No. 335, Docket 91-7566.United States Court of Appeals, Second Circuit.Argued October 10, 1991.
Decided May 5, 1992.
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Cheryl Smith Fisher, Buffalo, N.Y. (Magavern Magavern, of counsel), for plaintiff-appellant.
Anne S. Simet, Buffalo, N.Y. (Hodgson, Russ, Andrews, Woods
Goodyear, of counsel), for defendant-appellee Randolph Cent. School Dist.
Dennis V. Tobolski, Little Valley, N.Y., for defendant-appellee Cattaraugus County Civ. Service Com’n.
Appeal from the United States District Court for the Western District of New York.
Before: OAKES, Chief Judge, NEWMAN and PRATT, Circuit Judges.
OAKES, Chief Judge:
[1] Cora Aldrich appeals from a judgment entered in the United States District Court for the Western District of New York, Richard J. Arcara, Judge, granting summary judgment for defendants Randolph Central School District and Cattaraugus County Civil Service Commission on her claims of sex-based wage discrimination in violation of the Equal Pay Act, 29 U.S.C. § 206(d) (1988), and Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e-2(a)(1) (1988), and unlawful retaliation for filing a claim with the New York State Division of Human Rights in violation of 42 U.S.C. § 2000e-3(a) (1988). The district court properly granted summary judgment on Aldrich’s Title VII claims of sex-based wage discrimination and retaliation. We conclude, however, that the district court erred by holding that defendants’ use of the civil service examination and classification system provides a defense to Aldrich’s claim under the Equal Pay Act based on the existing record. Accordingly, we reverse in part and remand. I.
[2] The Randolph Central School District employs cleaners and custodians to maintain the two buildings used by the Randolph Central School System. In making employment decisions, Randolph must comply with local civil service laws administered by the Cattaraugus County Civil Service Commission. The commission establishes job classifications, administers civil service examinations, and prepares eligibility lists for civil service positions.
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the same work as the custodian on staff at the elementary school. When the elementary school principal refused to reclassify her as a custodian, she filed an unsuccessful grievance contesting her classification. Aldrich then filed a job classification questionnaire with the Cattaraugus County Civil Service Commission in order to have her job duties reviewed.
[7] In February 1985, following her unsuccessful appeal of the commission’s determination that she was properly classified as a cleaner, Aldrich filed a complaint with the New York State Division of Human Rights (“NYSDHR”) against defendants alleging sex-based wage discrimination because she was performing the work of the male custodians but was classified and paid as a cleaner. After an investigation, the NYSDHR dismissed the complaint. [8] In September 1985, Aldrich filed another complaint with the NYSDHR and the Equal Employment Opportunity Commission (“EEOC”) alleging that Randolph retaliated against her for filing the February complaint when it did not ask her whether she wanted to work overtime on a weekend prior to the opening of school to clean up after a summer asbestos removal project. In July 1987, the NYSDHR dismissed the complaint. In July 1988, the EEOC issued a letter denying her charge and advising Aldrich of her right to sue. [9] In October 1988, Aldrich filed this action seeking relief against the Randolph Central School District and the Cattaraugus County Civil Service Commission under the Equal Pay Act and Title VII of the Civil Rights Act of 1964 for defendants’ alleged sex-based wage discrimination. Aldrich also alleged that Randolph retaliated against her in violation of Title VII for filing a complaint with the NYSDHR. [10] Upon completion of discovery, defendants moved for summary judgment. On May 8, 1991, the district court granted summary judgment for the defendants, finding as a matter of law that: (1) use of the civil service examination and classification system as a qualification for being hired and paid as a custodian is a complete defense to Aldrich’s Title VII claim; (2) the pay differential between custodians and cleaners was based on a “factor other than sex” under the Equal Pay Act — the civil service examination and classification system; (3) plaintiff’s failure to submit any additional proof beyond the allegations in her complaint mandated summary judgment on her retaliation claim. Aldrich appeals from this order and the judgment of the district court. II.
