than whites by nature." He then added on
even more work.4 At staff meetings Mr.
Stevenson singled out plaintiff and the
other black worker by name and criticized
them for errors; white workers were not
subjected to this treatment.5 Finally,
Mr. Stevenson would stop by her desk and
stare at her four or five times a week,
making her nervous and unable to
concentrate on her work. Again, white
workers were not subjected to this
Id.. at 1-88 A white former
employee of defendant testified that Mr.
S t e v e n s o n had berated him for
recommending a black man for a computer
position. Mr. Stevenson told him that he
would not hire a Black because: "We
don't need any more problems around
here." Transcript of Trial, at p. 2-162.
5Id. at 1-89 - 1-90.
9
treatment.6
Plaintiff never was able to find out
about promotions that were available.7
White workers were trained for higher
level positions, while she was not.8 A
number of white employees were promoted
over her who had less education and
seniority, but who were given training.9
On July 19, 1982, plaintiff was laid off
and subsequently terminated; white
employees with less experience than her
were not.
A f t e r the p r e s e n t a t i o n of
plaintiff's evidence, the court dismissed
the claims of racial harassment and
intentional infliction of mental and
emotional distress. At the end of the
submission of all the evidence the trial
6Id. at 1-90 - 1-91.
7Id. at 1-91 - 1-92.
8Id. at 1-93.
9Id. at 1-93 - 1-97.
10
court instructed the jury that for
plaintiff to prevail on the promotion
claim she had to prove that she was more
qualified for the position of accountant
intermediate than was the white person
who was promoted.10 Plaintiff objected
10The district court charged, in
addition to instructing that plaintiff
had to have shown an interest in being
promoted and that a white person, Susan
Howard Williamson, was promoted instead, that:
In order to carry her burden [that
defendant denied her a promotion
because of her race], the plaintiff
must establish . . . (3) that
plaintiff was better qualified for
the position received by Susan
Howard Williamson than was Susan
Howard Williamson; and (4) that
plaintiff was denied the promotion
because of her race. (emphasis added).
With regard to the fourth
requirement, plaintiff offered
evidence tending to show that she
had not been trained for the job of
accountant intermediate because of
her race and was thus denied the
promotion because of her race.
Transcript of Trial, p. 5-12 -5-13.
The court later instructed that:
[I]t is necessary that [plaintiff]
11
to this part of the charge.11 The jury-
returned a verdict for the defendant
company.
REASONS FOR GRANTING THE WRIT
This case presents an important
issue relating to the enforcement of the
civil rights statutes concerning which
the circuits are in conflict. The
availability of 42 U.S.C. § 1981 as a
remedy for harassment that is motivated
by racial animus is particularly
important because it is only under that
section that damages for such harassment
may be obtained. Title VII provides
satisfy you by a preponderance of
the evidence that she was more
qualified to receive the promotion
to the accountant intermediate
position than was Susan Howard
Williamson and that McLean's
intentional discrimination against
her because of her race was the real
reason that she did not receive the promotion.
Id. at 5-13 - 5-14.
11See n . 2, supra.
12
monetary relief only in the form of back
pay when, e.a. . a promotion has been
denied. Thus , in many cases of
harassment the only relief available
under Title VII will be an injunction
that simply reiterates the command of the
statute. Often, that relief will not be
a sufficient deterrent to harassment.
As the discussion that follows
demonstrates, the problem of racial
harassment and other discrimination in
the terms and conditions of employment is
persistent and recurring. Only the
threat of actual and punitive damages
under 42 U.S.C. § 1981 can provide an
effective deterrent and help to rid the
work place of this most pernicious form
of discrimination.12
12See,_e.cf. . Block v. R. H. Macv &
Co. , Inc., 712 F. 2d 1241, 1243, 1245-48
(8th Cir. 1983) (Title VII and § 1981
claims for discharge and racial
harassment; $20,000 in actual and $60,000
in punitive damages awarded of which only
$7,598 was back pay under Title VII).
13
CERTIORARI SHOULD BE GRANTED TO RESOLVE A
CONFLICT BETWEEN THE CIRCUITS AS TO
WHETHER 42 U.S.C. § 1981 ENCOMPASSES
CLAIMS OF RACIAL HARASSMENT.
The court of appeals here held that
Section 1981 does not encompass racial
harassment on the reasoning that the
statute does not cover discrimination in
compensation, terms, conditions, or
privileges of employment. Rather it held
that § 1981 covers only matters that go
to the very existence and nature of the
employment contract, such as hiring,
firing and promotion. Four other courts
of appeals have ruled to the contrary and
have held that discrimination in the
terms and conditions of employment,
including racial harassment, violates
Section 1981.
The Fifth Circuit has ruled that an
offensive work environment caused by
racial harassment "would . . . establish
a successful case under 42 U.S.C. §§ 1981
I.
