Lead Opinion
Vacated in part, and remanded with instructions by published opinion. Judge GREGORY wrote the opinion, in which Judge KEENAN joined. Judge AGEE wrote the dissenting opinion.
This case concerns the certification of a class of black steel workers who allege endemic racial discrimination at a South Carolina plant owned by Nucor Corporation and Nucor Steel Berkeley (collectively, “Nucor”). Plaintiffs-appellants (“the workers”) accuse Nucor of both discriminatory job promotion practices and a racially hostile work environment under Title VII of the Civil Rights Act of 1964 and 42 U.S.C. § 1981. The district court originally denied class certification for both claims, and this Court reversed. See Brown v. Nucor Corp.,
The district court has revisited certification and decertified the promotions class in light of the Supreme Court’s opinion in Wal-Mart Stores, Inc. v. Dukes, — U.S. -,
Against that backdrop, the district court fundamentally misapprehended the reach of Wal-Mart and its application to the workers’ promotions class. We thus vacate the district court’s decision in part and remand for re-certification of the class.
I.
The Nucor plant encompasses six production departments that work together to melt, form, finish, and ship steel products to customers. See Brown I,
The workers’ promotions claim rests on alternative theories of liability under Title VII, which prohibits employment discrimination because of an individual’s “race, col- or, religion, sex, or national origin.” 42 U.S.C. § 2000e-2. The promotions claim first alleges a pattern or practice of racially disparate treatment in promotions decisions. See Teamsters v. United States,
Both theories are grounded in a statistical analysis of racial disparities in job pro
The workers also presented abundant direct and circumstantial anecdotal evidence of discrimination in promotions, including:
* Anecdotal evidence provided by the1 - seven named plaintiffs and nine other
putative class members, claiming discrimination in specific promotions decisions in the Nucor production departments;
■ * A description of complaints, contained in affidavits and depositions, made to plant General Manager Ladd Hall, who the workers allege failed to meaningfully respond;
* Descriptions of retaliation against those who complained to management;
* A written copy of Nucor’s promotions policy and testimony that the policy was largely ignored in favor of giving unbridled discretion to supervisors; and
* Testimony by a white supervisor that his department manager told him that “I don’t think we’ll ever have a black supervisor while I’m here.”
The facts undergirding the workers’ separate hostile work environment claim, not directly at issue in this appeal, also bear on the promotions analysis. Those facts are disquieting in their volume, specificity, and consistency. Supervisors allegedly routinely referred to black workers as “nigger” and “DAN (dumb ass nigger),” with one supervisor reportedly stating “niggers aren’t smart enough” to break production records, while others tolerated the routine use of epithets like “bologna, lips,” “yard ape,” and “porch monkey.” These epithets and others were broadcast over the plant-wide radio system — comprising a network of walkie-talkies used to communicate — along with monkey noises and the songs “Dixie” and “High Cotton.” The workers’ declarations and depositions further suggest that departmental supervisors and the plant’s general manager consistently ignored racial harassment carried out by white, workers, including the circulation of racist emails, the prominent display of a hangman’s noose, the commonplace showing of the Confederate flag, and an episode when a white employee draped a white sheet' over his head with eyes cut out in the form of a KKK hood.
