Opinion ID: 445598
Heading Depth: 1
Heading Rank: 2

Heading: the merits of the class claim

Text: 20 Plaintiffs contend that the statistical evidence presented at trial, together with anecdotal evidence, established a prima facie case of discrimination which defendants failed to rebut. They contend that the district court erred in placing upon them the burden of explaining the speculative reasons suggested by the NLRB for statistical disparities in the promotion of black professionals at the NLRB. After setting forth the basic principles of Title VII litigation in this context, we will examine the district court's analysis of the statistical and anecdotal evidence presented at trial. 21
22 This Court's recent precedent establishes that a challenge to an allegedly discretionary promotion procedure fits within the disparate treatment analysis, rather than the disparate impact analysis under Title VII. Carroll v. Sears, Roebuck & Co., 708 F.2d 183, 188-89 (5th Cir.1983); Pouncy v. Prudential Insurance Co. of America, 668 F.2d 795, 800 (5th Cir.1982). 3 Plaintiffs in the instant case challenge the NLRB's discretionary appraisal and promotion procedure. Accordingly, the district court properly considered the NLRB promotion procedures in light of the disparate treatment analysis. 23 Disparate treatment analysis, unlike disparate impact analysis, requires a showing that the employer acted with a discriminatory intent. In a class action challenging an employer's entire promotion procedures, plaintiffs must establish by a preponderance of the evidence that racial discrimination was the [employer's] standard operating procedure--the regular rather than the usual practice. See International Brotherhood of Teamsters v. United States, 431 U.S. 324, 336, 97 S.Ct. 1843, 1855, 52 L.Ed.2d 396 (1977). Statistical evidence is highly relevant in a disparate treatment case challenging an employer's promotion practices. In a proper case, a court may infer racial discrimination if gross statistical disparities are shown in analyzing relevant statistics. Carroll, 708 F.2d at 190; Pouncy, 668 F.2d at 802. This Court has noted, While gross statistical disparities may alone establish a prima facie case of employment discrimination in a proper case, the Supreme Court has cautioned 'that statistics are not irrefutable; they come in infinite variety and, like any other kind of evidence, they may be rebutted. In short, their usefulness depends on all of the surrounding facts and circumstances.'  Wilkins v. University of Houston, 654 F.2d 388, 395 (5th Cir.1981), vacated and remanded, 459 U.S. 809, 103 S.Ct. 34, 74 L.Ed.2d 47 (1982), aff'd in relevant part on remand, 695 F.2d 134 (5th Cir.1983) (quoting Teamsters, 431 U.S. at 340, 97 S.Ct. at 1856-7). In probing discriminatory intent, a trial court may examine the history of the employer's practices, 4 anecdotal evidence of class members, and the degree of opportunity to treat employees unfairly in the appraisal process. Carroll, 708 F.2d at 190. 24 In evaluating the district court's conclusion that the NLRB's promotional practices were not the product of discriminatory intent, this Court's appellate review centers on the fact finder's ultimate conclusion as to the employer's motivation. Parson v. Kaiser Aluminum & Chemical Corp., 727 F.2d 473, 476 (5th Cir.), cert. denied, --- U.S. ----, 104 S.Ct. 3516, 82 L.Ed.2d 824 (1984). The district court's finding on the ultimate issue, that of discrimination vel non, ... is subject to the 'clearly erroneous' standard of Fed.R.Civ.P. 52(a). Williams v. Southwestern Bell Telephone Co., 718 F.2d 715, 718 (5th Cir.1983) (per curiam). See also Parson, 727 F.2d at 475-76. 5 25 Plaintiffs' statistical evidence may be broken into two sets: those statistics related to the rates of promotion for professional employees at various GS levels and those statistics related to promotions to supervisory positions. 26
27 Both plaintiffs and the NLRB presented evidence regarding promotion waiting times. These statistics compared black and nonblack professional employees at various GS levels and observed the percentage promoted and the amount of time taken in obtaining a promotion to the next GS level. 28 Plaintiffs' expert, Dr. Bruce Levin, introduced a survival analysis. Dr. Levin's analysis aimed at comparing the promotion waiting times for blacks and nonblacks. He did this by taking employees at each of the GS levels for field examiners and field attorneys and observed how long employees remained at that GS level. 6 In doing so, Dr. Levin testified that he found a consistent pattern of black field examiners and field attorneys taking more time to promotion than their nonblack counterparts. The results were statistically significant in three levels (GS-5 and 11 for field examiners and GS-12 for field attorneys) of the eleven examined by Dr. Levin for the 1972-81 period. For promotions for the post-1976 period, results were statistically significant at GS-5 and 11 for field examiners and GS-9 for field attorneys. 7 29 The NLRB introduced statistical evidence to counter the plaintiffs' statistical showing. It introduced the testimony of Dr. James Beckett, II. Dr. Beckett performed two different types of analysis, the second of which is more relevant here. 8 In his second analysis, Dr. Beckett imitated Dr. Levin's methodology. Dr. Beckett's analysis, however, differed in that he removed persons from the data that were not members of the class. Specifically, he removed persons from the data who had entered the NLRB through training programs and student internships. 