St. Mary's Honor Center v Hicks Brief Amici Curiae
Public Court Documents
October 1, 1992
18 pages
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Brief Collection, LDF Court Filings. St. Mary's Honor Center v Hicks Brief Amici Curiae, 1992. ab66e27f-c39a-ee11-be37-00224827e97b. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/cebb323d-68c0-4548-86b7-df887c84862b/st-marys-honor-center-v-hicks-brief-amici-curiae. Accessed November 23, 2025.
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3fn flje Supreme Court of tfje tliiiteb States
October Term, 1992
St. Mary’s H onor Center , et al., petitioners
v.
Melvin H icks
ON WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE EIGHTH CIRCUIT
BRIEF FOR THE UNITED STATES AND THE
EQUAL EMPLOYMENT OPPORTUNITY
COMMISSION AS AMICI CURIAE
Donald R. Livingston
General Counsel
Gwendolyn Young Reams
Associate General Counsel
Vincent J. Blackwood
Assistant General Counsel
Karen M. Moran
Attorney
Equal Employment Oppor
tunity Commission
Washington, D.C. 20507
William C. Bryson
Acting Solicitor General
James P. Turner
Acting Assistant Attorney
General
Edwin S. Kneedler
Assistant to the Solicitor
General
Edward C. DuMont
Assistant to the Solicitor
General
David K. Flynn
Rebecca K. Troth
Attorneys
Washington, D.C. 20530
(202) 514-2217
QUESTION PRESENTED
Whether the plaintiff in an employment discrimination
case under Title VII of the Civil Rights Act of l!)f>4 or
42 U.S.C. 1083 is entitled to judgment as a matter of law
once he has (i) established a prima facie case and (ii)
proved that all permissible grounds advanced by the
defendant in support of its actions are unworthy of
credence.
(I)
TABLE OF CONTENTS
Page
Interest of the United States and the Equal Employment
Opportunity Commission................................................... 1
Statement ................................................................................ 2
Summary of argum ent......................................................... 9
Argument:
Respondent was entitled to judgment as a matter of law
on the basis of his prima facie case and proof that all
nondiscriminatory reasons proffered by petitioners to
justify their actions were unworthy of credence ........... 12
A. Requiring respondent to do more than discredit all
nondiscriminatory explanations proffered by peti
tioners would be inconsistent with the order of proof
established by McDonnell Douglas and subsequent
cases............................................................................ 12
B. The McDonnell Douglas order of proof properly re
quires the employer to frame the factual issues for
decision by identifying the nondiscriminatory ex
planations that the plaintiff must refute ................... 18
C. There is no evidence on the record in this case of a
nondiscriminatory motive that was not articulated
by petitioners ........................................................ 25
Conclusion............................................................................... 29
TABLE OF AUTHORITIES
Cases:
Benzies v. Illinois Dcp't of Mental Health & Develop
mental Disabilities, 810 F.2d 140 (7th Cir.), cert.
denied, 483 U.S. 1000 (1987) .......................................... 19
Bienkowski v. American Airlines, Inc., 851 F.2d 1503
(5th Cir. 1988) .................................................................. 19
Brooks v. Monroe Systems for Business, Inc., 873 F.2d
202 (8th Cir.), cert, denied, 493 U.S. 853 (1989)........... 17
Burger v. McGilley Memorial Chapels, Inc., 856 F.2d
1040 (8th Cir. 1988)....................................................... 20
(H I)
IV
Cases—Continued: Page
Chipollini v. Spencer Gifts, Inc., 814 F.2d 893 (3d Cir.),
cert, dismissed, 483 U.S. 1052 (1987).......................... 19
Clark v. Huntsville City Bd. of Educ., 717 F.2d 525
(11th Cir. 1983).............................................................. J9
EEOC v. Flasher Co., No. 91-G279 (10th Cir. Dec. 29,
1992) .................................................................................. 19, 21
Furnco Construction Corp. v. Waters, 438 U.S. 567
(1978> ............................................................................. 17,20,25
Galbraith v. Northern Telecom, Inc., 944 F.2d 275 (6th
Cir. 1991), cert, denied, 112 S. Ct. 1497 (1992) ............ 26
Goldman v. First National Bank, No. 92-1773 (1st Cir.
Feb. 18, 1993) ................................................................... 19
Halsell v. Kimberly-Clark Corp., 683 F.2d 285 (8th Cir.
1982), cert, denied, 459 U.S. 1205 (1983) .................... 2
Holder v. City of Raleigh, 867 F.2d 823 (4th Cir. 1989) . 19
Ibrahim v. New York State Dept of Health, 904 F.2d
161 (2d Cir. 1990).......................................................... 19
International Blid. of Teamsters v. United States, 431
U.S. 324 (1977) ................................................................. l3) 21
King v. Palmer, 778 F.2d 878 (D.C. Cir. 1985)............ 19
MacDissi v. Valmont Industries, Inc., 856 F.2d 1054
(8th Cir. 1988) .................................................................. 17
Maguire v. Marquette University, 814 F.2d 1213 (7th Cir.
19R7).................................................................................. 26
McDonnell Douglas Corp. v. Green, 411 U.S. 792 (1973) .. 2, 6, 9,
12-13
Miller v. WFLI Radio Inc., 687 F.2d 136 (6th Cir. 1982).. 19
Nix v. WLCY Radio/Raliall Communications, 738 F.2d
1181 (11th Cir. 1984) ........................................................ 24
Nix v. Whiteside, 475 U.S. 157 (1986)............................ 24
Patterson v. McLean Credit Union, 491 U.S. 164 (1989) . 4
Pollard v. Rea Magnet Wire Co., 824 F.2d 557 (7th Cir.),
cert, denied, 484 U.S. 977 (1987)............................. 23-24
Pullman-Standard v. Sivint, 456 U.S. 273 (1982)............. 16
Cases—Continued:
V
Page
23Shager v. Upjohn Co., 913 F.2d 398 (7th Cir. 1990).....
Sparks v. Pilot Freight Carriers, Inc., 830 F.2d 1554
(11th Cir. 1987)..............................................................
Texas Dep’t of Community Affairs v. Burdine, 450 U.S.
