Lead Opinion
Concurring opinion by Senior Judge WILLIAMS.
The District of Columbia requires its firefighters and emergency medical service (“EMS”) workers (together “firefighters”) to be clean shaven. A number of firefighters who wear beards for religious reasons challenged this requirement under the Religious Freedom Restoration Act, 42 U.S.C. § 2000bb et seq. (“RFRA”). The district court granted summary judgment to the firefighters upon finding that the District of Columbia had not shown a material issue as to whether the requirement was narrowly tailored. Specifically, the district court found the District of Columbia had conceded the safety for bearded firefighters of one form of respirator (known as a “SCBA”). We agree the District of Columbia failed to satisfy its burden in opposing summary judgment by setting forth specific evidence showing a triable issue of fact as to the safety of the SCBA, and we affirm.
I.
Because this case centers on the efficacy of certain safety equipment for bearded firefighters, it is helpful first to describe the environments in which firefighters work and the protective equipment they use. We then turn to the district court proceedings, focusing particularly on the District of Columbia’s position regarding the safety of the self-contained breathing respirator. Upon setting forth our standard of review, RFRA requirements, and the non-moving party’s burden in opposing summary judgment, we review the record to determine whether the District of Columbia raised a material issue of disputed fact about the safety of SCBAs for bearded firefighters.
A.
Firefighters encounter dangerous atmospheres. The most dangerous areas, classified as “immediately dangerous to life and health,” include all active fires, other oxygen-deprived environments, and settings in which highly toxic contaminants may’ be inhaled. Other areas pose a lesser threat, and still other areas pose no threat at all. When firefighters do not know the threat posed by an environment, they must treat it as immediately dangerous to life and health.
Firefighters can protect themselves by using a number of forms of respiratory equipment, all of which use the same tight-fitting face mask. The most powerful, a self-contained breathing apparatus, or SCBA, consists of an air tank, a regulator, and a mask. A SCBA is designed to maintain “positive pressure” in the face mask— that is, the atmospheric pressure is greater inside the mask than outside. Testimony from both parties indicates that, as a result, a leak in the seal of the face mask will cause clean air to leak out of the mask into the outside atmosphere, rather than allowing contaminated outside air to leak in. The District of Columbia’s “respiratory protection plan” requires firefighters to use SCBAs in environments that are actually or potentially immediately dangerous to life and health, although EMS workers are not trained at all in the use of SCBAs.
Although this appeal focuses on the safety of SCBAs for bearded firefighters, much of the district court proceeding concerned the safety of two other systems: An air-purifying filter, or APR, consists of a mask and a filter through which the user breathes. An APR relies on the negative pressure created by inhalation to draw outside air through the filter. A powered air-purifying filer, or PAPR, operates like an APR, but uses a battery-powered fan to force air through its filter. It is thus
B.
In 2001, the D.C. Department of Fire and Emergency Medical Services implemented a “grooming policy” that prohibited beards. A number of firefighters challenged the policy under RFRA, and the district court preliminarily enjoined enforcement of the policy. The Department accommodated the plaintiffs for a time but in 2005 issued a separate “safety policy,” which forbade Department employees who use “tight-fitting facepieces” to have “facial hair that comes between the sealing surface of the facepiece and face.” The firefighters sought various forms of relief including a permanent injunction and clarification as to whether the 2001 injunction on the grooming policy also applied to the new safety clean-shaven policy. The District of Columbia moved for a judgment as a matter of law declaring the new policy not in violation of RFRA.
On August 11, 2005, based on extensive briefing and a daylong hearing, the district court modified the 2001 injunction to allow the Department to assign to administrative duty employees who could not pass “face-fit tests,” and also to require the Department to afford the firefighters a reasonable opportunity to demonstrate they could pass the tests. Potter v. District of Columbia,
It is undisputed that firefighters who wear beards can safely operate the positive pressure self contained breathing apparatus (SCBA) that firefighters use in situations considered to be immediately dangerous to life and health [in part because] any break in the seal between a firefighter’s face and his SCBA mask will cause air from the tank to blow out, due to positive pressure, preventing air from the surrounding environment from entering the mask. The disagreement in this case concerns the safe operation of negative pressure masks by firefighters.
Id. at 39 (emphasis added). A month later, a group of EMS workers sued to establish that the modified injunction applied to them, and the district court consolidated the cases. Considerable wrangling followed, as some plaintiffs passed the fit tests, some failed subsequent tests, and both parties moved for summary judgment — the District of Columbia on July 7, 2006, with the firefighters responding on October 13, 2006 and cross-moving for summary judgment on October 16, 2006.