In 2007, the South Carolina district court denied the workers’ motion for class certification for both the promotions and hostile work environment claims. In 2009, a divided panel of this Court reversed, concluding that the workers satisfied the threshold requirements of Federal Rule of Civil Procedure 23. We remanded the case “with instructions to certify the appeí- . lants’ class action.” Brown I,
On February 17, 2011, the district court followed our instructions to certify the class, concluding that the workers satisfied Rule 23(b)(3)’s requirements that common questions predominate and that the class, action was superior to other litigation de
The Supreme Court decided Wal-Mart in June 2011, decertifying an unprecedented nationwide class of approximately 1.5 million female employees spread over 3,400 stores. Wal-Mart held that the plaintiffs had failed to present a “common contention” of employment discrimination capable of “classwide resolution,” as required by Rule 23(a)(2). Wal-Mart,
On September 11, 2012, the district court relied on Wal-Mart to decertify the workers’ promotions class, invoking the court’s authority under Rule 23(c)(1)(C) to amend a certification order at any time before final judgment. Wal-Mart, the court observed, clarified and heightened the commonality requirement of Rule 23(a)(2), requiring the workers to present “significant proof’ that Nucor “operated under a general policy of discrimination” and that they suffered a common injury. J.A. 10934 (quoting Wal-Mart,
Under that standard, the district court concluded that decertification of the promotions class was required because: (1) this Court’s examination of the workers’ statistical analysis in Brown I was not sufficiently “rigorous” to assess whether it raised questions common to the class under Rule 23(a)(2); (2) the workers’ statistical and anecdotal evidence failed to establish such commonality because it did not provide “significant proof’ that there existed both a “general policy of discrimination” and a “common injury”; (3) the delegation of subjective decision-making to Nucor supervisors was not, without more, a sufficiently .uniform policy to present “ ‘common’ issues appropriate for resolution on a class-wide basis”; and (4) even if the workers had identified a common question of law or fact satisfying Rule 23(a)(2), they failed to independently satisfy Rule 23(b)(3)’s requirements that common issues predominate and that the class action is a superior litigation device.
Although the court decertified the class for the promotions claim, it refused to do so for the hostile work environment claim. The district court reaffirmed that the workers had demonstrated that the “landscape of the total work environment was hostile towards the class.” J.A. 10964 (quoting Newsome v. Up-To-Date Laundry, Inc.,
II.
We typically review a district court’s certification order for abuse of discretion. Doe v. Chao,
Determining the appropriate standard of review thus requires a two step approach. First, we examine de novo whether the district court’s decertification order violated our mandate in Brown I to certify the workers’ class. Second, if no such violation occurred, we must determine anew whether the district court abused its discretion in decertifying the promotions class.
As to the first question, an “extraordinary” exception to the mandate rule exists when there is “a showing] that controlling legal authority has changed dramatically.” Bell,
Against that backdrop, the parties disagree about whether Wal-Mart provided sufficient justification for the district court to invoke its powers to revisit certification: Nucor maintains that Wal-Mart represents a “sea change” and that “class actions may proceed only in the most exceptional of cases.” Resp’ts’ Br. 15, 20. The workers suggest, however, that the Supreme Court instead largely reaffirmed existing precedent. Appellants’ Br. 34.
The truth has settled somewhere in between. See Scott v. Family Dollar Stores, Inc.,
In that light, we find that the district court’s decision to reconsider the certification of the workers’ class did not itself violate our mandate in Brown I. Per this Court’s original remand instructions, the district court certified both the promotions
Because the district court could reexamine whether the workers met the requirement of commonality, we review those findings under the abuse of discretion standard that typically applies to certification orders. See Amchem Prods., Inc. v. Windsor,
III.
Rule 23(a)(2) establishes that a class action may be maintained only if “there are questions of law or fact common to the class.” The district court determined that Wal-Mart required decertification of the workers’ promotions class insofar as the Supreme Court’s interpretation of the rule (1) emphasized the analytical rigor required to evaluate a plaintiffs statistical evidence of commonality at the class certification stage, (2) placed the' burden on plaintiffs to provide “significant proof’ of a “general policy of discrimination” and “common injury,” and (3) relatedly established that a company’s policy of discretionary decision-making cannot sustain class certification without a showing that supervisors exercised their discretion in a common way.
Each of these arguments is considered in turn.
Wal-Mart reaffirmed existing precedent that courts must rigorously examine whether plaintiffs have met the prerequisites of Rule 23(a) at the certification stage, an analysis that will often overlap with the merits of a claim. Wal-Mart,
This Court’s precedent and its approach in Broum I are consistent with Wal-Mart and Falcon. See Gariety v. Grant Thornton, LLP,
Contrary to the dissent’s assertion, we do not (and Broum I did not) suggest that Rule 23 is a mere pleading standard. See post at 933. Far from it. It is true that’ Broum I cautioned that “an in-depth assessment of the merits of appellants’ claim at this stage would be improper.” Id. at 156. Such a statement, however, is consistent with the Supreme Court’s dictate in Amgen that a court should engage the merits of a claim only to the extent necessary to verify that Rule 23 has been satisfied. Amgen,
1.