9 Dr. Beckett's repeated survival analysis yielded statistically significant disparities between blacks and nonblacks in waiting time for promotion in only the GS-11 level for field examiners (for both periods 1972-80 and 1975-80) and in the GS-12 level for field attorneys (for the 1975-80 period only). The formerly statistically-significant results in the GS-5 level for field examiners and GS-9 level for field attorneys faded. 10 Dr. Beckett testified that while approximately 85 percent of blacks and nonblacks progressed at the same rate, the differences between the promotion rates for blacks and nonblacks were due to a group of slow-promoters. A greater proportion of these slow promoters were black, rather than nonblack. Taking the two levels of GS-11 field examiner and GS-12 field attorney (the levels which showed statistical significance in Dr. Beckett's repeated analysis) for the 1975-80 period, Dr. Beckett removed the four slowest blacks in both of the two levels. The statistical significance again faded. For each of these eight employees (four black field examiners and four black field attorneys), the NLRB proffered legitimate, nondiscriminatory reasons for their delay in promotion. 30 The district court accepted this analysis, as well as the NLRB's explanations for the slow promoters, and concluded that this statistical evidence did not establish discrimination. See Findings of Facts Nos. 64, 66, 68, 69; Conclusions of Law Nos. B.11, B.12. From the contrasting evidence presented by plaintiffs' and the NLRB's experts, the district court specifically noted in Conclusions of Law Nos. B.11, B.12: 31 11. Plaintiff's statistics regarding waiting time for promotions show no difference between Blacks and Whites as to fast promoters (i.e., those especially competent individuals promoted as quickly as possible). A discrepancy did appear as to promotion time for a few slow promoters (i.e., those individuals not ready for promotion in the usual length of time). 32 12. To the extent the statistical evidence may have supported an inference of discriminatory treatment in promotions in a few cases, Defendant was able to articulate reasons for a handful of specific instances, and Plaintiff was not able to show that such reasons were pretextual. 33 It cannot be said that the district court clearly erred in doing so. The NLRB's effort was aimed at showing that while there were some disparities due to the slow promoters, legitimate reasons, other than nonlegitimate discriminatory ones, were behind those disparities. 11 34
35 Plaintiffs contend that the district court erred in its evaluation of statistics. According to plaintiffs, these statistics indicate a pattern of discrimination in the promotion of NLRB professional employees to supervisory positions. Plaintiffs rely on a mathematical formula suggested in Hazelwood School District v. United States, 433 U.S. 299, 97 S.Ct. 2736, 53 L.Ed.2d 768 (1977). Plaintiffs contend that application of the formula shows a statistically significant disparity between blacks and nonblacks in promotions to supervisory positions. Plaintiffs argue that while blacks made up 10.5 percent of the NLRB's professional work force in 1979, only 4.1 percent of the NLRB's supervisors are black. 12 Crucial to the plaintiffs' contention is that the 10.5 percent figure for black professional employees in 1979 represents the relevant figure for comparison. Plaintiffs note that since the NLRB promotes from within the organization, the relevant figure for comparison is the employer's (i.e., the NLRB's) work force, rather than the general population. See Payne v. Travenol Laboratories, Inc., 673 F.2d 798, 826 (5th Cir.), cert. denied, 459 U.S. 1038, 103 S.Ct. 451, 74 L.Ed.2d 605 (1982). Since plaintiffs contend professional employees at the NLRB possess the minimum qualifications for promotion to higher level supervisory and managerial positions at the NLRB, plaintiffs conclude that the racial composition of the NLRB's professional work force (regardless of GS level) is the relevant figure for comparison. Plaintiffs-Appellants' Brief at 46. 36 The district court concluded that the plaintiffs' evidence was not meaningful ... in that it does not provide data regarding the number of qualified Blacks in the pool from which selections were made for supervisory and other managerial positions. Conclusions of Law No. B.9 (emphasis added). 37 This Court has noted [s]tatistical evidence ... must be meaningful. Pouncy, 668 F.2d at 802. In establishing an inference of discrimination from statistical evidence the required comparison [is] to a qualified pool of employees presumptively eligible for promotion. Id. at 803 (emphasis added). Plaintiffs' presentation is not meaningful in at least two respects. First, the entire professional work force of field attorneys and examiners is not the relevant point of comparison since not all of these employees are presumptively eligible for promotion to supervisory levels. Instead, employees are not even rated for consideration until they reach the GS-12 field examiner level or the GS-13 field attorney level. 