[11] Federal Rule of Civil Procedure 56(c) provides that the court shall grant summary judgment when the pleadings, evidence obtained through discovery, and affidavits show that there is no genuine issue of material fact and the moving party is entitled to judgment as a matter of law. A dispute regarding a material fact is genuine “if the evidence is such that a reasonable jury could return a verdict for the nonmoving party.” Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 248, 106 S.Ct. 2505, 2510, 91 L.Ed.2d 202 (1986). The court must resolve all ambiguities and draw all inferences in favor of the nonmoving party in order to determine how a reasonable jury would decide. See Ramseur v. Chase Manhattan Bank, 865 F.2d 460, 465 (2d Cir. 1989). “Only when reasonable minds could not differ as to the import of the evidence is summary judgment proper.” Bryant v. Maffucci, 923 F.2d 979, 982 (2d Cir.), cert. denied. ___ U.S. ___, 112 S.Ct. 152, 116 L.Ed.2d 117 (1991). In resolving the issues raised on appeal from a grant of summary judgment, “we review the recor de novo to determine whether there are genuine issues of material fact requiring a trial.” Id.
III.
[12] “What we seek is to insure, where men and women are doing the same job under the same working conditions that they will receive the same pay.” 109 Cong.Rec. 9196 (1963) (statement of Rep. Frelinghuysen). In 1963, Congress enacted the Equal Pay Act (“EPA”) to carry out this board mandate. The Act prohibits employers from discriminating between employees
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on the basis of sex by paying higher wages to members of the opposite sex for “equal work on jobs the performance of which requires equal skill, effort, and responsibility, and which are performed under similar working conditions.”29 U.S.C. § 206(d)(1) (1988).
[13] In order to prove a violation of the EPA, a plaintiff must first establish a prima facie case of wage discrimination by demonstrating that: (1) the employer pays different wages to employees of the opposite sex; (2) the employees perform equal work on jobs requiring equal skill, effort, and responsibility; (3) the jobs are performed under similar working conditions Corning Glass Works v. Brennan, 417 U.S. 188, 195, 94 S.Ct. 2223, 2228, 41 L.Ed.2d 1 (1974). Once the plaintiff makes out a prima facie case, the burden shifts to the employer to justify the wage differential by proving that the disparity results from: “(i) a seniority system; (ii) a merit system; (iii) a system which measures earnings by quantity or quality of production; or (iv) a differential based on any other factor other than sex.”29 U.S.C. § 206(d)(1); see also Corning, 417 U.S. at 196, 94 S.Ct. at 2229. [14] The school district argues that the “burden under the Equal Pay Act was simply to show that a factor other than sex accounted for the pay differential. [Appellees] did that when they showed that a qualification for being appointed to the higher paying position was ranking third or higher on the examination.” [15] In granting summary judgment for the defendants on Aldrich’s EPA claim, the district court agreed with the school district and the commission, concluding that “[e]ven if the plaintiff could prove that she is being forced to perform the same duties as the male custodians, a proposition for which there is no support in the record, the simple fact is that the pay differential between custodians and cleaners is based on a factor other than sex i.e., the civil service examination.” [16] Aldrich argues that the district court erred by holding that the civil service classification system is a factor-other-than-sex for purposes of the EPA and, therefore, a complete defense to the wage differential between Aldrich and her male counterparts. [17] We have not yet faced the question under what circumstances a civil service classification system qualifies as a factor-other-than-sex.A.
[18] We turn first to the district court’s conclusion that the civil service classification system followed by the Randolph Central School District provides a complete defense to the wage differential between Aldrich and the male custodians because the classification system is sex-neutral on its face and, therefore, is a factor-other-than-sex.
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Warner Corp., on behalf of the Chamber of Commerce of the United States).
