Lead Opinion
JONES, J., delivered the opinion of the court, in which MARTIN, C.J., joined. RYAN J. (pp. 863-867), delivered a separate dissenting opinion.
In this retaliatory discrimination case, Plaintiffs filed motions for summary judgment, claiming inter alia that they had met their prima facie burden. Defendant, in its response, directly countered that assertion. The district court denied Plaintiffs’ motions without definitively ruling , on the prima facie question and proceeded to trial. After a four day bench trial during which testimony on all issues was received, the district court ruled that Plaintiffs had failed to establish a prima facie case of retaliation, and therefore, entered judgment for the Defendant. For the reasons that follow, this was error. We therefore reverse the judgment of the district court.
I.
Plaintiff-Intervenor Ronald W. Willis (‘Willis”), an African-American male, was' employed by Defendant Avery Dennison, Inc. (“Avery”), from 1977 until 1990 at one of Avery’s plants located in Cleveland, Ohio. In 1982, Willis filed an Equal Employment Opportunity Commission (“EEOC”) complaint asserting that he was laid off and that his job was threatened after reinstatement, because of his race and in retaliation for having protested Title VII violations and company policies of not hiring minorities. This charge was settled in July, 1983, when Avery awarded Willis back pay.
In 1983, Willis applied for a foreman position, but the position was given to Ronald Gainer (a Caucasian male). At the time, Willis was supervised by David Salantry. Following Gamer’s promotion, he occasionally supervised Willis. In October, 1986, Willis was disciplined by Salantry for tardiness. Willis tore up the discipline citation and complained to the production manager Ronald Jones, in Gamer’s presence, threatening to bring an action with the EEOC. Jones then suspended Willis for insubordination. The following year, Willis filed a charge with the EEOC alleging that his suspension was due to racial discrimination and retaliation. After receiving a right to sue letter, Willis filed suit under Title VII and 42 U.S.C. § 1981. In 1990, Willis agreed to dismiss his suit in return for payments in settlement of his claims. The confidential settlement agreement further provided that Willis would resign from Avery and that Avery would provide Willis a letter of reference.
In May 1991, Willis applied for a position at Container Corporation of America (“CCA”). On the application he stated that he left Avery due to “lack of work,” and gave the name and phone number of Ronald Jones as a contact person for Avery. He also attached a copy of the letter of reference from Avery. Following a favorable interview, a CCA representative contacted Avery. The CCA representative spoke with Ronald Gainer rather than Ronald Jones, whom Willis had listed as a contact person. Gainer stated that Willis had attendance or absentee problems, and that he left Avery because of an arbitration case that awarded him a cash settlement on the condition that he terminate his employment with Avery. CCA did not hire Willis based on Gamer’s comments.
On November 14, 1994, the district court issued its Findings of Fact and Conclusions of Law. It assumed, without deciding, that Gainer was Avery’s agent in making the employment reference. It found that Willis had proven by a preponderance of the evidence: 1) that he was engaged in a protected activity; 2) that Gainer knew of Willis’ protected activity; and 3) that Gainer’s employment reference constituted adverse employment action. However, the district court entered judgment in favor of Avery. The district court concluded that Plaintiffs had failed to establish a prima facie ease of retaliation, as the evidence did not establish, by a preponderance, the existence of a causal connection between Willis’ protected activities and Gainer’s negative employment reference.
II.
On appeal, Plaintiffs contend that the district court erred when it determined that Plaintiffs failed to present sufficient evidence to meet their burden of establishing a prima facie case of retaliation.
This court reviews the evidence necessary to establish a prima facie case of employment discrimination under the “clearly erroneous” standard of review. Anderson v. Bessemer City,
A.