Even evaluated in a still more painstaking manner, the workers’ statistical evidence is methodologically sound while yielding results that satisfy Wal-Mart’s heightened requirement of commonality discussed below. The parties’ central dispute concerns the data used to analyze the period from December 1999 to January 2001, when Nucor failed to retain actual bidding records. For that period, the workers’ expert developed an alternative benchmark that uses 27 relevant ‘change-of-status’ forms — filled out when an em
■ Of course, it belabors the obvious to observe that the alternative benchmark is a less precise measure than actual bidding data. It is also clear, however, that plaintiffs may rely on other reliable data sources and estimates when a company has destroyed or discarded the primary evidence in a discrimination ease. More than two decades of this Court’s precedent affirm as much. See Lewis v. Bloomsburg Mills, Inc.,
2.
The critical question is thus not whether the data used is perfect but instead whether it is reliable and probative of discrimination. To that end, a court must examine whether any statistical assumptions made in the analysis are reasonable. See Paetzold & Willborn, supra, § 4.16. The district court here identified two assumptions made by the workers’ experts as problematic. ■
The district court first questioned the assumption that the job changes described on the 27 forms represent promotions. See J.A. 10942. As an example of clear factual error committed by the court, it quoted at length from the dissent in Brown I to argue' that the forms may represent job changes unrelated to promotions. J.A. 10942 (quoting Brown I,
Upon examining the correct change-of-status forms, discerning whether they represent promotions is a relatively straightforward enterprise. Nineteen of the 27 forms expressly state they are for a promotion, for a “successful bidder” on a “higher position,” or for a new position that was “awarded” or “earned.” Two of the forms describe changes in job classification accompanied by an increase in pay. One form notes that an inspector was a “successful bidder” on a mill adjuster job — a move referred to on another change form as a promotion. Two forms are for a “successful bidder” on a new position where no new pay grade is noted. The remaining three forms appear to involve changes in positions or training that involved a decrease in pay, but there is no indication, or argument by Nucor or the district court, that the exclusion of those forms would substantially undermine the probativeness of the expert analysis.
The second assumption criticized by the district court was that the bidding pools for the 27 positions filled between December 1999 and January 2001 had the same average racial composition as the- pools for similar jobs analyzed from 2001 to December 2003, when the company retained actual bidding data. Because of discovery limitations imposed by the district court, the information available regarding the 2001-2003 promotions was restricted to positions similar to ones bid on by the named plaintiffs, where there was at least one black bidder. However, because Nucor failed to retain bidding records for 1999-2000, the data from that period could not
3.
The dissent points to still more statistical assumptions — assumptions not discussed by either the district court or Nu-cor — to further question the reliability of the alternative benchmark. Specifically, the dissent suggests that the black workers may not have been qualified for higher paying jobs and that they may have been denied promotions because of disciplinary records that were not themselves the result of racial animus. See post at 940, 941-43. As to the qualifications of the workers, Nucor identifies nothing in the record — or in any factual findings by the district court — to suggest that black' workers regularly applied for jobs for which they were not qualified, such that the reliability of the study would be compromised. Indeed, the Nucor job postings explicitly listed the minimum qualifications required, and the workers’ experts reasonably assumed that individuals would normally apply only if they believe they met such qualifications. See J.A. 7763 (an example of a job posting); J.A. 1162. That is not to . say that patently unqualified workers did not apply in isolated cases. But there is no reason to believe that such incidents would have substantially reduced the reliability of the statistical conclusions. It also bears repeating that it was Nucor that failed to retain or produce records that would have allowed the experts to take other variables like qualifications more precisely into account. See J.A. 1165.