248 (1981) .................................... 13, 14, 15, 16, 17, 22, 23, 25,
Thornbrough v. Columbus & G. R.R., 760 F.2d 633 (5th
Cir. 1985).........................................................................
Tye v. Board of Education, 811 F.2d 315 (6th Cir.),
cert, denied, 484 U.S. 924 (1987)..............................
United States v. Rylander, 460 U.S. 752 (1983)............
United States Postal Service Bd. of Governors v. Aikens,
460 U.S. 711 (1983) .................................................. 2, 15, 16,
Visser v. Packer Engineering Assocs., 924 F.2d 655
(7th Cir. 1991) ..................................................................
Williams v. Florida, 399 U.S. 78 (1970)...................
Statutes:
Age Discrimination in Employment Act, 29 U.S.C. 621
et seq...................................................................................
Civil Rights Act of 1964, Tit. VII, 42 U.S.C. 2000e et
seq....................................................................................... 1
Civil Rights Act of 1991, Pub. L. No. 102-166, § 102, 105
Stat. 1073 ........................................................................
42 U.S.C. 1981 a(c)..........................................................
42 U.S.C. 1981 ....................................................................
42 U.S.C. 1983 .................................................................... 1
Miscellaneous:
Lanctot, The Defendant Lies and the Plaintiff Loses:
The Fallacy of the “Pretext-Plus ” Ride in Employ ment
Discrimination Cases, 43 Hast. L.J. 57 (1991) ........... 19-20,
19
29
19
19
24
25
26
24
1
,4
18
18
4
,4
24
3!u tlje Suprem e C ourt of tlje Qllmtrtj ^>tntrO
October Term, 1992
No. 92-602
St. Mary’s H onor Center , et al., petitioners
v.
Melvin H icks
ON WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE EIGHTH CIRCUIT
BRIEF FOR TIIE UNITED STATES AND THE
EQUAL EMPLOYMENT OPPORTUNITY
COMMISSION AS AMICI CURIAE
INTEREST OF THE UNITED STATES AND THE
EQUAL EMPLOYMENT OPPORTUNITY
COMMISSION
This case concerns the method by which a plaintiff
may prove intentional employment discrimination
under Title VII of the Civil Rights Act of 1904, 42
U.S.C. 2000e et s eq., and 42 U.S.C. 1983. The
Attorney General and the Equal Employment
Opportunity Commission (EEOC) share substantial
responsibility for the enforcement of Title VI1. The
EEOC also has primary responsibility for interpreta
tion and enforcement of the Age Discrimination in
Employment Act (ADEA), 29 U.S.C. 621 et seq., and
(1)
2
the courts have applied the same order and standards
of proof to claims of age discrimination under the
ADEA. See, e.g., Halsell v. Kimberly-Clark Corp.,
683 F.2d 285, 289 (8th Cir. 1982), cert, denied, 459 U.S.
1205 (1983). The resolution of this case will directly
affect the government’s discharge of these responsi
bilities. The EEOC participated as amicus curiae in
support of respondent in the court of appeals, and the
United States has previously participated in cases in
this Court involving similar issues, including
McDonnell Douglas Corp. v. Green, 411 U.S. 792
(1973), and United States Postal Service Bd. of
Governors v. Aikens, 460 U.S. 711 (1983), as well as in
numerous other cases under Title VII and the ADEA.
STATEMENT
1. Respondent Melvin Hicks began work in August
1978 as a correctional officer at petitioner St. Mary’s
Honor Center, a minimum security state prison in St.
Louis, Missouri. Pet. App. A2, A28. In February 1980
he was promoted to shift commander, a supervisory
position. Id. at A2. Prior to the events at issue in
this case, respondent had never been suspended,
“written up,” or otherwise subjected to any disci
plinary action. Id. at A3.
In January 1984 the superintendent of St. Mary’s,
Arthur Schulte, was demoted and transferred to
another institution in response to complaints about
management of the prison. Pet. App. A15. He was
replaced by petitioner Steven Long. Ibid. Both
Schulte and Long are white. Id. at A2, A15 n.l. At
the same time, the chief of custody and two shift
commanders, all of whom were black, were removed
3
and replaced by white employees.1 Id. at A15 & nn.l, 3.
John Powell became chief of custody and respondent’s
immediate supervisor. Id. at A2. Re-spondent and
another black shift commander were initially retained
as part of the new administration.
In March 1984, respondent was suspended for five
days after an incident in which other officers arriving
at St. Mary’s during respondent’s late-night shift
discovered that the front-door officer and another
guard were away from their posts, the “control
center” officer was required to leave his post momen
tarily to open the door, and the first floor lights were
turned off. None of the officers directly involved was
disciplined. Powell testified at trial that it was his
policy to discipline only the shift commander for
violations occurring during his shift.2 * Pet. App. A16-
A17.
Two weeks later, respondent properly authorized
use of a St. Mary’s vehicle by two officers. Those two
officers and the control center officer all failed to
enter the use of the vehicle in an official log, as
required by prison rules. The disciplinary review
board recommended that respondent be demoted from
shift commander to correctional officer for that
failure. Powell, who was a member of the review
hoard, voted to terminate respondent. Again, none of
1 The position of chief of custody was first offered to a black
employee, who declined the offer. Pet. App. A15 n.2.
2 Powell was responsible for initiating disciplinary proceed
ings. A four-person disciplinary review board would then
make a recommendation to the superintendent of St. Mary’s,
who would in turn make a recommendation to the director of
the state prison administration. See Pet. App. A17 n.6.
4
the other individuals involved was disciplined.
Shortly after this incident, but before his demotion,
respondent was reprimanded for failing to investigate
an inmate fight, although he had given Powell a
memorandum about the incident and ordered a
subordinate to submit a report. Pet. App. A17-A18 &
n.7.
When respondent was informed of his demotion, he
asked for and was given the rest of the day off. As
respondent was leaving the meeting, Powell followed
and ordered him to open his locker so that Powell
could retrieve respondent’s copy of the shift com
mander’s manual. Respondent refused, and indicated
in the ensuing confrontation that he would “step
outside” with Powell. Powell sought disciplinary
action against respondent based on the “threats”
made during this confrontation, and a disciplinary
board recommended that respondent be suspended for
three days. Superintendent Long instead recom
mended that respondent be fired, based on the
“severity and accumulation” of his violations. Re
spondent was fired on June 7, 1984. Pet. App. A18-A19.