14
and 1983." Hamilton v. Rodgers, 791 F.2d
439, 442 (1986). Similarly, the District
of Columbia Circuit has concluded that
Section 1981 encompasses a claim that a
black plaintiff suffered "conduct and
conditions that were worse than those
imposed upon white employees." Carter v.
Duncan-Huggins. Ltd.. 727 F.2d 1225, 1233
(D.C. Cir. 1984) . The court explicitly
held that a pattern of differences in the
condition of employment, including the
telling of a racially derogatory joke,
can give rise to liability under Section
1981. Ibid. Therefore, it upheld
compensatory damages for humiliation and
other emotional harm resulting from "the
atmosphere of harassment." Id. at 1236,
1238-39.
Both the Seventh and Eighth Circuits
have also permitted recovery under
Section 1981 for emotional distress
caused by racial harassment in employment
15
where a defendant subjected a black
employee to different terms and
conditions of employment because of race.
These cases involved discriminatory job
assignments, discipline, and other forms
of racial harassment. Ramsev v. American
Air Filter Company. 772 F.2d 1303 (7th
Cir. 1985) ; Block v. R. H. Macv & Co. .
712 F.2d 1241 (8th Cir. 1983).13 See
also Wilmington v. J. I, Case Company.
793 F.2d 909 (8th Cir. 1986).14 And see.
13Although Block involved claims
under both Title VII and § 1981, racial
harassment was treated as an independent
cause of action under § 1981. The court
upheld the jury's damage award for
" m e n t a l anguish, h u m i l i a t i o n ,
embarrassment and stress," caused by such
harassment. 712 F.2d at 1245. Damages
for emotional distress are not
recoverable under Title VII.
14 The court in W i l m i n a t o n
specifically upheld an award of damages
for "emotional distress resulting from
the conditions under which folaintiffl
worked." 793 F.2d at 922. Although the
Court did not use the label "racial
harassment," the type of discrimination
at issue was the same as that involved in
the instant case. The plaintiff in
Wilmington was assigned to undesirable
16
Goodman v. Lukens Steel Co., 777 F.2d 113
(3rd Cir. 1985), aff'd ___U.S. ___, 55
U.S.L. Week 4881 (1987) (affirming
finding of liability under § 1981 and
Title VII based in part on harassment of
black employees).
jobs so that he would not earn incentive
pay, 793 F. 2d at 915; plaintiff in the
instant case was given the undesirable
job of sweeping and dusting not required
of white clerical workers and was
assigned an exorbitant amount of work in
an attempt to force her to resign.
Plaintiff in Wilmington was repeatedly
verbally reprimanded, id. ; plaintiff in
this case was criticized in staff
meetings and subjected to racially
derogatory remarks. The defendant in
Wilmington moved the plaintiff's work
station closer to the foreman's office to
keep a close watch on him, id. ; in this
case, defendant's president stared at
plaintiff for several minutes several
times a week.
17
THE DECISION BELOW IS INCONSISTENT WITH
DECISIONS OF THIS COURT, INCLUDING
GOODMAN V. LUKENS STEEL CO. AND SHAARE
TEFILA CONGREGATION V. C O B B _______
Since the decision of the court
below this Court has indicated that
liability under both §§ 1981 and 1982,
parallel provisions of the Civil Rights
Act of 1866, can be based on harassment
based on race. In Goodman v. Lukens
Steel Co. . _____ U.S. ____, 55 U.S.L.Week
4881 (1987) the Court affirmed findings
that § 1981 had been violated by, inter
alia. toleration by both an employer and
a union of racial harassment of black
employees. 55 U.S.L. Week at 4883. In
Shaare Tefila Congregation v. Cobb. 481
II.
U.S. , 95 L.Ed.2d 594 (1987) , the
Court reversed the Fourth Circuit and
held that claims by Jews that they had
been subject to harassment and vandalism
because of their ancestry stated a cause
18
of action under § 1982. Plaintiff urges
that these decisions directly support
their contention that discrimination in
the terms and conditions of employment is
prohibited by § 1981.
The conclusion that § 1981 prohibits
racial harassment in employment is
consistent with the language and purpose
of the statute. Section 1981 guarantees
to blacks "the same right . . . to make
and enforce contracts . . as is enjoyed
by white citizens," (emphasis added). A
contract is a combination of many "terms
and conditions." For example, a contract
to sell goods generally specifies the
nature and guantity of the goods, the
price, the method of payment, the method
of delivery and possibly other "terms and
conditions." A contract for employment
either explicitly or implicitly covers at
least the nature of the job, the salary,
the working hours, work rules, and
19
penalties for violations thereof, and the
location of the job. As this Court noted
in Hishon v. King & Spaulding. 467 U.S.
69, 74 (1984):
Because the underlying employment
relationship is contractual, it
follows that the "terms, conditions,
or privileges of employment" clearly
include benefits that are part of an
employment contract.