13 By asserting that the minimum qualification for promotion to higher level supervisory positions is the holding of any professional position, the plaintiffs bring into their comparison lower level employees who are not to be considered for promotion. 14 Cf. Pegues v. Mississippi State Employment Service, 699 F.2d 760, 770-71 (5th Cir.), cert. denied, --- U.S. ----, 104 S.Ct. 482, 78 L.Ed.2d 679 (1983) (plaintiff's statistical evidence flawed in failing to take relevant experience into consideration). Second, plaintiffs' selection of the 10.5 percent figure for 1979 is questionable as a basis for comparing promotions to supervisory positions for the period of this litigation (1975-1980) since the number of professional black employees had risen in the immediately preceding years. 15 Thus, the district court did not err in finding the plaintiffs' statistical evidence for supervisory positions unpersuasive. 16 38 Other facts support the district court's conclusion that the statistics failed to establish discrimination in promotion to supervisory levels. There were no statistically significant differences in the promotion rates or waiting times for the GS-12 field examiner or the GS-13 field attorney level (the minimum levels for promotion to supervisory positions) for the post-1976 period. 17 Further, unlike the situation presented to this Court in the Carroll case, the number of black supervisors increased steadily during the period covered by this suit. 18 See Carroll, 708 F.2d at 193 n. 10. The district court's analysis and conclusions regarding the statistical evidence were not clearly erroneous in failing to find an inference of disparate treatment. 39
40 Plaintiffs also argue that the uncontradicted expert testimony presented by plaintiffs by its industrial psychologist demonstrated that the rating systems used were highly subjective and capable of discrimination. Plaintiffs-Appellants' Brief at 47. In Conclusion of Law No. B.14, the district court correctly noted that this Court has found appraisal systems which allow for subjective evaluations by white supervisors to be evidence of discrimination in disparate treatment cases. See Payne v. Travenol Laboratories, Inc., 673 F.2d at 826; Rowe v. General Motors Corp., 457 F.2d 348, 359 (5th Cir.1972). The district court, however, also noted several safeguards present in the NLRB appraisal process, which distinguished the appraisal system in the instant case from those criticized in earlier cases. These included review by supervisors other than the employee's immediate supervisor, the opportunity for employee review and comment of the appraisal, discussion of the appraisals between the employee and NLRB supervisors, and the use of grievance mechanisms by employees to challenge appraisals which employees thought unfair. The district court also noted that it was the NLRB's policy and practice to train supervisors in evaluating employees and that written guidelines for evaluating employees had been issued since the mid-1970s. Record Vol. XIV at 125. Cf. Payne, 673 F.2d at 827; Carroll, 708 F.2d at 192 (appraisal system suspect, in part, because no written guidelines provided). While the district court noted, as did plaintiffs' expert Dr. James Outtz, that the process involved subjective elements (Findings of Fact No. 189) these safeguards, together with other considerations (such as the anecdotal evidence), convinced the district court that the NLRB process did not possess the degree of subjectivity necessitating an inference of discrimination. Id. This Court has previously held that subjective factors, particularly when evaluating professional employees, may be considered by an employer in making its promotion decisions. See Wilkins v. University of Houston, 654 F.2d at 401; Page, 726 F.2d at 1046 (promotional system based upon subjective selection criteria not discriminatory per se). Given the district court's findings, which are supported by the record, the district court did not clearly err in its conclusion that the appraisal system had not been used, either intentionally or unintentionally, within the N.L.R.B., in a discriminatory manner against Blacks. Conclusion of Law No. B.18. See Page, 726 F.2d at 1053.
41 A plaintiff in a Title VII action may bolster a case of disparate treatment with evidence of an employer's history of discrimination and of individual instances of discrimination. See Payne, 673 F.2d at 817. In the instant case, the district court considered evidence relating to the NLRB's employment history and alleged individual instances of discrimination. The district court found that the NLRB's affirmative action programs did not indicate an employer prone to discrimination, but instead one which vigorously pursued aggressive affirmative action efforts. See, e.g., Findings of Fact Nos. 5-13. On the alleged instances of individual discrimination, the district court heard testimony (which took up the major part of this lengthy trial) and specifically considered thirteen instances of individual discrimination alleged by plaintiffs. Rather than finding this evidence of a pattern or practice of discrimination, the district court concluded the opposite: that the record as a whole could only support isolated instances of discrimination. Finding of Fact No. 189. In many instances, this anecdotal evidence demonstrated the NLRB to be an employer which took its affirmative action duties seriously. The district court did not clearly err in its conclusions regarding the anecdotal evidence.