Discipline, attendancé, and safety allegations are similar factors that are not equally applied and that have been used as an excuse to deny promotions to me and other persons of my race. The attitudes I have experienced with white supervisors lead me to believe that my race and that of other black employees makes a difference in how we are treated and viewed for discipline]]] promotions]]] and training.
J.A. 1000; see also J.A. 1024 (Alvin Simmons’s statement that a white employee was promoted over him despite the fact that the white employee “had been disciplined less than a year earlier for ‘not paying attention’ when operating equipment”); J.A. 1111 (Earl Ravenell’s statement that black workers were disproportionately singled out for disciplinary action); J.A. 6783 (Michael Rhode’s description of discrimination in disciplinary action). See generally J.A. 10960-10972 (the district court’s factual findings regarding the existence of a racially hostile work environment); Desert Palace, Inc. v. Costa,
Finally, the dissent criticizes the assumption that the 27 positions identified were actually open for bidding.
4.
With the alternative benchmark evidence included, the statistical disparity in promotions is statistically significant at 2.54 standard deviations from what would be expected if race were a neutral factor. See Hazelwood Sch. Dist. v. United States,
Of course, statistical significance is not always synonymous with legal significance. EEOC v. Fed. Reserve Bank of Richmond,
B.
The district court further concluded that the workers’ statistical and anecdo
The workers here most generally present two such common contentions capable of class-wide answers under Title VII. Under a disparate treatment theory, the common contention is that Nucor engaged in a pattern or practice of unlawful discrimination against black workers in promotions decisions. See Teamsters,
In the absence of a common job evaluation procedure, Wal-Mart held that statistical proof of employment discrimination at the regional and national level, coupled with limited anecdotal evidence from some states, was insufficient to show that the company maintained a “general policy of discrimination” present in each store where class members worked. See WalMart,
The district court, however, failed to adequately appreciate three significant differences ' from Wal-Mart that make the case largely inapposite to the facts at hand.
1.
First, Wal-Mart discounted the plaintiffs’ statistical evidence in large part because the statistics failed to show discrimination on a store-by-store basis. See WalMart,
In contrast to Wal-Mart, this litigation concerns approximately 100 class members in a single steel plant in Huger, South Carolina. The class members shared common spaces, were in regular physical contact with other departments, could apply for promotions in other departments, and were subject to hostile plant-wide policies and practices. See Brown I,
Nonetheless, the district court analogized to Wal-Mart in finding that the workers’ evidence of discrimination was insufficient because it disproportionately concerned a single department — the Beam Mill — and because there was an insufficient showing that all departments operated under a common policy of discrimination. J.A. 10949-54. As such, a class-wide proceeding would not generate “common answers” as Wal-Mart required, the district court found. See Wal-Mart,
The district court, however, inappropriately discounted, and often ignored, evidence that establishes discrimination in other Nucor departments. Although 11 of the 16 employees submitting declarations on behalf of the plaintiffs worked in the Beam Mill, the declarants describe frequent instances of alleged promotions discrimination in other departments. See J.A. 1021-24; 1032-35; 1049-51; 1055-56; 1061-63; 1085-86; 1091-92; 1103; 1110-11; 1118-19. Even the additional affidavits obtained by Nucor, discussed in further detail below, present numerous allegations of discrimination in non-Beam Mill departments. See J.A. 5992-95 (discrimination in the Hot Mill and Melt Shop); 6143-45 (discrimination in the Hot Mill); 6174 (general observations of promotions discrimination); 6369-70 (discrimination in the Melt Shop); 6505-07 (discrimination in the Hot Mill); 7036 (discrimination in the Melt Shop). The record additionally indicates numerous complaints of discrimination made to the plant’s general manager, who allegedly did little to nothing in response. Such alleged tolerance of discrimination from top management at the plant supports the workers’ contention of a class-wide injury that affected them all.
Since the Fourth Circuit rejected this Court’s characterization of the production departments as separate environments, the Court must proceed under the assumption that the production departments were permeable, if not unitary. This assumption is buttressed by the fact that Nucor’s bidding is plant-wide, and this Court already has held that “potential applicants are eligible to prove they would have applied for a promotion but for the discriminatory practice.”