Despite these considerations, the
court below concluded that the only
element of the right to contract
protected by § 1981 is the right to
obtain employment under an unequal set of
conditions. Under the reasoning of the
court below, an employer that offered to
employ black individuals at a lower
salary than white individuals would not
violate § 1981, since black individuals
would not be totally deprived of the
right to contract for a job. This
analysis ignores § 1981's protection of
an equal right to contract.
The lower court's opinion does not
20
distinguish, and there is no basis for a
distinction, between explicit and
implicit conditions of a contract. Under
the court's decision, an employer could
say to black applicants: "I will hire
you if you agree that I may constantly
abuse you, give you the worse job
assignments and subject you to racially
derogatory remarks." Such a condition,
were it known at the outset of the
contractual relationship, would surely
discourage black individuals from
entering into an employment contract and
thus deprive them of an equal right to
make such contracts. The fact that these
terms and conditions of employment are
not stated at the outset and are not put
into a written document does not lead to
a different result. The employer's
actions establish that these are implicit
conditions of the contract which are
different for black employees than for
21
white employees, thus depriving black
employees of an equal right to make an
acceptable employment contract.
Section 1981's prohibition of
discrimination in all of the terms and
conditions of the employment contract was
made clear by this Court in Johnson v.
Railway Express Aaencv. 421 U.S. 454
(1975). The Court in Johnson found that
one of the purposes of § 1981 is to
"affor[d] a federal remedy against
discrimination in private employment on
the basis of race." Id. at 459-60. The
Court did not distinguish between hiring,
firing and promotion and other terms and
c o n d i t i o n s of the e m p l o y m e n t
relationship. In fact, the plaintiff's
claim in Johnson v. Railway Express
Agency, was not about hiring, firing or
promotion, but rather discrimination in
other terms and conditions of his
employment — seniority rules and job
22
assignments. Id. at 455.
The legislative history of § 1981
also supports coverage of terms and
conditions of the employment contract,
including work environment and racial
harassment. Section 1981 was first
enacted as part of § 1 of the Civil
Rights Act of 1866. The legislative
history and purpose of § 1 was analyzed
in detail by this Court in Jones v.
Alfred H, Maver Co. . 392 U.S. 409
(1968).15 The Court in Jones v. Maver
repeatedly emphasized that the 1866 Act
was "cast in sweeping terms" in order "to
prohibit all racially motivated
deprivations of the rights enumerated in
15The provision of the 1866 Act at
issue in Jones v. Alfred H. Maver Co. has
been codified as 42 U.S.C. § 1982. In
language parallel to that of § 1981,
§ 1982 guarantees "the same right . . .
as is enjoyed by white citizens . . . to
inherit, purchase, lease, sell, hold, and
convey real and personal property." See 392 U.S. at 441, n. 78.
23
the statute." Id. at 422, 426.16 This
Court relied on legislative history that
Congress "believed that it was approving
a comprehensive statute forbidding all
racial discrimination affecting the basic
civil rights enumerated in the Act." Id.
at 435 (emphasis added). See also id. at
436.
In addressing the meaning of § 1982,
the parallel provision to § 1981 that
guarantees equal rights to sell and lease
property, the Court held that the 1866
Act conferred "'the right . . . to
purchase . . . real estate . . . without
any qualification and without any
restriction whatever . . . . '" Id. at
43 5 (emphasis added) (quoting Cong.
Globe, 39th Cong., 1st Sess. at 1781
(Senator Cowan)). Thus, the Court ruled
that § 1982 prohibited all racial
16See also 392 U.S. at 431 ("sweeping
and e f f i c i e n t " ) ; i d . at 4 3 3
("sweeping . . . effect").
24
discrimination in the sale and rental of
property. Id. at 436-437 •
The Court also stressed that the
1866 Act was intended to give "real
content" and "practical" meaning to the
guarantees of the Thirteenth Amendment.
Id. at 427, 431 (quoting Cong. Globe,
39th Cong., 1st Sess. 474 (Senator
Trumbull))17 Thus, the Act was intended
to eliminate the "'private outrage and
atrocity'" that were "'daily inflicted on
freedmen.'" Id. at 427.
The panel decision's restrictive
construction of § 1981 is inconsistent
with this legislative history. Congress'
desire to prohibit "all racial
discrimination affecting" the ability to
make and enforce contracts clearly
encompasses racial harassment which
interferes with enjoyment of the benefits
of the contract. Congress' desire to
17See also 392 U.S. at 434.
25
provide "practical" freedom of contract
and to prevent oppression of black
citizens would be rendered meaningless if
an employer could, through harassment,
deprive black employees of a work
experience equal to that of white
employees.
In light of these considerations it
would be appropriate to vacate the
decision of the Fourth Circuit and to
remand for further consideration in light
of this Court's recent decisions in
Goodman v. Lukens Steel Co. and Shaare
Tefila Congregation v. Cobb.