2. Respondent then commenced this action,
alleging that petitioners had demoted and fired him
because of his race, in violation of Title VII of the
Civil Rights Act of 19G4, 42 U.S.C. 2000e et seq., and
42 U.S.C. 1983.3 Pet. App. A14. Petitioners defended
3 Respondent sued St. Mary’s under Title VII and Long
under 42 U.S.C. 1983. Because the issues and standards are not
materially different, we will refer only to Title VII. See Pet.
App. AC-A7 (and cases cited); cf. Patterson v. McLean Credit
Union, 491 U.S. 104, 180 (1989) (framework of proof developed
under Title VII applies to cases under 42 U.S.C. 1981)-
5
on the ground that “the severity and the accumula
tion of violations committed” by respondent supplied
legitimate, nondiscriminatory reasons for demoting
and firing him. Id. at A23; see Pet. Br. 8.
a. Respondent introduced evidence intended to
show that the reasons petitioners offered for their
actions were unworthy of credence. With respect to
the five-day suspension in March, respondent showed
that on two occasions that same month lie had
reported that no front-door officer was present when
he arrived at St. Mary’s during the shift commanded
by officer Sharon Hefele, who is white. The control
center officer stated that Officer Hefele had ordered
him to open and close the front door, which required
him to leave his assigned post. Despite the close
similarity between those incidents and the one for
which respondent was suspended, no one was ever
disciplined for those incidents. Pet. App. A19-A20,
A24-A25.
Similarly, respondent had reported on another
occasion that during Officer Hefele’s shift the doors
to the main power room and the annex building were
unlocked, in violation of regulations, yet the prison
administration took no action. A white officer who
took a set of prison keys home with him was never
disciplined. And a white officer who admitted that, as
an acting shift commander, he had actually allowed an
inmate to escape received only a letter of reprimand.4
Pet. App. A20, A2.r)-A2(5.
4 The district court noted that so far as appeared from the
record, that reprimand was the only discipline meted out to
any officer other than respondent during the period at issue in
this case. Pet. App. A27. Apparently, the only dispute among
6
The incident that resulted in respondent’s March
suspension was reported by a white officer, Ed Ratliff.
Pet. App. A16, A19 n.8. On the day of that incident,
Ratliff permitted an unescorted inmate to climb into
the prison superintendent’s office to retrieve some
work passes locked inside. When respondent brought
this incident, which the d istric t court term ed a
“striking and obvious breach of security,” to Powell’s
attention, Powell took no disciplinary action, but
commended Ratliff for “defusing a volatile situation.”
Id. at A19 & nn.9-10, A25. On another occasion,
Ratliff brought his brother, a deputy marshal, to St.
Mary’s, and directly countermanded respondent’s
instruction tha t the brother check his gun while
inside the prison. Although respondent reported the
incident, Powell refused to recommend discipline
against Ratliff. Id. at A19.
Finally, ten days before respondent’s confrontation
with Powell, respondent had reported to Powell that a
white subordinate had become indignant at receiving
a low service rating and had cursed respondent with
“highly profane language.” Pet. App. A20. Powell
concluded that the subordinate was “merely venting
justifiable frustration,” and took no action. Id. at
A20-A21 & n.14, A2G n.17.
b. After reviewing the evidence, the district court
first found that respondent had proved a prima facie
case of race discrimination under McDonnell Dong-
las Corp. v. Green, 411 U.S. 792 (1973), by showing
prison administrators with respect to the escape incident was
w hether the le tte r of reprimand should remain in the
responsible officer’s file permanently, or be removed after six
months. Id. at A25 n.16.
7
that he was a member of a protected class, that he had
the necessary job qualifications for the position of
shift commander, that he had a satisfactory record in
that position until the change of administration at St.
Mary’s, and that after he was demoted the position of
shift commander remained open and was then fdled by
a white employee. Pet. App. A22-A23. The district
court further found that petitioners had carried their
burden of production at the second stage of the
McDonnell Douglas framework by articulating non-
discrim inatory reasons for their actions—namely,
the severity and accumulation of violations committed
by petitioner. Id. at A23.
Finally, the district court found, at the third stage
of the McDonnell Douglas framework, that respon
dent had “carried his burden in proving that the
reasons given for his demotion and termination were
pretextual.” Pet. App. A26; see id. at A23-A2G. The
court observed tha t respondent was “mysteriously
the only person disciplined for violations actually
committed by his subordinates,” id. a t A23-A24,
noting th a t a white shift commander was never
disciplined for similar or more serious infractions
occurring on her shift. Id. a t A24-A25. Although
Superintendent Long had testified, “ra ther sheep
ishly,” that he considered the vehicle log incident “a
serious violation for which harsh discipline was
justified,” the court found tha t contention uncon
vincing in light of the fact that “much more serious
violations, when committed by [respondent’s] co
workers, were either disregarded or treated much
more leniently.” Id. at A25. Finally, the court found
tha t respondent had been “provoked” into the final
confrontation with Powell, and that “the evidence
8
suggests that Powell manufactured the confrontation
* * * in order to terminate plaintiff.” Id. at A2G.
Although respondent had proved that the only
reasons advanced by petitioners were pretextual, the
district court nevertheless entered judgment for
petitioner. Pet. App. A27-A30. The court was of the
view that even after demonstrating that petitioners’
reasons were not worthy of credence, respondent
“still fborel the ultimate burden to prove that race
was the determining factor in [petitioners’] decision,”
id. at A2G, and it concluded that respondent had not
proved that the actions taken against him were
‘racially rather than personally motivated,” id. at
A27.
The court pointed to no specific evidence in the
record that Powell, Long or other prison administra
tors harbored any personal animosity against re
spondent, independent of his race. It did note that no
action was taken against black subordinates who had
actually committed two of the violations for which
respondent was disciplined, and that there were black
members of the disciplinary review boards convened
to consider respondent’s violations. Id. at A27-A28.
The court also concluded that neither the general
pattern of personnel changes at St. Mary’s nor the
reduction in the number of blacks in supervisory
positions raised an inference of racial discrimination,
and that neither Long nor Powell had been aware,
prior to the 1984 personnel changes, of a 1981 study
that had concluded that “blacks possessed too much
power at St. Mary’s.”5 Id. at A27-A28.