J.A. 9705. Walr-Mart provided no grounds for the court to reconsider that finding because nothing in the Supreme Court’s opinion suggests that single, localized operations must be analytically dissected into component departments.
Even if not required by our prior ruling, treating the plant as a single entity remains sound. In addition to the direct and circumstantial evidence of discrimination in promotions decisions in multiple departments, racial bias in one Nucor plant department itself diminished the promotional opportunities for black workers in all the departments — including those who wanted promotions into the infected department and those who sought promotions to other departments and needed their supervisors’ recommendations. To that end, the workers cogently observe that requirements for dual approvals for promotions — by originating and ■ destination department heads — “carried] the effects of racial discrimination from one department and supervisor to another, either by systemic tolerance, acquiescence or design.” Appellants’ Reply Br. 24 (citing Smith v. Bray,
Such a conclusion is further strengthened by the workers’ hostile work environment claim. As the district court itself found, “the plaintiffs have submitted significant proof that the landscape of the total work environment at the Berkeley plant was hostile towards African-Americans and that the defendants failed to take ‘remedial action reasonably calculated to end the harassment.’ ” J.A. 10966; see also Brown I,
2.
Second, the Wal-Mart plaintiffs’ theory of commonality relied, in part, on showing that the company maintained a corporate culture that facilitated the uniform transmission of implicit, or subconscious, bias into the hiring process. See Wal-Mart,
Here, however, the workers have provided substantial evidence of unadulterated, consciously articulated, odious racism throughout the Nucor plant, including affirmative actions by supervisors and a widespread attitude of permissiveness of racial hostility. The examples in the record are ubiquitous: bigoted epithets and monkey noises broadcast across the plant radio system, emails with highly offensive images sent to black workers, a hangman’s noose prominently displayed, a white supervisor stating that “niggers aren’t smart enough” to break production records, and abundant racist graffiti in locker rooms and shared spaces. Moreover, no more than one black supervisor worked in the Nucor production departments until after the EEOC charge that preceded this litigation. It strains the intellect to posit an equitable promotions system set against that cultural backdrop, particularly in light of the other evidence presented.
The dissent rejects the idea that evidence of a racially hostile work environment may help establish a claim for disparate treatment in promotions decisions.
3.
Third, and related, the anecdotal evidence of discrimination in this case is substantially more probative than that in Wal-Mart. The Wal-Mart plaintiffs presented affidavits from about 120 female employees, representing approximately one affidavit for every 12,500 class members. Wal-Mart,
Balanced against such evidence, the district court gave “limited weight” to approximately 80 affidavits from Nucor employees largely disclaiming discrimination at the plant — affidavits taken by company lawyers after the EEOC charges had been filed. See J.A. 10950-51. Common sense and prudence, however, instruct that the affidavits do little to rebut the evidence of discrimination insofar as they were given under potentially coercive circumstances, where the company reserved its ability to
Of course, a plaintiff need not “offer evidence that each person for whom it will ultimately seek relief was a victim of the employer’s discriminatory policy.” Teamsters, 431 U.S. at' 360,
4.
Here, for a liability determination in a disparate treatment claim, the workers’ statistical and anecdotal evidence, especially when combined, thus provide precisely the ‘glue’ of commonality that Wal-Mart demands. See Brown I,
Whereas there may have been many answers in Wal-Mart to the question of why any individual employee was disfavored, the workers here have sufficiently alleged that there is only one answer to the question of why Nucor’s black workers were consistently disfavored.
To hold otherwise would dramatically undermine Title VII’s prophylactic powers. As the Supreme Court observed in Griggs, a central purpose of Title VII is “to achieve equality of employment opportunities and remove barriers that have operated in the past to favor an identifiable group of white employees over other employees.”
C.