III.
THE DECISION BELOW RELATING TO BURDEN OF
PROOF CONFLICTS WITH DECISIONS OF THIS
COURT AND OTHER CIRCUITS.
A. The Decision Below Conflicts With
Texas Dept. of Corrections v.
Burdine.
As described above, the district
court, over plaintiff's objection,
instructed the jury that in order for the
26
plaintiff to prevail on her dis
crimination in promotion claim she must
prove that she was better qualified for
the position than was the white employee
who received it. Indeed, the district
court further instructed the jury that
plaintiff must prove both that she was
more qualified and that the employer's
intentional discrimination against her
because of her race was "the real reason"
that she was not promoted.
These instructions, and the line of
cases in the Fourth Circuit upon which
they were based,18 are in conflict with
the holdings of this Court and with other
circuits. The Fourth Circuit's rule
squarely conflicts with this Court's
decision in Texas Dept. of Community
Affairs v. Burdine. 450 U.S. 248, 259
18Younq v. Lehman 748 F.2d 194 (4th
Cir. 1984); Anderson v. City of Bessemer
City. 717 F.2d 149 (4th Cir. 1983), rev'd
on other grounds. 470 U.S. 564 (1985).
27
(1981) . There, it was held that an
"employer has discretion to chose among
equally qualified candidates "provided
that the decision is not based upon
unlawful criteria." (Emphasis added.)
Admittedly, the mere fact that an
employer has chosen a white when there
were two equally qualified candidates
does not by itself establish dis
crimination. However, Burdine makes it
clear that discrimination can be
established absent proof that the Black
was better qualified.
To give an example, assume that the
selecting official testified that the
white and black candidates were equally
qualified and therefore he picked the
white person because he thought a white
would fit in better with an all-white
work force. Such testimony would
establish beyond question a violation of
§ 1981. Nevertheless, under the district
28
court's instruction, the jury here would
have been required to find for the
employer.
The import of the instruction is to
focus the jurors' inquiry entirely on the
question of relative qualifications to
the exclusion of other evidence from
which a finding of discrimination could
be inferred. Petitioner introduced
substantial evidence that she had been
subjected to racially derogatory remarks,
had been discriminatorily denied
training, and had been harassed because
of her race. This evidence would amply
support an inference that petitioner had
been discriminated against and was denied
the promotion irrespective of her
qualifications or those of her white co
worker. However, once the jurors had
decided that petitioner had not
demonstrated superior qualifications, the
court's instructions would necessarily
29
lead them to ignore the other evidence
that petitioner had been subjected to
disparate treatment.
B. The Decision Below Is In Conflict
With Decisions Of Other Circuits.
In explaining the instruction given
to the jury the district court stated:
"The law in the Fourth Circuit seems to
be that in order to make out a prima
facie case you must show that you are
better qualified than the person who
received the promotion.1,19 The court of
appeals upheld this instruction on the
ground that where the reason given in
rebuttal to justify an action by the
employer was the relative qualifications
of the blacks and white applicants, then
the plaintiff has the burden of proving
that her qualifications are superior.
Both holdings are in conflict with
decisions of other circuits. First.
19See n. 2, supra.
30
there is substantial agreement among the
other courts of appeals that a plaintiff
need only establish that she was
qualified for the position in order to
make out a prima facie case, and not that
she had superior qualifications. In
Mitchell v. Baldriqe. 759 F.2d 80 (D.C.
Cir. 1985), the court vacated the
dismissal of the plaintiff's case when a
district court required that the
plaintiff demonstrate that she was at
least as qualified as the person chosen.
The Seventh, Eighth, and Ninth Circuits
have similarly held that an employee need
only show that he or she was qualified
for the position at issue in order to
establish a prima facie case. See.
Christensen v. Equitable Life Assurance
Soc. . 767 F. 2d 340, 342-343 (7th Cir.
1985) ; Hawkins v. Anheuser-Busch. Inc. .
697 F. 2d 810 (8th Cir. 1983) ; Foster v.
Areata Associates. Inc.. 772 F.2d 1453,
31
1460 (9th Cir. 1985). See also Grano v.
Department of Development of the City of
Columbus. 637 F.2d 1073, 1079 (6th Cir.
1980).
Second, although in the present case
the trial went beyond the stage of
proving a prima facie case (see, United
States Postal Service Board of Governors
v. Aikens. 460 U.S. 711 (1983)), the
approval by the Fourth Circuit of the
instruction is in conflict with the law
of two other circuits. Thus, in Hawkins
v. Anheuser-Busch. Inc.. 697 F.2d at 813-
15, the Eighth Circuit held that although
the defendant had rebutted the prima
facie case by articulating the selectees'
superior qualifications, the explanation
was shown to be a pretext because the
plaintiff proved that she was at least as
qualified for the position. Thus, under
Hawkins. in the appropriate circumstances
a showing of equal qualifications would
32
be sufficient to prove the Title VII
claim because it would demonstrate the
pretextual nature of the proffered
explanation.