5 The district court described the study as “a comprehen
sive comparison of [the honor centers in St. Louis and Kansas
9
3. The court of appeals reversed and ordered entry
of judgment for respondent. Pet. App. A1-A12. It
reasoned that the district court’s “unequivocal
factual finding” that petitioners’ asserted reasons for
their actions were pretextual, id. at A ll, left peti
tioners “in a position of having offered no legitimate
reason for their actions,” and “in no better position
than if they had remained silent” in the face of
respondent’s prima facie case, id. at A10. “Once
[respondent] proved all of [petitioners’] proffered
reasons for the adverse employment actions to be
pretextual,” the court held, “[respondent 1 was enti
tled to judgment as a matter of law,” without any need
for further evidence of discrimination. Id. at A10-A11.
Thus, the court concluded, it was improper for the
district court to have rejected respondent’s claim by
“assum[ing]—without evidence to support the
assumption—that [petitioners’] actions were some
how ‘personally motivated.’ ” Id. at A10.
SUMMARY OF ARGUMENT
Respondent alleged that he was demoted and
discharged by petitioners because of his race, and the
case proceeded under the familiar burden-shifting
framework prescribed by this Court in McDonnell
Douglas Corp. v. Green, 411 U.S. 792 (1973), and
City, | which discussed the shortfalls and suggested means of
improvement,. In a section toward the end of the study (the
author] pointed out that too many blacks were in positions of
power at St. Mary’s, and that the potential for subversion of
the superintendent’s power, if the staff became racially
polarized, was very real. No witness for the defendants
admitted he was aware of [this] study at the time of the 1984
personnel changes.” Pet. App. A21. See FX 1.
10
subsequent decisions. F irst, the plaintiff must
establish a prima facie case. That initial showing
creates a rebuttable but otherwise legally mandatory
presumption: if the employer remains silent in the
face of the prima facie case, the court must enter
judgment for the plaintiff. In order to avoid that
result, the employer is required to articulate some
clear and reasonably specific nondiscriminatory
reason for the challenged employment action. Fin
ally, the plaintiff bears the burden of proving that the
reason advanced by the employer was not its true
reason, but was merely a pretext for discrimination.
This Court has said that that burden “merges” with
the plaintiff’s ultimate burden of proving illegal
discrimination, which may be carried either directly
through proof of a discriminatory motive, or
indirectly by showing that the employer’s pi-offered
explanation is unworthy of credence.
In this case, there is no dispute that respondent
made out a prima facie case. Petitioners responded by
articulating a facially legitimate reason for demoting
and firing respondent: the “severity and accumula
tion” of his violations of prison rules. The district
court found that respondent then carried his final
burden of showing that petitioners’ proffered reason
for their actions was unworthy of belief. The court
nevertheless went on to hold that respondent was not
entitled to judgment because lie had not adduced some
further evidence that petitioners’ actions were mot
ivated by his race.
As the court of appeals held, that conclusion is
inconsistent with this Court’s prior decisions. The
question is not whether a plaintiff must prove
intentional discrimination, which is undisputed, but
11
how he may prove it. This Court has consistently
explained that a plaintiff may carry his ultimate
burden indirectly, by discrediting the employer’s
proffered explanation for its actions. Moreover, a
contrary holding would be inconsistent with the
premise that an employer that is unable or unwilling
to articulate a credible nondiscriminatory reason for
a challenged action is more likely than not concealing
a discriminatory reason. An employer that remained
silent in the face of the plaintiff’s prima facie case
would be held liable for discrimination; there is no
logical justification for putting an employer that
fabricates a nondiscriminatory explanation in any
better position.
Petitioners argue that even if a plaintiff discredits
all nondiscriminatory reasons actually advanced by
the employer, the employer should be entitled to
consideration by the trier of fact of the possibility
that there was some other, unarticulated motivation
for the employer’s action. Put the McDonnell Dong-
las framework of proof is designed to be a sensible and
efficient means of bringing litigants and the courts to
the ultimate question of discrimination. Because any
number of nondiscriminatory reasons might, have
accounted for a typical employment decision, it would
not be sensible or efficient to force the plaintiff to
attem pt to negate every possible such reason.
Instead, it is reasonable to require the employer,
which is of course in the best position to know its
true reasons for acting, to frame specific issues for
response by the plaintiff and decision by the court.
Finally, petitioners argue that judgment for the
plaintiff should not be compelled where legitimate
reasons for the employer’s actions, while not articu
12
lated by the employer itself, “emerge” from the plain
tiffs case or are “suggested” by the employer’s other
evidence. That argument has little to do with the
facts of this case. A fair reading of the district
court’s opinion reveals at most a wholly unsup
ported—and therefore clearly erroneous—“assump
tion” that respondent was actually fired because of
personal animosity (unrelated to race) on the part of
John Powell, his immediate supervisor. Even per
suasive evidence of Powell’s “personal” animosity
would hardly be conclusive, because final decisions af
fecting respondent’s employment were made not by
Powell, but by others in the prison administration. In
any event, however, petitioners can point to nothing
in the record to indicate that Powell’s obvious
hostility toward respondent was based on anything
other than respondent’s race.
ARGUMENT
RESPONDENT WAS ENTITLED TO JUDGMENT
AS A MATTER OF LAW ON TIIE BASIS OF HIS
I’RIMA FACIE CASE AND PROOF THAT ALL
NONDISCRIM IN ATORY REASONS PROFFERED
BY PETITIONERS TO JUSTIFY THEIR ACTIONS
WERE UNWORTHY OF CREDENCE
A. Requiring Respondent To I)o More Than
Discredit All Nondiscriniinatory Explanations
Proffered By Petitioners Would Be Inconsistent
With '1'lie Order Of Proof Established By
McDonnell Douglas And Subsequent Cases
Respondent alleged that he was demoted and
discharged by petitioners because of his race. In a
series of cases beginning with McDonnell Douglas
13
Corp. v. Green, 411 U.S. 792 (1973), this Court has set
forth the “allocation of burdens and order of
presentation of proof in a Title VII case alleging
discriminatory treatment.” Texas Dep't of Commu
nity Affairs v. Burdine, 450 U.S. 248, 252 (1981). The
applicable three-step procedural framework has
become familiar:
First, the plaintiff has the burden of proving by
the preponderance of the evidence a prima facie
case of discrimination. Second, if the plaintiff
succeeds in proving the prima facie case, the
burden shifts to the defendant “to articulate some
legitimate, nondiscriniinatory reason for the
employee’s rejection.” Third, should the defen
dant carry this burden, the plaintiff must then
have an opportunity to prove by a preponderance of
the evidence that the legitimate reasons offered
by the defendant were not its true reasons, but
were a pretext for discrimination.