Statistics and anecdotes suggesting a pattern of discrimination, however, are not enough alone to sustain a disparate impact claim. See Wal-Mart,
Under Wal-Mart, a mere showing that a “policy of discretion has produced an overall ... disparity does not suffice.” Wal-Mart,
Wal-Mart recognizes that in certain cases, “giving discretion to lower-level supervisors can be the basis of Title VII liability under a disparate-impact theory,”
But for a localized, circumscribed class of workers at a single facility, a policy of subjective, discretionary decision-making can more easily form the basis of Title VII liability, particularly when paired with a clear showing of pervasive racial hostility. In such cases, the underlying animus may help establish a consistently discriminatory exercise of discretion.
This Court’s recent opinion in Scott v. Family Dollar Stores, Inc. specifically provides several ways that such a disparate impact claim may satisfy Rule 23 after Wal-Mart, including: (1) when the exercise of discretion is “tied to a specific employment practice” that “affected the class in a uniform manner”; (2) when there is “also an allegation of a company-wide policy of discrimination” that affected employment decisions; and (3) “when high-level personnel exercise” the discretion at issue. Scott,
The first and second of Scott’s alternatives are most relevant to this case. A specific employment practice or policy can comprise affirmative acts or inaction. Cf. Ellison v. Brady,
For purposes of class certification, the workers have provided sufficient evidence that such a policy, paired with the exercise of discretion by supervisors acting within it, created or exacerbated racially disparate results. The promotions system, requiring approvals from different levels of management, created an environment in which the discriminatory exercise of discretion by one department head harmed the promotions opportunities for all black workers at the plant by foreclosing on opportunities in that department and generally impeding upward mobility. Moreover, the disproportionate promotions of white workers had to be ratified by the general manager, Ladd Hall, who was thus on notice, or should have been on notice, that there were pronounced racial disparities in department-level promotion prac
The workers have also presented sufficient evidence of a practice of inaction by the general manager who ignored the evidence of, and complaints regarding, discrimination in promotions at the plant. See, e.g., J.A. 996-97, 1016, 1056, 1087, 1104. Such managerial inaction occurred despite Nucor’s status as an “Equal Opportunity Employer” and its claim to have a “plantwide policy barring racial discrimination.” Resp’ts’ Br. 6. One black worker, Ray Roane, has testified that he complained directly to Hall about discrimination in promotions. J.A. 996-97. Hall threatened his job. J.A. 997. Consistent with that evidence, the workers observe in the context of their hostile work environment claim that despite a policy of investigating complaints of racial harassment, “[n]ot even one of the five department managers has been shown to have lifted a finger to redress the racially hostile work environment found to exist both plant-wide and in each department.” Appellants’ Br. 25. The workers have sufficiently alleged that such a uniform policy of managerial inaction also contributed to racial disparities in promotions decisions.
Consistent with Scott, the workers have further demonstrated that the exercise of discretion at Nucor was joined by “a company-wide policy of discrimination” that was encouraged, or at least tolerated, by supervisors and managers. See Scott,
In the end, Wal-Mart simply “found it unlikely” that thousands of managers across different regions “would exercise their discretion in a common way without some common direction.” Tabor,
IV.
Nucor further argues that the workers have failed to contest the district court’s independent finding that the putative class failed to satisfy Rule 23(b)(3). As the company observes, the district court specifically held that the class failed to meet the rule’s requirements for a class action seeking individualized money damages, namely, that common questions predominate over individualized inquiries and that the class action is “superior to other available methods for fairly and efficiently adjudicating the controversy.” Fed.R.Civ.P. 23(b)(3). The court remarked that “even if the Fourth Circuit subsequently concludes that the plaintiffs have identified a common issue that satisfies Rule 23(a)(2), this Court nonetheless finds that ‘common issues,’ as that term is defined by WalMart, do not predominate over individual
Nucor contends that nowhere in the workers’ opening brief is the Rule 23(b)(3) ruling addressed, and that any challenge to derives from the Federal Rules of Appellate Procedure, which require that the argument section of an appellant’s opening brief contain the “appellant’s contentions and the reasons for them, with citations to the authorities and parts of the record on which the appellant relies.” Fed. R.App. P. 28(a)(8)(A); see also Mayfield v. Nat’l Ass’n for Stock Car Auto Racing, Inc.,
The workers contend first, and we agree, that no waiver occurred because their arguments in the opening brief extended to the district court’s discussion of both predominance and commonality. The single issue identified by the workers on appeal did not differentiate between the court’s findings on either question. The issue, as presented, was this:
Was it error or an abuse of discretion for the district court not to follow this Circuit’s mandate holding that sufficient statistical and non-statistical evidence has been presented to certify a pattern- or-practiee and disparate impact class covering all six production departments of the defendants’ manufacturing plant in Huger, South Carolina?