The district court granted summary judgment to the firefighters. Potter v. District of Columbia, Nos. 01-1189, 05-1792, Mem. Op. at 2,
II.
On appeal, the District of Columbia does not challenge the district court’s finding that bearded firefighters could be redeployed away from areas in which a negative-air pressure mask (ARP) is required. Instead it contends that it never conceded bearded firefighters can safely use SCBAs and indeed argued the opposite. Thus it maintains that summary judgment was inappropriately granted because it raised a genuine issue of material fact as to the safety for bearded firefighters to wear any type of tight-fitting face mask, regardless of whether the mask is used in a positive or negative configuration.
A.
This court reviews the grant of summary judgment de novo, Royall v. Nat’l Ass’n of Letter Carriers, AFL-CIO,
Under RFRA, the federal government and the District of Columbia
Federal Rule of Civil Procedure 56(c) “mandates the entry of summary judgment, after adequate time for discovery and upon motion, against a party who fails to make a showing sufficient to establish the existence of an element essential to that party’s case, and on which that party will bear the burden of proof at trial.” Celotex Corp. v. Catrett, 477 U.S. 317, 322-23,
B.
On appeal, the District of Columbia suggests two possible reasons that SCBAs might be unsafe for bearded firefighters: (1) a firefighter might “overbreathe” his respirator by inhaling so vigorously that the regulator is unable to supply sufficient clean air to maintain positive pressure, thus drawing in contaminated air through a leak in the face mask seal, or (2) even if positive pressure is maintained, a leak of clean air out of the mask will exhaust the air supply more quickly than would otherwise happen. See Appellant’s Br. 13. However, the record shows the District of Columbia never advanced, and in fact disavowed, any arguments to that effect before the summary judgment stage.
In a motions hearing in 2005, the Assistant Attorney General explicitly disavowed any claim that SCBAs were dangerous for bearded firefighters either because any leaks would shorten the tank life of SCBA gear or because there was a low-level long-term risk associated with that gear. The Assistant stated, “that’s not what we’re worried about,” and clarified that the District of Columbia’s policy was instead necessary for “a situation where [firefighters] have to go into a contaminated area for an extended period of time, [like] the World Trade Center,” — i.e., a situation that the District of Columbia maintained would require the use of APRs. Mot. Hr’g Tr. 6 (June 13, 2005). In the evidentiary hearing shortly thereafter, Fire Safety Officer Captain William Flint described the effect of the positive-pressure SCBA system this way: “[I]f there is a leakage there, the air will then move out from the inside of the face piece, protecting the wearer from toxic atmospheres.” Mot. Hr’g Tr. 89 (Aug. 1, 2005). The firefighters’ expert had declared in 2001 that SCBAs are safe for bearded firefighters for the same reason. Decl. of Alexander Santora (May 25, 2001).
Given these representations by the District of Columbia and the evidence from the firefighters, it is little wonder that the
Of course, the District of Columbia was free to take a different position in opposing the firefighters’ motion for summary judgment, and it is its position in opposition that is relevant here. See Hester v. District of Columbia,
The firefighters asserted in paragraph 5 of their Rule 7(h) statement that because a SCBA “supplies a continuous flow of pressurized air,” any imperfection in the mask seal would result in air flowing out of the mask, rather than in, and that “[i]t is therefore not dangerous for a firefighter to work in a hazardous environment using a[ ] SCBA.” Pis.’ Statement of Undisputed Material Facts In Support of Pis.’ Mot. for Summ. J. at ¶ 5. They cited their expert’s testimony to this effect as well as the District of Columbia’s statement that SCBAs present no imminent danger to bearded firefighters and that the clean-shaven policy was not designed to address any problems arising from SCBA devices. The firefighters thus offered evidence showing an absence of a genuine dispute about SCBA safety.
In response, the District of Columbia did not directly address the assertion that it is safe for firefighters to use a SCBA. Instead, its Rule 7(h) statement generally disputed “the statements in paragraph 5” and went on to explain that a SCBA does not supply “a continuous flow of pressurized air,” but only supplies air when the pressure in the mask falls below a certain level, presumably when the user inhales in a well-sealed mask. Def.’s Resp. to Pis.’ Statement of Material Facts to Which There Is No Genuine Issue at 3. The response clarified that “[i]f an acceptable seal is not maintained, an inward flow of air comes through the regulator during exhalation or during the pause between breaths. This feature of the pressure-demand regulator helps to conserve the supply of air carried on the wearers [sic] back.” Id. The expert declaration supported these statements.