Id. at 252-253 (quoting McDonnell Douglas, 411 U.S.
at 802).
There is no dispute that respondent proved a prima
facie case. See Pet. App. A8 & n.7. That threshhold
showing “eliminates the most common nondiscrimi-
natory reasons” for the challenged employment
action: the plaintiff’s lack of qualifications, or the
employer’s lack of an available position. See Burdine,
450 U.S. at 253-254 & n.G; International Bhd. of
Teamsters v. United States, 431 U.S. 324, 358 n.44
(1977). It therefore creates a “legally mandatory,”
although rebuttable, presumption: if the employer
remains silent in the face of the plaintiff’s initial
14
showing, then “the court must enter judgment for the
plaintiff.” Burdine, 450 U.S. at 254 & n.7.
Establishment of a prima facie case requires the
employer to “clearly set forth, through the intro
duction of admissible evidence, the reasons” for its
challenged actions. Burdine, 450 U.S. at 255. The
employer does not bear the burden of proving that it
was motivated by the legitimate reasons it identifies,
and therefore did not discriminate. The employer
need only articulate a nondiscriminatory explanation
for its actions, supported by sufficient evidence to
permit acceptance of that explanation by a rational
trier of fact. Id. at 255, 257. In this case, petitioners
articulated a facially legitimate reason for demoting
and firing respondent: the “severity and accu
mulation” of his violations of prison administration
rules. Pet. App. A8; Pet. Hr. 8.
Once the employer has articulated a nondiscrimina
tory explanation for its actions, the plaintiff is
accorded “the opportunity to demonstrate that the
proffered reason was not the true reason for the
employment decision.” Burdine, 450 U.S. at 250. The
burden of proof on that issue rests with the plaintiff,
and “merges with the ultimate burden of persuading
the court that she has been the victim of intentional
discrimination.” Ibid. This Court made clear in
Burdine that the plaintiff may carry that ultimate
burden “either directly by persuading the court that a
discriminatory reason more likely motivated the
employer or indirectly by showing that the em
ployer’s proffered explanation is unworthy of cre
dence.” Ibid.
The district court in this case found that respon
dent had carried his burden at the third stage of the
15
McDonnell Douglas framework “indirectly,” by dis
crediting the only nondiscriminatory explanation
proffered by petitioners for their actions. Pet. App.
A23-A26. The district court nevertheless went on to
hold that respondent was not entitled to judgment,
because he had not adduced some further evidence
that petitioners’ actions were motivated by his race.
Id. at A27-A29. As the court of appeals correctly
concluded, id. at A11-A12, that holding is inconsistent
with this Court’s statement in Burdine that a Title
VII plaintiff may carry his ultimate burden “by
showing that the employer’s proffered explanation is
unworthy of credence.” 450 U.S. at 256.
Relying in part on this Court’s later decision in
United States Postal Service Bd. of Governors v.
Aikens, 460 U.S. 711 (1083), petitioners argue that
the courts should focus on “the ultimate question of
discrimination,” rather than the details of the
McDonnell Douglas evidentiary framework.0 Pet. Br. 6
6 Petitioners rely (Pet. Br. 14, 25-26) on language in Burdine
stating that the presumption of discriminatory motive raised
by the plaintiffs prima facie case “drops from the case” once
the employer articulates a nondiscriminatory reason for its
actions. 450 U.S. at 255 & n.10. The Court made that passing
comment, however, in the course of explaining that although
the employer’s showing “destroys the legally mandatory
inference of discrimination arising from the plaintiff’s initial
evidence,” that initial evidence “and inferences properly
drawn therefrom” remain very much part of the case. Id. at
255 n.l(). The Court noted, for example, that “there may be
some cases where the plaintiff’s initial evidence, combined with
effective cross-examination of the defendant, will suffice to
discredit the defendant’s explanation.” Ibid. To be sure, once
the employer has carried its burden of production, the plain
tiff’s mere introduction of evidence to rebut the employer’s
1C
15; see also id. at 13-1G, 25-2G. We agree with
petitioners that “intentional discrimination is the
key factual issue in an employment discrimination
case.” Id. at 2G. But that statement of the issue begs
the crucial question of how the plaintiff may prove
“intentional discrimination.” As explained above, the
Court answered that question squarely in Burdine:
the plaintiff may make the required showing either
through direct evidence of a discriminatory motive, or
by showing that the employer’s proffered explana
tions are pretextual. Far from altering or undercut
ting that disjunctive standard of proof, Aikens
reiterated it in haec verba.1 Aikens, 4G0 U.S. at 71G;
see also id. at 717-718 (Blackmun, J., concurring)
(“the McDonnell Douglas framework requires that a
plaintiff prevail when * * * he demonstrates that the
explanation does not, in itself, resuscitate a “legally mandatory
inference” of discrimination. But where, as in this case, the
plaintiff has succeeded in proving “that the employer’s
proffered explanation is unworthy of credence,” he has carried
a burden which, as the Court specifically observed, “merges
with the ultimate burden of persuading the court that [hej has
been the victim of intentional discrimination.” Id. at 256.
7 In light of this Court’s specific and repeated articulation of
this standard of proof in cases directly addressing the issue, we
find inexplicable petitioners’ attempted reliance on Pullman-
Standard v. Swint, 456 U.S. 273, 289-290 (1982). ru llm a n -
Standard held that a factual finding that a particular seniority
system was not adopted with discriminatory intent was
reviewable only for clear error, and rejected the notion that in
that context discriminatory intent could be inferred from
evidence of disparate impact. Nothing in the decision suggests
that it implicates, let alone undercuts, anything that the Court
said a year earlier in Burdine—and repeated a year later in
Aikens.