[21] In response to these and other criticisms from industry, Representative Goodell introduced new equal pay legislation which included the following defenses to wage differentials:[22] H.R. 5605, 88th Cong., 1st Sess. (1963) (emphasis added). This new version was in large part adopted and reported out by the full House Committee on Education and Labor. However, the committee restructured the exceptions and, in doing so, did not include the blanket exception for job classification systems. Instead, H.R. 6060 provided the four affirmative defenses available under current law, including the catch-all factor-other-than-sex defense. H.R. 6060, 88th Cong., 1st Sess. reprinted in 109 Cong.Rec. 9211 (1963). [23] In the report accompanying H.R. 6060, the committee did not directly address why the precise language of H.R. 5605 was not adopted. The committee did explain, however, the role envisioned for job classification systems:(i) a seniority system; (ii) a merit system; (iii) a job classification system; (iv) a system which measures earnings by quantity or quality of production; (v) reasonable differentiation based on a factor or factors other than sex; or (vi) ascertainable and specific added costs resulting from employment of the opposite sex, or any combination of these exceptions.
[24] H.R.Rep. No. 309, 88th Cong., 1st Sess. (1963) (emphasis added) reprinted in 1963 U.S.C.C.A.N. 687, 688-89. By this report language, Congress indicated its intention that only a “bona fide job classification program” where job-related distinctions underline the classifications will qualify as a “valid defense to a charge of discrimination.” [25] Based on this statutory history, we conclude that employers cannot meet their burden of proving that a factor-other-than-sex is responsible for a wage differential by asserting use of a gender-neutral classification system without more. Rather, Congress intended for a job classification system to serve as a factor-other-than-sex defense to sex-based wage discrimination claims only when the employer proves that the job classification system resulting in differential pay is rooted in legitimate business-related differences in work responsibilities and qualifications for the particular positions at issue. See Note When Prior Pay Isn’t Equal Pay: A Proposed Standard for the Identification of “Factors Other Than Sex” Under the Equal Pay Act, 89 Colum.L.Rev. 1085, 1095-99 (1989); see also Corning,The bill (H.R. 6060) refers to “equal work on jobs the performance of which requires equal skill, effort, and responsibility, and which are performed under similar working conditions.”
[1] This language recognizes that there are many factors which may be used to measure the relationships between jobs and which establish a valid basis for a difference in pay. These factors will be found in a majority of the job classification systems. Thus, it is anticipated that a bona fide job classification program that does not discriminate on the basis of sex will serve as a valid defense to a charge of discrimination.
417 U.S. at 198-201, 94 S.Ct. at 2229-30. [26] This understanding that job classification systems may qualify under the factor-other-than-sex defense only when they are based on legitimate business-related considerations also comports with the general policy goals Congress sought to effectuate by enacting equal pay legislation. Without a job-relatedness requirement, the factor-other-than-sex defense would provide a gaping loophole in the statute through which many pretexts for discrimination would be sanctioned. Surely Congress did not intend that an employee would lose an EPA claim after making out a prima facie case of wage discrimination simply because, for example, the employer chooses to call one employee a cleaner and another employee a custodian. Representative Frelinghuysen discussed the distinction between bona fide and non-bona fide job classification systems on the House floor during the debate preceding passage of the Equal Pay Act:
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[27] 109 Cong. Rec. 9196 (1963). [28] Other circuits considering the proper analysis of the factor-other-than-sex defense under the EPA have required employers to prove that a legitimate business reason supports use of the factor. For example, in Maxwell v. City of Tucson, 803 F.2d 444, 447-48 (9th Cir. 1986), the Ninth Circuit upheld a district court finding that the City of Tucson failed to meet its burden where it classified a woman directing a municipal program at a lower salary level than her male predecessor. The court held that the city failed to demonstrate that the reclassification of the position to the lower level was based on a real change in duties and responsibilities. In doing so, the court explained that “[the factor-other-than-sex] defense enables the employer to determine legitimate organizational needs and accomplis necessary organizational changes.” Id. at 447 (emphasis added).