We begin by confronting Plaintiffs’ argument that the evidence presented establishes a prima facie case of discrimination. In order to find a prima facie case of retaliation under Title VII a plaintiff must prove by a preponderance of the evidence: 1) plaintiff engaged in activity protected by Title VII; 2) plaintiffs exercise of his civil rights was known by the defendant; 3) that, thereafter, the defendant took an employment action adverse to the plaintiff; and 4) that there was a causal connection between the protected activity and the adverse employment action. Wrenn v. Gould,
Aikens involved a suit alleging employment discrimination on the basis of race that was fully tried on the merits. The Supreme Court found that in such an instance it was unnecessary for parties thereafter to address the question of prima facie case, and, by so doing, the parties unnecessarily evaded the ultimate question of discrimination vel non. Aikens,
In the instant ease, the district court denied Plaintiffs’ summary judgment motions, awkwardly finding that “a reasonable jury could find ... that there was no causal connection _” J.A. at 1230. We interpret the district court’s ruling to mean that it believed that genuine issues existed with respect to the prima facie case. At that point, however, the court should have drawn appropriate reasonable inferences and ruled on whether or not a prima facie case had been made, reserving for trial only the ultimate issue of
The prima facie case is not the final inquiry, but rather the first prong of analysis which defeats a motion for dismissal prior to trial. The Supreme Court so noted this in Aikens when it stated: “By establishing a prima facie case, the plaintiff in a Title VII action creates a rebuttable ‘presumption that the employer unlawfully discriminated against’ him.” Aikens,
The reason for this is quite simple and logical. To find that a prima facie ease is lacking after the parties have presented all of the evidence confuses the traditional role of prima facie proof. There must be a lower burden of proof to sustain a prima facie case than to win a judgment on the ultimate issue of discrimination, and the manner in which the district court handled this ease does not allow for that distinction. We must be careful not to lose sight of the methods of evi-. dence, particularly in a ease such as this where the prima facie causal connection question is similar to the ultimate question of whether the defendant acted with retaliatory intent or motive. Otherwise, we would perpetually compound an already difficult distinction, in a Title VII retaliation case, between a plaintiffs prima facie ease and his ultimate burden.
The EEOC offers that its burden to establish a prima facie case of retaliation “is not onerous.” Jackson v. RKO Bottlers of Toledo, Inc.,
The amount of evidence in the prima facie context is not the same amount necessary to win a judgment. To win a judgment, a plaintiff is required to overcome the additional obstacle of the defendant’s rebuttal and convincingly demonstrate the existence of discrimination. At that stage, he not only must present facts and evidence allowing inferences to be drawn in his favor, but also must present a ease that allows those inferences to be of significant force as to overcome the defendant’s rebuttal or prove the rebuttal pretext. All that is required of plaintiff at the prima facie stage is to demonstrate that he has a case, that the evidence is on his side. The Court so noted in Aikens:
*862 [W]hen the defendant fails to persuade the district court to dismiss the action for lack of a prima facie case, and responds to the plaintiffs proof by offering evidence of the reason for the plaintiffs rejection, the fact-finder must then decide whether the rejection was discriminatory within the meaning of Title VII. At this stage, the McDonnell-Burdine presumption “drops from the ease,” and “the factual inquiry proceeds to a new level of specificity.”
Aikens,
B.
It is beyond dispute that a plaintiff in a Title VII suit “has the burden of proving by the preponderance of the evidence a prima facie case of discrimination.” Burdine,
First, the plaintiff has the burden of proving by the preponderance of the evidence a prima facie casé of discrimination. Second, if the plaintiff succeeds in proving the prima facie case, the burden [of production] shifts to the defendants “to articulate some legitimate, nondiscriminatory reason for the employee’s rejection.” Third, should the defendant 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.
Burdine,
The proper inquiry following the presentation of all evidence in a Title VII case is whether plaintiff has proven its case by a preponderance under the McDonnell Douglas-Burdine-St. Mary’s burden shifting framework. At this stage in the case, the relevant inquiry should not be whether plaintiff has proven its prima facie case.
The issue the district court leaves for this court is whether the district court erred in finding that Plaintiffs failed to present sufficient evidence to meet their burden of establishing a prima facie ease of retaliation. In this case there was ample evidence from which the district court could have inferred retaliation at the prima facie stage. Nonetheless, because the ease was heard on the merits the district court’s focus at that stage should not have been the elements of a prima facie case, rather, the court should have focused on the ultimate question of discrimination. “[T]o argue about a prima facie ease after the case is fully tried is not helpful in resolving the key factual issue.” Enstrom v. Beech Aircraft Corp.,
The district court sitting as the fact-finder as well as the judge, ultimately decided the case at the prima facie stage, not engaging in the burden shifting outlined above. Consequently, Avery’s burden to show a nondiscriminatory reason and Plaintiffs’ burden to demonstrate pretext and ultimate discrimination was not ruled upon, leaving this court to examine only- the prima facie case issue.