17
legitimate, nondiseriminatory reason given by the
employer is in fact not the true reason for the
employment decision”).
Moreover, a rule that the employer is—or even may
be—entitled to judgment in its favor after the plaintiff
has convinced the trie r of fact that all non-
discriminatory reasons put forward by the employer
are unworthy of belief would be inconsistent with the
premise that an employer that is unwilling or unable
to articulate a credible nondiseriminatory reason for
a challenged action is more likely than not concealing
a discriminatory reason. See Furnco Construction
Corp. v. Waters, 438 U.S. 567, 577 (1978). That logical
inference, which the Court has explicitly stated
compels a judgment for the plaintiff if the employer
remains silent in the face of a prima facie case
(Burdine, 450 U.S. at 254 & n.7), is no less compelling
where the employer, rather than remaining silent,
offers a false explanation for its actions. If anything,
the inference of discrimination is stronger if the
employer offers a false explanation.7 8 * Accordingly, as
the court below held, Bet. App. All), there is no logical
justification for placing an employer that fabricates a
nondiseriminatory explanation in a better position
8 See, e.g., MacDissi v. Valmont Industries, Inc., 856 F.2d
1054, 1059 (8th Cir. 1988) (“As a matter of both common sense
and federal law, an employer’s submission of a discredited
explanation for firing a member of a protected class is itself
evidence which may persuade the finder of fact that such
unlawful discrimination actually occurred.”); Brooks v.
Monroe Systems for Business, Inc., 873 F.2d 202, 204 (8th
Cir.), cert, denied, 493 U.S. 853 (1989).
18
than an employer that remains silent in the face of a
prima facie case of discrimination.9
B. The M c D o n n e l l D o u g l a s Order Of Proof
Properly Requires The Employer To Frame The
Factual Issues For Decision By Identifying The
Nondiscriminatory Explanations That The Plain
tiff Must Refute
For the reasons stated above, the court of appeals
correctly held that once respondent discredited all of
the nondiscriminatory reasons advanced by petition
ers, he had satisfied his ultimate burden of persuasion
under this Court’s decisions and was entitled to
judgment as a matter of law. Pet. App. A10-A11.
Petitioners argue (Pet. Br. 21), however, that even if
a plaintiff discredits all nondiscriminatory reasons
actually advanced by the employer, he “|has| not nec
essarily eliminate[dj all lawful motives for the
employment decision.” They contend that such a
showing entitles the plaintiff to no more than
consideration by the trier of fact; and, on petitioners’
9 A rule that the articulation of any facially legitimate
reason for a challenged action, no matter how incredible given
the facts of the case, ensures a defendant at least the possibility
of a favorable decision from the trier of fact would also create
perverse incentives for abuse of the judicial process by culpable
defendants. Although perhaps muted in the context of bench
trials, these incentives would become markedly more pro
nounced (and more costly) in the context of jury trials, such as
those now available under recent statutory changes. See 42
U.S.C. 1981a(c), enacted by the Civil Rights Act of 1991, Pub.
L. No. 102-166, §102, 105 Stat. 1073 (1991). Put bluntly, it
makes no sense, as a matter of law or of judicial administration,
to create incentives for defendants to lie rather than settle
meritorious cases.
1!)
view, the factfinder may depart entirely from the
position of either party and find that the employer
acted for some nondiscriminatory reason that is
“contained in the record,” although not identified by
the employer as the true reason for its actions.10 Id.
10 The courts of appeals are divided on the question of what
a plaintiff must prove to prevail in a Title VII case where there
is evidence of pretext. Petitioners’ position finds support in
decisions of the First, Fourth, Seventh, Tenth and Eleventh
Circuits which state, at least in dicta, that proof that the
employer’s own explanations for its actions are incredible is
insufficient by itself to compel (or in some cases even to
permit) judgment for the plaintiff. See, e.g., Goldman v. First
National Bank, No. 92-1773 (1st Cir. Feb. 18, 1993), slip op. 8
(dictum) (reviewing prior cases); Holder v. City of Raleigh, 807
F.2d 823, 827-828 (4th Cir. 1989); Benzie.s v. Illinois Dep't. of
Mental Health & Developmental Disabilities, 810 F.2d I 16, 148
(7th Cir.) (dictum), cert, denied, 483 U.S. 1000 (1987); EEOC v.
Flasher Co., No. 91-0279 (10th Cir. Dec. 29, 1992), slip op. 17-18
(dictum); Clark v. Huntsville City Bd. of Educ., 717 F.2d 525,
529 (11th Cir. 1983). Respondent’s contrary position (and that
of the Eighth Circuit in this case) finds support in decisions of
the Second, Third, Fifth, Sixth and District of Columbia
Circuits. See, e.g., Ibrahim v. New York State Dep't of Health,
904 F.2d 101, 108 (2d Cir. 1990); Chipollini v. Spencer Gifts,
Inc., 814 F.2d 893, 898-900 (3d Cir.) (en banc), cert, dismissed,
483 U.S. 1052 (1987); Thornbrough v. Columbus & G. R.R., 700
F.2d 033, 039-040, 040-047 (5th Cir. 1985); Tye v. Board of
Education, 811 F.2d 315, 320 (0th Cir.), cert, denied, 484 (J.S.
924 (1987); King v. Palmer, 778 F.2d 878, 881 (D.C. Cir. 1985).
There are, moreover, apparent inconsistencies among decisions
within several circuits. Compare, e.g., Thornbrough, supra,
with Bienkowski v. American Airlines, Inc., 851 F.2d 1503,
1508 & n.O (5th Cir. 1988); Tye, supra, with Miller v. WFLI
Radio Inc., 687 F.2d 136, 138-139 (6th Cir. 1982); Clark, supra,
with Sparks v. Pilot Freight Carriers, Inc., 830 F.2d 1554,
1504 (11th Cir. 1987). See generally Lanctot, The Defendant
20
at 17. The district court in this case adopted that
approach, faulting respondent for not disproving a
possible explanation for petitioners’ actions—per
sonal animosity unrelated to race—that petitioners
themselves had never advanced during the course of
the trial. See Pet. App. A27. Any such rule would,
however, seriously undermine the fair and efficient
operation of the McDonnell Douglas framework of
proof.