Consistent with that framing, the workers’ opening brief describes the district court’s decision in equally broad terms without distinguishing between commonality and predominance. See Appellants’ Br. 28-29 (“The district court erred as a matter of law by declining to follow this Court’s mandate that held there is sufficient statistical and non-statistical evidence to certify a class covering all six production departments.”); Appellants’ Br. 3 (citing to the portion of the district court opinion where predominance is discussed).
Although more explicit separation of the predominance and commonality inquiries would no doubt have been wise, the workers’ arguments throughout their brief directly respond to the issues the district court raised in both contexts (issues that, as discussed below, were intertwined by the court). The workers, for instance, specifically cite cases discussing predominance when arguing about the extent to which a court may look to merits in deciding certification. See Appellants’ Br. 34-35. Elsewhere, in discussing the sufficiency of the anecdotal evidence presented, the workers argued in favor of our holding in Brown I that “[t]his evidence alone establishes common claims of discrimination worthy of class certification.” Appellants’ Br. 42 (citing Brown I,
It is true that the workers arguments often focus expressly on the question of commonality, as Wal-Mart focused its analysis. In that regard, however, the workers have merely followed the district court’s lead insofar as the court itself raised the same arguments under Rule 23(b)(3) as it did regarding commonality under Rule 23(a)(2).
Nonetheless, the dissent argues that “many different reasons underlay [the district court’s] predominance finding, including several individual questions that could ‘overwhelm’ common ones.” Post at 924. But a plain reading of the district court’s opinion belies the idea that it made any predominance arguments that were not responded to by the workers. The only specific argument cited by the dissent as unaddressed contends that because of the workers’ reliance on anecdotal evidence, a jury “would have to delve into the merits of each individual promotion decision.” J.A. 10959; post at 924. Yet, as observed above, the workers specifically argued that the anecdotal evidence establishes “common claims of discrimination” that merit certification, not merely a finding of corn
As this Court has observed, the purpose of the waiver doctrine is to avoid unfairness to an appellee and minimize the “risk of an improvident or ill-advised opinion being issued on an unbriefed issue.” United States v. Leeson,
Independent of the adequacy of the workers’ opening brief, the district court had no grounds to revisit the question of predominance in the first place given this Court’s remand instructions and mandate in Brown I. Unlike the requirement of commonality under Rule 23(a)(2) discussed above, Wal-Mart did not change, nor purport to change, the Rule 23(b)(3) analysis. Indeed, any impact of the Supreme Court’s ruling on the question of whether common questions predominate is only incidental insofar as WalMart recalibrated what constitutes a common question in the first place. The majority in Walr-Mart only invoked Rule 23(b)(3) to argue that the rule’s well-established procedural protections should apply to the plaintiffs’ claims for backpay. See Wal-Mart,
Following our instructions in Brown I for the district court to “certify the appellants’ class' action,” the court found that “the putative class satisfied both the predominance and superiority requirements of Rule 23(b)(3).” J.A. 10930. The court then certified the class for those employed in all six Nucor operations departments. The district court cites no new facts or legal precedent after Brown I to justify revisiting that determination once the underlying question of commonality has been resolved.