[1] In cases involving the Bennett Amendment to Title VII[2] courts have required employers to provide a legitimate business reason for the purported factor-other-than-sex. See EEOC v. J.C. Penney Co., 843 F.2d 249, 253 (6th Cir. 1988) (“[t]he factor other than sex defense does not include literall any other factor, but a factor that, at a minimum, was adopted for a legitimate business reason.”); Kouba v. Allstate Ins. Co., 691 F.2d 873, 876 (9th Cir. 1982) (“The Equal Pay Act concerns business practices. It would be nonsensical to sanction the use of a factor that rests on some consideration unrelated to business. An employer thus cannot use a factor which causes a wage differential between male and female employees absent an acceptable business reason.”). [29] For these reasons, we hold that an employer bears the burden of proving that a bona fide business-related reason exists for using the gender-neutral factor that results in a wage differential in order to establish the factor-other-than-sex defense. Additionally, we note that the plaintiff may counter the defendant’s affirmative defense by offering evidence showing that the reasons sought to be proved are a pretext for sex discrimination. See Kouba, 691 F.2d at 876. “The appropriate inquiry to determine if the factor put forward is a pretext, is whether the employer has `use[d] the factor reasonably in light of the employer’s stated purpose as well as its other practices.'” Maxwell, 803 F.2d at 446 (quoting Kouba, 691 F.2d at 876-77). [30] Accordingly, we believe the district court erred in its interpretation of the EPA. The district court held incorrectly as a matter of law that the defendants satisfied their burden of proving the factor-other-than-sex defense by relying on use of the faciallyThe inequities which this legislation seeks to correct are apparent to us all . . . As [an] example, the [job] classification names may not match — there would be male packagers and female selectors, nonetheless the work the two groups perform is identical in every respect. This . . . would be a violation if the men as a group received more pay than the women. On the other hand, the male packagers may be required to lift the heavy crates off the assembly line and place them on dollies or do various jobs requiring additional physical effort. The women selectors may work on the assembly line, selecting small items, for example, and placing them in crates. This would be a significant difference which would justify a difference in pay.
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neutral civil service examination and classification system because it was literally a factor other than sex. As discussed below, the district court should have further required the school district to prove that the job classification system has some grounding in legitimate business considerations.
B.
[31] Applying the proper legal standard for the factor-other-than-sex defense, we believe that Aldrich’s claim survives a motion for summary judgment.
IV.
[36] Aldrich also appeals from the granting of defendants’ summary judgment motion on her Title VII claim of sex-based wage discrimination. 42 U.S.C. § 2000e-2(a)(1) (1988).[3] Because Aldrich failed to provide
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sufficient evidence to support her claim of sex-based wage discrimination under Title VII, we think her claim was properly dismissed.[4]
[37] In order to establish a valid claim under Title VII for sex-based wage discrimination, a plaintiff can demonstrate a disparate impact from use of a facially neutral employment practice, see, e.g. E.E.O.C. v. J.C. Penney Co., Inc., 843 F.2d 249(6th Cir. 1988), or present evidence of intentional sex-based wage discrimination. See County of Washington v. Gunther, 452 U.S. 161, 178-81, 101 S.Ct. 2242, 2252-54, 68 L.Ed.2d 751 (1981). Aldrich does not offer sufficient evidence which would satisfy either theory of liability. [38] As the district court correctly noted:
[39] Aldrich also fails to offer evidence that the job classification system which is keyed to the examination has a disparate impact on women. [40] Furthermore, the record contains no evidence of intent to discriminate against women on the part of the school district or the civil service commission by maintaining Aldrich’s classification as a cleaner and paying her at the cleaner wage rate. The civil service commission, following a request from Aldrich for reevaluation of her classification, conducted a review of her duties and concluded that she was properly classified as a cleaner.[5] Randolph believed it could not increase Aldrich’s salary to the custodian rate without violating New York civil service law because she did not score in the top three on the civil service examination. [41] Without evidence of a disparate impact on women from use of the civil service examination and classification system or intentional discrimination, Aldrich’s Title VII claim cannot survive a motion for summary judgment.[Aldrich] has not presented any evidence that the civil service examination for custodian had a significantly discriminatory impact on women. Nor has she provided any statistical data that could be used to determine whether the examination was discriminatory, i.e., how many people took the exam, how many were women, how many women passed, how many women were in the top three and how many women were hired.