Similarly, in Joshi v. Florida State
University Health Center. 763 F.2d 1227,
1235 (11th Cir. 1985), the Eleventh
Circuit held that the relative
qualifications of the persons hired could
not be the reason for the defendant's
failure to hire the plaintiff since she
was not actively considered for the
position. Here also there was ample
evidence from which a properly instructed
jury could have found that plaintiff had
never been seriously considered for the
promotion and had been prevented from
being so because of a discriminatory
denial of training. Such a conclusion
was foreclosed by the district court's
instruction that the plaintiff could not
win unless she proved that she was more
33
qualified than the selectee.
In summary, the district court's
instruction that proof of superior
qualifications was an absolute
requirement for the plaintiff's case
conflicts with the law in five other
circuits. The issue of the question of
relative qualifications is a recurring
one in the lower courts. See United
States Postal Service v. Aikens. 460 U.S.
at 713. Given both the conflict in
circuits and the recurrence and
importance of the issue, certiorari
should be granted to resolve it in the
present case.
34
CONCLUSION
For the foregoing reasons certiorari
should be granted and the decision of the
court below reversed.
JULIUS LeVONNE CHAMBERS
PENDA D. HAIR
CHARLES STEPHEN RALSTON*
GAIL J. WRIGHT
99 Hudson Street
New York, N.Y. 10013
(212) 219-1900
HAROLD L. KENNEDY, III
HARVEY L. KENNEDY
Kennedy, Kennedy,
Kennedy and Kennedy
710 First Union Building
Winston-Salem, NC 27101
(919) 724-9207
Attorneys for Petitioners
♦Counsel of Record
A P P E N D I X
la
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
NO. 85-2394
Brenda Patterson,
Appellant,
versus
McLean Credit Union,
Appellee.
Appeal from the United States District
Court for the Middle District of North
Carolina, at Winston-Salem. Hiram H.
Ward, Chief District Judge. (84-0073)
Argued October 9, 1986. Decided November
25, 1986
Before WIDENER and PHILLIPS, Circuit
Judges, and HAYNSWORTH, Senior Circuit
Judge.
2a
Harold L. Kennedy, III; Harvey L. Kennedy
(Kennedy, Kennedy, Kennedy and Kennedy on
brief) for Appellant; H. Lee Davis, Jr.
(George E. Doughton, Jr.; Hutchins
Tyndall, Doughton and Moore on brief for
Appellee.
PHILLIPS, Circuit Judge:
In this action the plaintiff, Brenda
Patterson, sued her employer, McLean
Credit Union (McLean), on claims, under
42 U.S.C. § 1981, of racial harassment,
and failure to promote and discharge,
together with a pendent state claim for
intentional infliction of mental and
emotional distress.* The district court
submitted the § 1981 discharge and pro
motion claims to the jury which returned
a verdict in favor of McLean, and granted
* Presumably for statute of limitations
reasons, Patterson did not assert a claim
under Title VII of the Civil Rights Act
of 1964, 42 U.S.C. § 2000(e), et seq.
3a
directed verdicts to McLean on the § 1981
racial harassment claim and on the pen
dent state claim for intentional inflic
tion of mental and emotional distress.
We hold that the claim for racial harass
ment was not cognizable under 1981; that
the evidence was insufficient to support
the pendent state claim; and that the
court did not err in its jury instruc
tions nor in its evidentiary rulings on
the submitted claims under 1981. We
therefore affirm.
I.
Brenda Patterson, a black woman, was
an employee of McLean Credit Union from
May 5, 1972 to July 19, 1982, when she
was laid off. Robert Stevenson, McLean's
president, hired Patterson to be a teller
and file coordinator. According to Pat
terson's testimony, when he hired her,
4a
Stevenson told Patterson that the other
women in the office, who were white,
probably would not like her because she
was black. During her ten years of em
ployment with McLean, Patterson expe
rienced treatment that she considered to
be racially motivated harassment by
Stevenson. She testified that he
periodically stared at her for several
minutes at a time; that he gave her too
many tasks, causing her to complain that
she was under too much pressure; that
among the tasks given her were sweeping
and dusting, jobs not given to white
employees. On one occasion, she testi
fied, Stevenson told Patterson that
blacks are known to work slower than
whites. According to Patterson,
Stevenson also criticized her in staff
meetings while not similarly criticizing
5a
white employees.
Patterson never was promoted from
her position as teller and file coor
dinator throughout her tenure at McLean.
Susan Williamson, a white employee who
was hired by McLean in 1974 as an ac
counting clerk, received a title change
from "Account Junior" to "Account Inter
mediate" in 1982. This title change
entailed no change of responsibility.