Indeed “it is now firmly established in this circuit that when a case has been tried on the merits, a reviewing appellate court need not address the sufficiency of a plaintiffs prima facie case, and may instead proceed directly to the ultimate question whether plaintiff has established discrimination.” Brownlow v. Edgecomb Metals Co.,
In the instant matter, the record is incomplete. Because the district court stopped with the prima facie ease, following a trial on the merits, there is no evidence in the record of the district court employing the burden shifting approach or making a finding on the ultimate issue of discrimination. Accordingly, it is not plausible for this court to examine what is not in the record. See RKO Bottlers of Toledo, Inc.,
Because the district court faded to use the burden shifting approach outlined in McDonnell Douglas and its progeny, the judgment of the district court must be reversed. The district court failed to make a determination on the ultimate issue of the case, although all of the evidence had been presented. Instead, the district court concluded that judgment should be entered for the Defendant because Plaintiffs failed to prove a prima facie case. By allowing the case to proceed to a trial on the merits, the district court implicitly acknowledged the existence of Plaintiffs’ prima facie case. Defendant would only have been entitled to judgment if Plaintiffs had failed to carry their burden in proving the ultimate issue of discrimination.
C.
While it may be considered odd that Willis is suing for alleged discrimination which did not occur while he was an employee of Avery, this court has held that former employees do have standing to sue under the Civil Rights Act of 1964. See Dunlop v. Carriage Carpet,
Accordingly, this case is REVERSED and REMANDED to the district court for a determination on the ultimate issue of discrimination.
Dissenting Opinion
dissenting.
The majority holds that “it [was] inappropriate for [the district] court to resolve [the] case on grounds that a prima facie case had not been made [because] the case ha[d] been fully tried on the merits.” Maj. op. at 860-861. Because I think it was entirely appropriate for the district court to so rule, I must respectfully dissent.
I.
The 1964 Civil Rights Act makes it unlawful “for an employer to discriminate against any of his employees ... because he has opposed any practice made an unlawful employment practice” by Title VII or because he has made a charge under the statutory scheme. 42 U.S.C. § 2000e-3(a). There are four elements to a prima facie showing of retaliation: a plaintiff must prove that (1) he engaged in an activity protected by Title VII; (2) the exercise of his civil rights was known by the defendant; (3) the defendant took an employment action adverse to the plaintiff; and (4) there was a causal connection between the protected activity and the adverse employment action. See Harrison v. Metropolitan Gov’t,
The office of the prima facie case in a Title VII action has been explained many times by many courts, although I believe it has been misunderstood by the majority here. “By establishing a prima facie case, the plaintiff in a Title VII action creates a rebuttable ‘presumption that the employer unlawfully
A.
First, here, there was no “fail[ure] to persuade” by the defendant, a point all but ignored by the majority. The plaintiff, not the defendant, filed a motion for summary judgment. In the course of its motion, the plaintiff necessarily argued that there was no genuine issue of material fact with respect to any element of the prima facie showing. The defendant responded by pointing to its evidence respecting the fourth, causal-connection prong, and arguing that this evidence created a genuine issue of material fact as to the adequacy of the prima facie case. The district court agreed:
[W]hile the EEOC and Willis have presented evidence that Ron Gainer was aware of this protected activity, other evidence in the record supports the conclusion that Gainer did not know of Willis’ EEOC charges or his lawsuit before Butcher called. If Gainer was unaware of Willis’ EEOC charge, there was no causal connection between Willis’ protected activity and the assertedly negative employment reference.
Plaintiffs bear the burden of proving their prima facie case by a preponderance of the evidence. Viewing the evidence in the light most favorable to Avery Denni-son, a reasonable jury could find that Gainer was not aware of Willis’ EEOC charges or his lawsuit and that there was no causal connection between Gainer’s actions and Willis’ protected activity..
(Citation omitted.) Unlike the majority, I find nothing “awkward[ ]” about this holding, maj. op. at 860-861, and I do not understand the majority’s suggestion that some extraordinary “interpret[ation]” is necessary in order to discern the district court’s meaning, id. It is plain enough to me that the district court stated that the plaintiff failed to show that there was no genuine issue of material fact with respect to the causal-connection prong of the plaintiffs prima facie case, and that its motion for summary judgment failed accordingly.
But that is all the district court said. I am at a loss to comprehend the basis for the majority’s belief that “[t]he fact that the court was faced with the prima facie case question at the summary judgment stage and then allowed the case to go to trial, [sic] could be construed as a tacit acknowledgment of Plaintiffs’ prima facie case.” Id. I am, likewise, unpersuaded by the majority’s ipse dixit that “[b]y allowing the case to proceed to a trial on the merits, the district court implicitly acknowledged the existence of Plaintiffs’ prima facie case.” Id. at 863. The majority’s conclusion that the rejection of the plaintiffs summary judgment motion was tantamount to an approval of the adequacy of the plaintiffs prima facie showing is at best, a sine qua non, and at worst, a contradiction of the record. The district court was never asked to make such a ruling, and there is nothing in the record suggesting it would have been so inclined if it had been asked.