V.
[42] Aldrich also appeals the granting of summary judgment on her claim that the school district retaliated against her in violation of Title VII. 42 U.S.C. § 2000e-3(a) (1988). In her complaint, Aldrich alleges that in late August 1985, the school district retaliated against her for filing a charge of sex discrimination with the New York State Division of Human Rights because the school district did not ask her whether she wanted to work overtime over a weekend to clean up after asbestos removal.
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he would have asked Aldrich to perform the work if he had known she was trained to operate such equipment. By submitting this affidavit, defendant offered a “legitimate non-discriminatory reason for the alleged mistreatment.” DeCintio v. Westchester County Medical Ctr., 821 F.2d 111, 115 (2d Cir.), cert. denied, 484 U.S. 965, 108 S.Ct. 455, 98 L.Ed.2d 395 (1987).
[44] The district court properly granted summary judgment given that Aldrich responded to defendant’s motion with only the conclusory allegations contained in her complaint. Without more, summary judgment on Aldrich’s retaliation claim was compelled. SeeFed.R.Civ.P. 56(e); see also Bryant v. Maffucci, 923 F.2d 979, 982 (2d Cir.), cert. denied, ___ U.S. ___, 112 S.Ct. 152, 116 L.Ed.2d 117 (1991).
VI.
[45] For the foregoing reasons, the judgment of the district court granting summary judgment for defendants Randolph Central School District and Cattaraugus County Civil Service Commission on plaintiff Aldrich’s claims of sex-based wage discrimination in violation of the Equal Pay Act is reversed. In addition, the judgment of the district court granting summary judgment for defendant Randolph Central School District on plaintiff Aldrich’s Title VII claims of sex-based wage discrimination and retaliation is affirmed. Accordingly, we remand this case to the district court.
that an employer satisfies the burden of proving the factor-other-than-sex defense simply by showing that a job classification system operates in gender-neutral manner without any further proof that the classifications are bona fide Strecker v. Grand Forks City Social Services Bd., 640 F.2d 96, 100-03 (8th Cir. 1980). adopted en banc, 640 F.2d at 109 (8th Cir. 1981). Instead, we agree with Judge Heaney’s dissenting opinion in that case. Id. at 104 (“[A] governmental unit can specify the education and experience that an employee must have, so long as the requirements are reasonably related to the job to be filled and are not used as a pretext to avoid paying women equal pay for substantially equal work.”).
(a) It shall be an unlawful employment practice for an employer —
(1) . . . to discriminate against any individual with respect to his compensation, terms, conditions, or privileges of employment, because of such individual’s . . . sex.
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custodian and cleaner classifications, the district court could possibly conclude that these classifications were not “job-related”.
[52] As I view this case, the crux of Aldrich’s appeal is not the underlying validity or job-relatedness of the civil service examinations and hiring procedures, because those aspects of the system are not in dispute. Instead, the controversy focuses on the actual practices of the school district in assigning work to Aldrich, as a cleaner, and to her male co-employees, as custodians. [53] On the remand, when it applies the “any other factor other than sex” defense to the unique problems of this case, the district court must inevitably determine whether in assigning the work the school district actually followed the civil service classifications of “custodian” and “cleaner”. If it did not, and instead had Aldrich doing the same work as the higher-paid custodians, then the civil service classification system, as applied to Aldrich in this case, was not bona fide and job-related, and the district’s defense would fail.