On appeal, the District of Columbia contends its Rule 7(h) response suggested the possibility of pulling contaminated air into the face mask through “overbreathing.” Fairly read, and according all reasonable inferences to the District of Columbia as the non-moving party, its response cannot support this reading. Instead, the response simply addresses whether a properly functioning SCBA system supplies air all the time or only when a user inhales, pointing out that the firefighters had incorrectly stated that SCBAs supply air continuously when in fact they supply air only as needed. The response does not
The District of Columbia also failed in its memorandum in opposition to summary judgment to show that the safety of SCBAs was a genuine disputed issue. On appeal, the District of Columbia points out that its memorandum stated that “[e]ven when used in a positive pressure configuration, use of a tight fitting face-piece [with a beard] presents an unacceptable risk to the wearer’s health.” In isolation this statement about positive-pressure systems appears to support the District of Columbia’s position that it contested the safety of SCBAs. Viewed in context the more likely interpretation is that the response focused on the “powered air-purifying respirator” (“PAPR”), another positive-pressure system that was a primary point of contention in the litigation, although the statement could nonetheless plausibly have resuscitated an argument that SCBAs were unsafe. But if this statement was intended as such an assertion, it was unsupported by evidence because it is followed by a citation to paragraphs 23 and 24 of Dr. McKay’s declaration, which do not address SCBAs, or even positive-pressure systems in general, but rather the possible long-term health effects to which firefighters may be exposed through the use of ill-fitting face masks — effects that would presumably apply to both positive and negative-pressure systems. Certainly there is no trace of evidence regarding overbreathing or premature air tank depletion, the pitfalls the District of Columbia now maintains it addressed. Thus, if in this single sentence the District of Columbia was (1) recanting its earlier representation that the clean-shaven policy was not designed to address safety concerns related to SCBA use and that no such concerns exist, (2) arguing that the clean-shaven policy was in fact designed to address such concerns, and (3) contesting the safety of SCBA devices specifically, the District of Columbia offered only the kind of “merely colorable or not significantly probative” evidence that is insufficient to defeat a summary judgment motion. Anderson v. Liberty Lobby, Inc.,
As regards other evidence referenced by the District of Columbia on appeal, it was not cited in opposing the firefighters’ motion for summary judgment. For example, the testimony by Captain Flint that a tight face seal is important because a face mask leak in a SCBA system could hasten the exhaustion of the air supply: “[R]educed service life is an issue as well, and we need to make sure that
The District of Columbia also points to scientific articles, federal safety regulations, and manufacturer directions referenced by two declarations by Dr. McKay. All but one of these sources (the NIOSH standards) were cited by Dr. McKay in his first declaration in 2005 but not resubmitted or even referenced in the District of Columbia’s opposition to summary judgment. Likewise that first declaration itself was not referenced in the memorandum. Moreover, Dr. McKay’s declaration appears to cite these sources for the general proposition that beards may compromise a face mask seal and therefore the efficacy of respirators, without distinguishing between risks for negative and positive-pressure systems. See Decl. of Roy T. McKay, Ph.D at ¶ 16 (Sept. 27, 2005) (“The scientific literature clearly and consistently recognizes the fact that facial hair at the sealing surface of a respirator causes increased respirator leakage. Such leakage decreases the expected performance of the respirator ....”); e.g., id. (quoting article, “It is concluded that persons with excessive facial hair ... cannot expect to obtain as high a degree of respirator performance as persons who are clean shaven”); id. at ¶ 19 (“Numerous standards and guidelines prohibit the presence of facial hair at the sealing surface of a tight fitting respirator.”). In another context, this might suffice to create a genuine issue of material fact as to the safety of SCBAs, because concerns as to the greater category (all systems that use tight-fitting masks) would include concerns as to the lesser (SCBA systems in particular). However, throughout the litigation both parties and the district court were careful to distinguish between negative and positive-pressure systems and their effects; witnesses for both parties testified or declared that leaks in SCBAs did not result in breathing contaminated air, Mot. Hr’g Tr. 89 (Aug. 1, 2005), and the district court and the summary judgment pleadings expressed an understanding that the case turned on the safety of negative-pres