Patterson asserted that Williamson's
title change was a promotion that Patter
son herself should have received, based
primarily on her seniority over William
son. Patterson also claimed that her
1982 layoff was discriminatory because
white employees with less experience kept
their jobs.
Patterson based her § 1981 claims
and her state claim of intentional
6a
infliction of mental and emotional
distress on the evidence above summar
ized. The district court held that a
claim for racial harassment is not cog
nizable under § 1981, and refused to
submit that claim to the jury. Examining
North Carolina case law applicable to
Patterson's pendent state claim, the
district court concluded that Stevenson's
treatment of Patterson did not rise to
the level of outrageousness reguired
under state law for recovery for inten
tional infliction of emotional distress
and directed a verdict against Patterson
on that claim. The court submitted the
1981 claims for discriminatory failure to
promote and discharge to the jury, which
returned a verdict for McLean. This
appeal followed.
7a
Patterson first challenges the
court's refusal to submit her related
claims for racial harassment and inten
tional infliction of mental and emotional
distress to the jury.
A.
We hold, in agreement with the dis
trict court, that Patterson's claim for
racial harassment is not cognizable under
§ 1981, which provides in relevant part
that "[a]11 persons within the jurisdic
tion of the United States shall have the
same right . . . to make and enforce con
tracts ... as is enjoyed by white citi
zens." That racial harassment claims are
cognizable under Title VII of the Civil
Rights Act of 1964, 42 U.S.C. § 2000(e),
does not persuade us otherwise. The
broader language of Title VII, which
II.
8a
makes unlawful "discriminat[ion] against
any individual with respect to his com
pensation, terms, conditions f or privi
leges of employment because of such
individual's race," 42 U.S.C. § 2000
(e)(2)(a) (emphasis added), stands in
critical contrast to § 1981's more narrow
prohibition of discrimination in the
making and enforcing of contracts. cf.
United— States v. Buffalo, 457 F. Supp.
612, 631 (W.D.N.Y. 1 9 7 8 ) (the
intentionally broad provisions of Title
V I I accommodate claims based on having to
work in a racially discriminatory
environment), modified on other grounds.
633 F.2d 643 (2d Cir. 1980). Claims of
racially discriminatory hiring, firing,
and promotion go to the very existence
and nature of the employment contract and
thus fall easily within § 1981's protec
9a
tion. Instances of racial harassment, on
the other hand, may implicate the terms
and conditions of employment under Title
VII, see e.q. . EEOC v. Murphy Motor
Freight, 488 F. Supp. 381, 384-86 (D.
Minn. 1980), and of course may be proba
tive of the discriminatory intent re
quired to be shown in a § 1981 action,
see e.g., Carter v. Duncan-Huggins, Ltd..
727 F. 2d 1225, 1233 (D.C. Cir. 1984),
but, standing alone, racial harassment
does not abridge the "right to make" and
"enforce" contracts - including personal
service contracts - conferred by § 1981.
The cases relied on by Patterson are
not to the contrary. None directly holds
that racial harassment gives rise to a
discrete claim under § 1981, as distin
guished from recognizing that racial
harassment may be relevant as evidence of
- ioa
discriminatory intent supporting a cog
nizable claim of employment discrimina
tion under § 1981 and that it may give
rise to a discrete Title VII claim. See
Murohv Motor Freight. 488 F. Supp. at
384 (Title VII claim for racial harass
ment) ; Buffalo. 457 F. Supp. at 632-35,
636-37 (discriminatory work environment
claim under Title VII; 1981 claims of
discriminatory assignment and termina
tion) . But cf. Goodman v Lukens Steel
Co. . 580 F. Supp. 1114, 1164 (E.D. Pa.
1984)(very generally citing § 1981, along
with Title VII, as a basis for a claim of
racial harassment) Croker v. Boeing Co. .
437 F. Supp. 1138, 1191-92, 1193-94,
1195, 1198 (E.D. Pa. 1977)(discussing
racial harassment claim only under Title
VII, but indicating liability based upon
both Title VII and § 1981 in order) ,
12a
of McLean's conduct did not rise to the
level of outrageousness and extremity-
required by the North Carolina courts to
allow recovery under this cause of
action. We agree with this assessment.
The standard of "outrageousness" estab
lished in the relatively few state court
decisions is understandably a stringent
one. Recovery under that standard has
been permitted only for conduct far more
egregious than any charged to McLean in
Patterson's evidence.
For example, in Woodruff v. Miller.
307 S . Ed. 2d 187, 178 (N.C. App. 1983),
recovery was permitted where a defendant
had employed what the court characterized
as "truculent, vindictive methods"
inspired by a "consuming animus against
plaintiff" to circulate a thirty year old
record of plaintiff's" nolo contendere
11a
modified on other grounds. 662 F.2d 975
(3d Cir. 1981) .
We therefore affirm the district
court's grant of directed verdict in
Patterson's claim of racial harassment
under § 1981.