[T]he plaintiff in a disparate treatment case must prove to the factfinder, by a preponderance of the evidence, that each component of her prima facie case has been satisfied.
... [I]t is clear that the issue of whether a prima facie case has been established ... is not ... a legal issue for the court not the jury. Thus, it was not error per se for the district court to have submitted the question of whether a prima facie case had been established to the jury. We reject [the plaintiffs] contention that when the district court let her discrimination claim ... go to the jury, it necessarily found there to be, as a matter of law, a prima facie case. From the above discussion, it is clear that a court may submit matters to the factfinder to resolve genuine issues of material fact.
Id. at 168-69.
The majority, however, believes that, in this ease, after rejecting the plaintiffs motion for summary judgment, “the court should have drawn appropriate reasonable inferences and ruled on whether or not a prima facie case had been made, reserving for trial only the ultimate issue of discrimination.” Maj. op. at 860-861. This is a rather astonishing suggestion, as it can only mean that the majority believes the district court should have reached out and sua sponte ruled on the prima facie case, since the defendant had not yet asked the court to do so. Thus, the majority holds, once a district court rejects a plaintiffs motion for summary judgment in a Title VII case, it must invent a corresponding motion, attribute it to the defendant, and without benefit of argument or presentation of testimony or witnesses, proceed to weigh the evidence and act as factfinder on the prima facie question. Unsurprisingly, the course proposed by the majority is not supported by a single citation to authority.
B.
I conclude that the majority’s view that the question of the prima facie ease “is a preliminary matter which cannot be revisited at a later time,” maj. op. at 861, is simply premised on a misunderstanding of Aikens. Ai-kens does not stand for the proposition that a district court is flatly prohibited from considering the adequacy of the prima facie case after the case as a whole has proceeded to trial, even when the defendant has never asked the district court to consider the question. Instead, in Aikens, the Court criticized a district court that, upon the defendant’s motion made at the close of the plaintiffs ease, “decided that [the plaintiff] had made out a prima facie case,” Aikens,
I note, however, a certain lack of clarity in Aikens itself. Although the Court wrote that “at one point in the trial the District Court decided that [the plaintiff] had made out a prima facie case,” id., its basis for this conclusion was simply the fact that the district
In any event, I find this new rule impossible to reconcile with Gafford, where this court so firmly stated its view that the adequacy of the prima facie case should be submitted for decision to the factfinder, there, the jury. Indeed, this court explicitly held that because the jury answered the first special interrogatory, “Do you believe from the evidence that [the plaintiff] has established a prima facie ease ... ?,” in the negative, it “did not have to go further.” Gafford,
C.
In addition to concluding that it is not a rule compelled, or even supported, by existing precedent, I find no jurisprudential justification for inventing the rule posited by the majority. The majority, it seems, believes that the district court shortchanged the plaintiff by resolving the case on the inadequacy of the prima facie showing. Once again, this belief is premised on a faulty understanding of the applicable law, namely, the majority’s view that the prima facie showing is characterized by a lower burden of proof. The majority asserts that “[tjhere must be a lower burden of proof to sustain a prima facie case than to win a judgment on the ultimate issue of discrimination,” maj. op. at 861, and that “[t]he amount of evidence in the prima facie context is not the same amount necessary to win a judgment,” maj. op. at 861-862. In fact, both assertions are completely incorrect.
As the majority opinion itself notes, it is well-established that a plaintiff in a Title VII disparate treatment suit “has the burden of proving by the preponderance of the evidence a prima facie ease of discrimination.” Burdine,
It is nonetheless true that the prima fade burden is not a demanding one, simply because, as a substantive matter, the four prongs of the prima facie ease are easily satisfied. That is, they ask simple questions: Did the plaintiff engage in protected activity? Did the defendant know about the protected activity? Did the plaintiff suffer an adverse employment action? And, pertinent to this case, was there a causal connection between
To establish this causal connection, the plaintiff “had to demonstrate that [Gainer] was discriminatorily motivated.” Morgan v. City of Jasper,
II.
In sum, I fail to see the wisdom in the new rule created by the majority, in which the district courts are now forbidden, once a trial has occurred, from entering judgment on the ground that the prima facie burden has not been proved by a preponderance of the evidence. I recognize the case law from this circuit that “when a case has been tried on the merits, a reviewing appellate court need not address the sufficiency of a plaintiffs prima facie case, and may instead proceed directly to the ultimate question whether plaintiff has established discrimination,” Brownlow v. Edgecomb Metals Co.,