The District of Columbia notes that one scientific article does discuss specific risks of SCBA systems for bearded users, B.J. Held, Facial Hair and Breathing Protection, Int’l Fire Chief, Dec. 1980, at 25, 26-27, and that NIOSH standards discourage the use of “pressure-demand respirators” with facial hair, Nancy Bollinger, U.S. Dep’t of Health and Human Servs., Nat’l Inst. for Oocupational Safety & Health, Niosh Respirator Selection Logic 48 (2004). Although these two sources were attached to Dr. McKay’s 2005 declaration, he did not discuss the safety of SCBA systems or point to that aspect of the article or report. See McKay Decl. at ¶ 16 (Sept. 27, 2005) (noting Held study “[reviewed the variability in facial hair leakage with respect to” five factors). At no point before or during the summary judgment proceedings did the District of Columbia cite the portions of either source that address SCBAs, nor argue that those sources demonstrated SCBAs are unsafe. Like the testimony of Captain Flint, this information lay fallow in the record, and a reversal of summary judgment cannot rest on arguments that the District of Columbia could have, but did not, develop based on the factual record it produced in the district court. Jackson,
Under exceptional circumstances, a federal appellate court will consider arguments against summary judgment not made in the district court. See Singleton,
Notes
. After City of Boerne v. Flores,
Concurrence Opinion
concurring:
The record here unequivocally discloses a disputed issue of material fact. Yet the district court granted summary judgment. If the sole aim of the law were an open search for truth, we would plainly reverse.
The plaintiffs claim that a policy of the District of Columbia requiring that firefighters be .clean-shaven violates their rights under the Religious Freedom Restoration Act, 42 U.S.C. § 2000bb et seq. The District acknowledges that the plaintiffs’ religious aversion to being clean-shaven is sincere, and no one disputes the proposition that the District’s interest in safety — that of the plaintiffs themselves, fellow workers 'whose safety is linked to their performance, and the citizenry at large — is compelling. For the reasons developed in the court’s opinion, the case comes down to whether bearded firefighters can safely rely on a self-contained breathing apparatus (“SCBA”). Before us the District contends that it should have had a chance to prove at trial that with a bearded wearer the SCBA poses serious safety risks for which the District’s policy
With their motion for summary judgment plaintiffs submitted their “Statement of Material Facts,” describing a SCBA as
supplying] a continuous flow of pressurized air from tanks worn by firefighters into their facemasks, so that any minor imperfections in the facemask’s seal will result in an outward flow of clean air from the mask, rather than an inward flow of potentially dangerous gases or particulates. It is therefore not dangerous for a firefighter to work in a hazardous environment using an SCBA. Joint Appendix (“J.A.”) 110-11 ¶ 5. If this were undisputed, the District’s safety claim (at least as they frame it here) would dissolve. But the District disputed plaintiffs’ statement, saying,
The Defendant disputes the statements in paragraph 5. A SCBA does not supply “a continuous flow of pressurized air”; rather, pressure-demand regulators are designed to provide breathing air into the facepiece when the pressure in the facepiece falls below a prerdefined (positive) value. If an acceptable seal is not maintained, an inward flow of air comes through the regulator during exhalation or during the pause between breaths. This feature of the pressure-demand regulator helps to conserve the supply of air earned on the wearers [sic] back.
Id. at 111 ¶ 5. In support, the District relied on an expert declaration, which labeled the plaintiffs’ assertion as “incorrect” and explained that “[w]hen an acceptable seal is maintained, no inward flow of air comes through the regulator during exhalation or during the pause between breaths.” Id. at 120 ¶ 22.
The District’s response is susceptible of two interpretations. On the one hand, the District could have been simply correcting a rather inconsequential technical detail— clarifying, in other words, that there are times when no air is supplied through the regulator. On the other hand, the District could have been saying that, absent an acceptable seal, the user is at risk of breathing in contaminated outside air. The references to air from the “regulator” and conservation of air supply favor the first interpretation; but the pointlessness of correcting plaintiffs’ technical error, prefaced by the claim to “dispute[ ]” their contention, supports the second. The balance favors the first interpretation, legitimating the grant of summary judgment to the plaintiffs.
But the record also contains scholarly work making the second interpretation far more plausible. The District’s expert, Roy T. McKay, in his first declaration identified a number of articles on “the science of facial hair and the negative performance it has on respiratory protection,” id. at 87, among them Bruce J. Held, Facial Hair and Breathing Protection, Int’l Fire Chief, Dec. 1980, at 25, J.A. 90 (reporting on research at Lawrence Livermore National Laboratory under contract W-7405-ENG-48). According to Held, “a person doing moderately heavy to heavy work can ‘over-breathe’ the air supply if there is a leak, and suck or pull in outside contaminated air through the leak.” J.A. 92.