B.
We also agree with the district
court that Patterson's evidence was not
sufficient to support submission of her
pendent state claim of intentional in
fliction of mental and emotional dis
tress. The essential elements of such a
claim under North Carolina law are (1)
extreme, outrageous conduct, (2) intended
to cause and causing (3) severe emotional
distress. E.g.. Dickens v. Purvear. 276
S .Ed. 2d 325, 335 (N.C. 1981). The dis
trict court ruled that given its most
favorable reading, Patterson's evidence
13a
plea to a criminal charge, had compared
plaintiff to dangerous fugitives, and had
taken open delight in plaintiff's
resulting mental disturbance.
In Dickens, recovery was permitted
against a defendant who had assaulted
plaintiff and threatened to kill him
unless he left the state.
Of particular relevance is Hogan v.
Forsyth Country Club Co.. 340 S.E.2d 116
(N.C. App. 1986), in which one of three
female plaintiffs recovered for inten
tional infliction of emotional distress
when a fellow employee of her employer-
defendant screamed and shouted at her,
engaged in non-consensual and intimate
sexual touching, made sexual remarks, and
threatened her with a knife. Signifi
cantly, the two other plaintiffs were
denied recovery though the same fellow
14a
employee had screamed, shouted, and
thrown a menu at one of them and had
given strenuous work to and denied the
request of another, who was pregnant, to
leave work when she thought she was in
labor.
Evaluated in light of the stringent
standard established by these decisions,
the conduct of McLean through its presi
dent, Stevenson, was not "extreme and
outrageous." That Stevenson stared at
Patterson often, gave her too much work,
required her to sweep and dust, and com
mented that blacks are slower than whites
are facts that, though patently unworthy
if true, fall far short of those in any
North Carolina decision finding "extreme
and outrageous" conduct under this state
tort cause of action.
15a
We therefore affirm the district
courts grant of directed verdict on this
claim.
III.
Patterson next challenges the ex
clusion of proffered testimony by two
witnesses in support of her submitted
claims of employment discrimination under
§ 1981 and a jury instruction respecting
claimant's burden of proof on her promo
tion claim.
Marie Roseboro was tendered as an
expert in personnel administration and
would have given an opinion that Patter
son was better qualified than Susan
Williamson for the "promotion" given the
latter. The district court refused to
admit this proffered testimony on the
basis that it did not meet the require
ment of Fed. R. Evid. 702 that expert
16a
testimony be helpful to the trier of
fact.
The court also excluded the lay
testimony of another black women formerly
employed by McLean, Anita Reid Stovall,
to the effect that she had experienced
harassment by Stevenson during her em
ployment in 1972. The court ruled this
testimony inadmissible under Fed. R.
Evid. 403, finding its probative value on
the issue of discriminatory intent out
weighed by its remoteness in time and its
potential to confuse and mislead the
jury.
There was no abuse of discretion in
the trial court's decision to exclude the
testimony of these two tendered wit
nesses. Because of the remoteness in
time of the events to which Stovall would
have testified, the probative value of
17a
that evidence would have been slight and
the court could properly conclude that
its slight value was outweighed by the
likelihood of confusion it might create
on the issue on which it was tendered.
See Fed. R. Evid. 403.
The district court also could prop
erly conclude that Roseboro's proffered
testimony regarding the relative qualifi
cations of Patterson and other McLean
employees would not be helpful to the
jury so as to justify its admission as
expert opinion under Red. R. Evid. 702.
The trial court's conclusion that the
jury needed no aid in making a finding on
the relative qualifications of clerical
employees at a credit union, a comparison
that is not a highly technical or compli
cated one, was not an abuse of its dis
cretion.
18a
Finally, Patterson complains that
the trial court erroneously instructed
the jury that in order for her to prevail
on her promotion discrimination claim,
she had to show that she was more quali
fied than Susan Williamson. There was no
error in the instruction given.
An employee claiming race discrimi
nation in employment decision sunder §
1981 must prove intentional discrimina
tion. Such a claim is therefore compara
ble to the individual disparate treatment
claim under Title VII. The disparate
treatment proof scheme developed for
Title VII actions in McDonnell Douglas
Coro, v. Green. 411 U.S. 792 (1973) and
its progeny, may properly be transposed,
as here, to the jury trial of a § 1981
IV
claim. See Carter. 727 F.2d at 1232.
19a
Under that scheme, once an employer had
advanced superior qualification as a
legitimate nondiscriminatory reason for
favoring another employee over the
claimant, the burden of persuasion is
upon the claimant to satisfy the trier of
fact that the employer's proffered reason
is pretextual, that race discrimination
is the real reason.