As this Court has explained, that framework should
be viewed and applied as “a sensible, orderly way to
evaluate the evidence” in an employment discrimina
tion case. Furnco, 438 U.S. at 577. In that light, the
probative value of proof that the reasons the employer
advances are unworthy of credence arises largely
because
we know from our experience that more often than
not people do not act in a totally arbitrary manner,
without any underlying reasons, especially in a
business setting. Thus, when all legitimate
reasons for rejecting an applicant have been
eliminated as possible reasons for the employer’s
actions, it is more likely than not the employer,
who we generally assume acts only with some
reason, based his decision on an impermissible
consideration such as race.
Ibid. As a theoretical matter, however, a given
employment decision might conceivably have been
justified by any number of reasons that would be
Lies and the Plaintiff Loses: The Fallacy of the “Pretext-Plus”
Rule in Employment Discrimination Cases, 43 Hast. L..J. 57, 71-
91 (1991) (collecting cases).
21
“legitimate” in the sense that they are not prohibited
by Title VII. But it would not be sensible or orderly,
or an efficient use of a trial court’s or the parties’
resources, to force the plaintiff to attempt to negate
all possible nondiscriminatory reasons for the
employer’s actions—including reasons that were
never even proffered by the employer itself." After
all, the employer is in the best position to know on
what basis it acted. See International Bhd. of
Teamsters v. United States, 431 U.S. at 35!) n.45. If
the employer does not articulate a given reason, it is
at least more likely than not that that reason did not
in fact motivate the employer’s action.
The Court has made clear that in a Title VII case,
“the allocation of burdens * * * is intended pro- 11 *
11 As the Tenth Circuit said in EEOC v. Flasher Co., No. 91-
(5279 (Dec. 29, 1992), slip op. 11, “[tjhe articulation of a facially,
nondiscriminatory reason * * * defines the parameters of the
trial, as the plaintiff then knows the precise reason that he or
she may try to show is only a pretext for an illegal
discriminatory motive. By articulating the reasons for the
plaintiffs termination, the defendant eliminates a myriad of
possible reasons that would otherwise have to be addressed.
That is, we require the defendant to identify and enunciate the
reasons for the termination at the outset, because there is no
limit to the potential number of reasons that could be raised at
trial. Otherwise litigation of discrimination claims would be
needlessly confused and delayed.” We find it difficult to
reconcile this sensible statement of the reasons for requiring
the employer to “defin[e] the parameters of the trial” with the
court’s later observation that proof that the reason given by the
employer is pretextual does not compel judgment for the
plaintiff. Slip op. 17-18. In any event, the court in Flasher
held that the legitimate reason advanced by the employer in
that case was not pretextual. Id. at 18.
22
gressively to sharpen the inquiry into the elusive
factual question of intentional discrimination,”
Bur d in e , 450 U.S. at 255 n.8, and “to bring the
litigants and the court expeditiously and fairly to this
ultimate question,” id. at 253. In particular, the
employer’s articulation of alleged nondiscriminatory
reasons for its actions is meant to move the inquiry
to “a new level of specificity,” and to “frame the
factual issue with sufficient clarity” so that the
parties—and the court—can move efficiently to the
final stage of the litigation. At that stage, the
plaintiff must carry his ultimate burden of proving
discrimination, but he can do so either by direct proof
of a discriminatory motivation, or by satisfying the
trier of fact that the explanations proffered by the
employer are pre-textual.12 Id. at 255-250. Once the
employer’s stated reasons have been shown to be
false, allowing the fact finder to determine (or
speculate) that the employer acted with some other,
unarticulated motivation would vitiate this sensible
method for narrowing the issues to be addressed by
the parties and decided by the court or jury.
It is true that by proving that an employer’s stated
reasons are not its actual reasons, a plaintiff does not
necessarily rule out the possibility that the employer
might have acted for some unarticulated, nondis-
,2 This Court’s emphasis in Burdine on the fact that “the
defendant’s explanation of its legitimate reasons must be clear
and reasonably specific,” 450 U.S. at 258, at least in part to
satisfy “the requirement that the plaintiff be afforded ‘a full
and fair opportunity’ to demonstrate pretext,” ibid., clearly
implies that the demonstration required from the plaintiff
relates only to the reasons actually placed in issue by the
defendant.
23
criminatory reason. But that is not the plaintiffs
burden. The plaintiff need only show that it was more
likely than not that the employer acted for a
discriminatory reason. Once the plaintiff has es
tablished a prima facie case, he has, under McDonnell
Douglas, produced sufficient evidence to give rise to a
mandatory presumption to that effect. At that point,
it is both fair and sensible to require the defendant
employer, which is in the best position to ascertain
and demonstrate the true reasons for its own
personnel actions, to advance the decision-making
process by stating the “clear and reasonably specific”
explanation on which it intends to rely to justify its
challenged action. See Burdine, 450 U.S. at 258. An
employer that has not discriminated should always
have a plausible explanation for its actions—i.e., the
true one, which a plaintiff will be unable to discredit.
Irrational, mistaken, unattractive or even despicable
—but nondiscriminatory—reasons will shield an
employer from liability under Title VII, so long as the
employer articulates them and the trier of fact finds
them credible.13 See, e.g., Pollard v. Rea Magnet
13 Some courts have suggested that an employer might
dissemble about its motivations in a Title VII action because its
real reasons for acting, while not prohibited by Title VII, would
cause it embarrassment—or predicate legal liability—in some
other context. See, e.g., Sliager v. Upjohn Co., 913 F.2d 398,
401 (7th Cir. 1990); Pollard v. Rea Magnet Wire Co., 824 F.2d
557, 559 (7th Cir.), cert, denied, 484 IJ.S. 977 (1987). That is an
unremarkable consequence of being involved in legal
proceedings. The employer may of course choose to remain
silent in the Title VII action, preferring to run the risk of
unwarranted liability in that context rather than exposing
itself to some other and presumably greater cost; but there is
nothing unreasonable about forcing that choice, once the
24
Wire Co., 824 F.2d 557, 559 (7th Cir.) (employer’s
belief that plaintiff had lied about being injured was
mistaken, but not pretextual), cert, denied, 484 U.S.
977 (1987); Nix v. WLCY Radio/Rahall Commun
ications, 738 F.2d 1181, 1187 (11th Cir. 1984) (mis
taken belief that employee had broken a rule not
pretextual).