McKay’s citation and provision of the Held article came, to be sure, in a declaration offered at an earlier stage; and even then the declaration itself didn’t call attention to the “overbreathing” problem. It would thus have required a good deal of digging on the part of the district court to discover Held’s expert conclusion on the matter. To avert the need for such digging, the district court’s Local Rule 7(h) states:
*553 An opposition to [a summary judgment] motion shall be accompanied by a separate concise statement of genuine issues setting forth all material facts as to which it is contended there exists a genuine issue necessary to be litigated, which shall include references to the parts of the record relied on to support the statement.
The rule embodies the thought that judges “are not like pigs, hunting for truffles buried in briefs” or the record. United States v. Dunkel,
However buried the Held article may have been, though, the record clearly alerted the court to the Occupational Safety and Health Administration’s belief that facial hair poses risks for the use of respirators generally. As the district court noted in its 2005 opinion, the District’s disputed order simply requires firefighters to
comply with the face-fit requirements of 29 C.F.R. § 1910.134, which is the OSHA regulation for “respiratory protection.” That regulation provides, at § 1910.134(g)(1)®, that
The employer shall not permit respirators with tight-fitting facepieces to be worn by employees who have:
(A) Facial hair that comes between the sealing surface of the facepiece and the face or that interferes with valve function.
Potter v. District of Columbia,
The OSHA regulation, to be sure, appears not to govern the District’s firefighters. 29 U.S.C. § 652(5) excludes state employees generally, and § 652(7) explains that the term “state” includes the District. Although under some conditions Environmental Protection Agency regulations may extend coverage to otherwise exempt workers, see 40 C.F.R. §§ 300.5, 300.150(d), the District has made no real effort to show that those conditions are applicable to plaintiffs. The regulation— on which the District’s own policy was based — nonetheless plainly reflected OSHA’s judgment that facial hair poses excessive risk.
Moreover, the OSHA regulation clearly rested on the agency’s concern with “over-breathing.” Explaining its decision to require fit testing with positive-pressure respirators, OSHA observed:
Even positive pressure respirators do not always maintain positive pressure inside the facepiece, particularly when facepiece fit is poor, strenuous work is being performed, and overbreathing of the respirator occurs.... Leakage must be minimized so that users consistently achieve the high levels of protection they need.
63 Fed.Reg. 1152, 1223/2 (1998). OSHA’s explanation for its decision went on at length, and its position was firm.
While a judge isn’t a pig hunting for truffles in the parties’ papers, neither is he a potted plant. A judge on notice of a contradiction between the plaintiffs’ position and the views of a federal agency might hesitate to find the issue wholly undisputed. And the district court in this case was not passive across the board. In accepting the plaintiffs’ theory that bearded firefighters could be quickly redeployed either to areas requiring the use of SCBAs or to areas not requiring any respirators, it reached back for evidence introduced over two years earlier, in a different context, and not identified in the plaintiffs’ summary judgment motion. See Tr. of Status Conf., Nov. 29, 2007, at 4-5 (explaining that evidence introduced in the August 1, 2005 hearing “is what informed the plausibility of the reassignment plan that I talked about” in the September 28, 2007 memorandum opinion). While this variance in the court’s zeal is troubling, the District rests no claim on the fact, and such a claim, even if made, would likely not
The outcome, nonetheless, seems extraordinarily unsatisfactory. Looking on the bright side, one might see it as constituting a semi-natural experiment, in which the District of Columbia will fight calamities with some of its firefighters bearded, while other firefighting entities adhere to OSHA’s rule or its equivalent. Perhaps the difference will prove inconsequential. The experiment is far from ideal, however. Most obviously, the likelihood of acute calamity — and thus the risk that response teams will be stretched to the breaking point — seems greater in the District than almost any other American city.
Of course even a permanent injunction is not irredeemably permanent. The Federal Rules of Civil Procedure allow judges to “relieve a party or its legal representative from a final judgment, order, or proceeding” if, among other things, “applying it prospectively is no longer equitable.” Fed.R.Civ.P. 60(b)(5). The rule applies to a permanent injunction as long as a party seeking relief “can show ‘a significant change either in factual conditions or in law.’ ” Agostini v. Felton,