That was the situation here, and the
district court therefore properly in
structed the jury that the burden was
upon the claimant to prove her superior
qualifications by way of proving race
discrimination as the effective cause of
the denial to her of "promotion." See
Young v. Lehman. 748 F.2d 194, 197-98
(4th Cir. 1984) ; see also Loeb v. Text
ron. Inc.. 600 F.2d 1003, 1010, 1016 (1st
Cir. 1979)(effect on jury instructions of
20a
transposing McDonnell Douglas proof
scheme to jury trial of ADEA claim) .
This simply reflects the principle
established in Title VII cases that an
employer may, without illegally discrimi
nating, choose among equally qualified
employees notwithstanding some may be
members of a protected minority. See
Anderson v. City of Bessemer Citv. 717
F. 2d 149, 154 (4th Cir. 1983), rev'd on
other grounds. 470 U.S. 564 (1985).
The court's instructions here were
therefore proper.
AFFIRMED
21a
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
No. 85-2394
BRENDA PATTERSON,
Plaintiff-Appellant,
versus
MCLEAN CREDIT UNION,
Defendant-Appellee.
O R D E R
There having been no request for a
poll of the court on the petition for
rehearing en banc, it is accordingly
ADJUDGED and ORDERED that the petition
for rehearing en banc shall be, and it
hereby is, denied.
The panel has considered the
22a
petition for rehearing and the response
thereto and is of opinion the petition is
without merit.
It is accordingly ADJUDGED and
ORDERED that the petition for rehearing
shall be, and it hereby is, denied.
With the concurrences of Judge
Phillips and Judge Haynsworth.
/s/ H. E. Widener, Jr.
For the Court
Filed: March 19, 1987.
23a
ORAL RULING OF DISTRICT COURT
IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF NORTH CAROLINA
WINSTON-SALEM DIVISION
BRENDA PATTERSON, ) CIVIL ACTION NO.
Plaintiff ) C-84-73-WS
)vs. )
)MCLEAN CREDIT UNION, )
Defendant )
.......................)
TRANSCRIPT OF TRIAL
BEFORE THE HONORABLE HIRAM H. WARD, and a
jury
Vol. 3 of 5
* * *
MR. KENNEDY: Your Honor, I'd like
to address, if I could, that one claim
that — it was assumed in the other two
claims — but really, under the law,
racial harassment or failure to have a
working environment free of racial
prejudice is a separate thing.
24a
THE COURT: Yes, I understand
that, and this is a 1981 case — and if
the jury finds a history of racial
harassment which culminated in failure to
promote and discharge of the plaintiff,
they can take that into consideration.
But it is not a separate claim under
Title — under Section 1981, in my
opinion, in the context of this case.
MR. KENNEDY: We cited some cases
similar to the case at bar here in our
brief —
THE COURT: Yes, sir, they are all
Title VII cases, aren't they?
MR. KENNEDY: But, Your Honor, that,
to me, when I look at —
THE COURT: Well, it isn't to me,
and I've already ruled on it, so that's
the way its going to go. I'm going to
let the promotional claim go to the jury,
25a
and I'm going to let the layoff and
subsequent termination claim go to the
jury, and I'm dismissing the rest of the
claims.
(Pages 3-75-3-76.)
26a
IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF NORTH CAROLINA
WINSTON-SALEM DIVISION
BRENDA PATTERSON,
Plaintiff
v.
MCLEAN CREDIT UNION,
Defendant
C—84-73—WS
J U D G M E N T
This case came on for trial before
the Court and a jury on November 12-18,
/■1985, and the issues having been duly
tried and answered by the jury as
follows:
1. Did defendant unlawfully
discriminate against plaintiff because of
her race, in violation of 42 U.S.C. §
1981:
27a
a. by denying plaintiff a
promotion received by
Susan Howard Williamson?
Answer: ________No___________
(Yes or No)
b. by laying off plaintiff on
July 19, 1982 and subse
quently discharging plain
tiff?
Answer: _______ No______________
(Yes or No)
2. If defendant did unlawfully
discriminate against plaintiff, what
amount of compensatory damages, if any,
is plaintiff entitled to recover:
a. for defendant's denying
plaintiff a promotion
received by Susan Howard
Williamson?
Answer: ______________________(Amount)
b. for defendant's laying off
28a
plaintiff on July 19, 1982
and subsequently dischar
ging plaintiff?
Answer: _______________________
(Amount)
3. If plaintiff was discriminated
against in her employment because of her
race, and the defendant's actions in so
doing were malicious, wanton, or oppres
sive, what amount of punitive damages, if
any, is plaintiff entitled to recover
from defendant?
Answer: _______________________(Amount)
IT IS, THEREFORE, ORDERED, ADJUDGED
AND DECREED that the plaintiff have and
recover nothing on her claims against the
defendant and that this action be, and
the same hereby is, DISMISSED.
s/------------------------------United States District Judge
November 20, 1985.
Hamilton Graphics/ Inc.— 200 Hudson Street/ New York/ N.Y.— (212) 966-4177