By contrast, the approach taken by the district
court in this case places an unreasonable burden on
Title VI I plaintiffs. By ruling against respondent
despite finding that he had proved that all of his
former employer’s stated reasons for demoting and
discharging him were pretextual, the district court
effectively required him either to produce direct
evidence of discriminatory motive, or to rebut all
plaintiff has proved what he is required to prove in order to
raise a legally mandatory inference of discrimination. See
Lanctot, supra, 43 Hastings L.J. at 136-140. If, on the other
hand, the employer produces truthful evidence of its
motivations and thereby avoids liability in a Title VII action, it
can hardly complain about the possible collateral consequences
of having told the truth—particularly if the evidence reveals,
for example, some separate illegality, or violation of a
contractual obligation. See id. at 138. Such a predicament is
little different from, for example, that of a litigant who must
choose between bearing his burden of proof in a civil
proceeding and invoking his Fifth Amendment privilege to
remain silent because of possible collateral criminal conse
quences. See, e.g., United States v. Rylander, 460 U.S. 752, 759
(1983) (“a dilemma demanding a choice between complete
silence and presenting a defense [in a civil case] has never been
thought an invasion of the privilege against compelled self
incrimination” (emphasis omitted)) (quoting W illiam s v.
Florida, 399 U.S. 78, 84 (1970)). Cf. Nix v. Whiteside, 475 U.S.
157, 173 (1986) (defendant has no “right” to use false evidence).
possible unarticulated reasons for petitioners’
actions. Requiring a plaintiff to prove the negative of
each and every possible motivation that the employer
might have had, rather than focusing on the reasons
that the employer has advanced, would deprive the
plaintiff of the “full and fair opportunity to
demonstrate pretext” emphasized by this Court in
Burdine, 450 U.S. at 256-258, and make a mockery of
the “sensible, orderly way to evaluate the evidence”
otherwise established by this Court’s cases. Furnco,
438 U.S. at 577.
C. There Is No Evidence On The Record In This
Case Of A Nondiscriminatory Motive That Was
Not Articulated By Petitioners
Petitioners argue (Pet. Br. 16-17, 22-24) that
judgment for the plaintiff is not compelled upon a
showing of pretext if other reasons, not articulated by
the employer, are somehow “suggested by the
employer’s evidence” or, alternatively, “emerge dur
ing the employee’s case.” Pet. Br. 16. As to the first
suggestion, for the reasons discussed in Part B we
find little merit in the notion that an employer should
have some right to ask a court or jury to speculate
about possible permissible motivations that it is
unable or unwilling to articulate. This Court in
Aikens summarized the factfinder’s job as being to
“decide which party’s explanation of the employer’s
motivation it believes,” 460 U.S. at 716, not to range
freely over the record in search of hidden justifica
tions advanced by neither side.'4 14
14 Any such rule would also be substantially less manageable
in the context of cases tried to a jury, rather than to a court.
Under such a regime, a court would at least be required to
26
As to alternative explanations effectively raised by
the plaintiff himself, petitioners correctly note that
several lower courts, including the Eighth Circuit,
have held that a trial court is not compelled to find
discriminatory intent, even after a showing that an
employer’s stated reasons are false, in cases in which
additional reasons for the adverse employment action
are raised by the plaintiff and remain unrebutted at
the close of trial.15 We agree that such cases present
articulate for itself what it believed to be the real explanation
for the employer’s conduct, and support its position with
specific evidence from the record. Review of a jury verdict
for the defendant, on the other hand, would presumably
involve the question whether any rational jury could have
found that any unspecified nondiscriminatory explanation for
the employer’s conduct was fairly “suggested” by the record.
Aside from insulating many verdicts for the defendant from
effective review, such a standard would involve trial judges
and appellate courts in yet another round of speculation—this
time, twice removed from the reasons and evidence actually
advanced at trial by the one party in the best position to know
and be able to disclose the truth: the employer.
15 See, e.g., Galbraith v. Northern Telecom, Inc., 944 F.2d
275, 283 (fith Cir. 1991) (articulated reason clearly pretextual,
but no discrimination where complaint alleged plaintiff was
fired because of continued relationship with individual who
shot her on company property), cert, denied, 112 S. Ct. 1497
(1992); Visser v. Packer Engineering Assocs., 924 F.2d 655, 657
(7th Cir. 1991) (en banc) (plaintiff’s evidence of pretext proved
action really taken for different but nondiscriminatory reason);
Maguire v. Marquette University, 814 F.2d 1213 (7th Cir. 1987)
(pendent claim alleged action taken for nondiscriminatory
reason); Burger v. McGilley Memorial Chapels, Inc., 856 F.2d
1046, 1047-1048, 1051 & n.9 (8th Cir. 1988) (plaintiff’s evidence
of pretext included letters from firing official demonstrating
different but nondiscriminatory reasons).
27
a significantly different issue from that presented
here, because a plaintiff who asserts or proves a
nondiscriminatory reason, even if unstated by the
defendant, effectively undermines his own case.
Moreover, under those circumstances the plaintiff
cannot convincingly argue that he did not have an
adequate opportunity to rebut evidence that he
himself has offered. Petitioners’ contention to the
contrary notwithstanding, however, this is not such a
case.
Petitioners state that “the district court found that
[respondent] introduced through his own testimony
evidence of personal animosity his immediate super
visor had toward him,” and that the “court made the
credibility determination that the supervisor’s
personal animosity was the truthful explanation for
the employment decision.” Pet. Br. 11; see also id. at
22-24. That characterization of the record and the
district court’s decision is inaccurate.
First, it is not entirely clear that the district court
found as a fact that respondent’s demotion and
discharge were motivated by personal animosity. The
court stated only (i) that “although [respondent! has
proven the existence of a crusade to terminate him, he
has not proven that the crusade was racially rather
than personally motivated,” and (ii) that while
respondent had demonstrated that he was treated
more harshly than others, “[i]t is not clear * * * that
[respondent’s] race was the motivation for the harsh
discipline.” Pet. App. A27. Although the first
statement does suggest, as the court of appeals
inferred (id. at A10), that the district court believed
that the prison administration was motivated by
personal animosity toward respondent, the court