Nonetheless, the dissent insists that our decision in Brown I “did not prevent the district court in any way from considering predominance because our prior decision did not say anything about predominance.” Post at 926 (emphasis added). Such a conclusion misconstrues both the plain language of our original mandate and ignores the district court’s equally plain understanding of it. The pivotal question in determining the scope of the mandate is whether the district court was free on remand to find that the workers had not satisfied the predominance requirement. If so, then our mandate did not reach the issue and the district court was free to reconsider it. But if the court did not have such liberty, then we must ask whether “controlling legal authority has changed dramatically” regarding Rule 23(b)(3) such that the court could reconsider the question. See Bell,
Indeed, the district court itself recognized that we had “dictate[d] the general outcome to be reached (class certification) while leaving [the district court] to fill in the details.” J.A. 9886 (Order Den. Mot. for Recons. 8 n.2). Of course, the court could have, and did, evaluate whether certification was best under Rule 23(b)(2) or (b)(3). But it had no discretion to then find that the prerequisites of either rule were not met. As the court observed, Nucor’s argument on remand that the workers had failed to satisfy Rule 23(b) “overlook[ed] the Fourth Circuit’s prior holding in this ease.” J.A. 9704 (Certification Order).
Given the fact that our prior ruling foreclosed the denial of certification on the basis of Rule 23(b)(3), the district court needed some compelling reason to reconsider the question. Bell,
V.
More than seven years have now elapsed since the workers first filed their class certification motion, and the district court twice has refused to certify the class. The nature of the allegations, the evidentiary support buttressing them, and the inherent cohesiveness of the class all demonstrate that the court’s failure to certify was an error. Rule 23 provides wide discretion to district courts, in part, to promote the
The dissent rightly observes that the majority presses forward “[o]n the road to its desired result.” Post at 956. And that result is simple justice. At bottom, the workers seek nothing more than the chance to speak with one voice about the promotions discrimination they allegedly suffered as one class on account of one uniting feature: the color of their skin. The dissent would deny them that chance while leading this Court down a different road — a road that would further weaken the class action as a tool to realize Title VII’s core promise of equality.
We vacate the district court’s decertification of the workers’ promotions class and remand the ease to the district court with instructions to certify the class.
VACATED IN PART, AND REMANDED WITH INSTRUCTIONS.
Notes
. .The district court refused to decertify the workers' ’ hostile work environment claim. We have previously denied as untimely Nu-cor's petition for interlocutory review of that decision. Nucor Corp. v. Brown,
. By comparison, more than 38% of the available local labor market is black, according to Census data provided by the workers’ experts.
. Furthermore, this Court’s original mandate did not entirely divest the district court of its ongoing authority under Rule 23(c)(1)(C) to monitor the class and make changes when appropriate. See Prado-Steiman v. Bush,
. The dissent is skeptical that an appellate court can articulate a deferential standard of review while then finding reversible error in many of the factual and legal determinations made by a district court. See post at 930. Deference, however, clearly does not excuse us from conducting a detailed review of the record. Nor does it blind us from factual findings that were not supported and legal determinations that represent a fundamental misunderstanding of Wal-Mart’'s scope. Indeed, we recently applied similar scrutiny when overturning a district court's class certification order. See EQT Production,
. The Wal-Mart majority confronted a split among courts regarding the depth of review necessary to sustain class certification under Rule 23. See Dukes v. Wal-Mart Stores, Inc.,
. In Lewis, the company had “improperly disposed" of the relevant employment applications, unlike the present case where there is no direct evidence of any impropriety.
. The dissent cites Allen v. Prince George's County,
. Nucor instead argued that the change of status forms failed to capture whether black employees bid on the positions, and whether the positions were open for bidding in the first place. Given the lack of controversy surrounding whether the 27 forms described promotions, the forms themselves were not introduced into the record until 2012, after the district embraced the fact-finding conducted by the dissent in Brown I and observed that "the Court has never seen the 27 change-of-status forms....” J.A. 10943. The workers then appended all the forms to their motion to "alter and amend” the decertification order— a motion that was denied. J.A. 11005, 11083. Notably, it also appears that in 2006 the workers’ expert provided Nucor with a list of the 27 employees used in the benchmark analysis. See J.A. 1409, 1438.
. Given that history, we would be remiss not to acknowledge the irony inherent in the dissent's insistence that we are now impermissibly making factual determinations without due deference to the district court.
. After we pointed to this language in Brown I, the district court did an about-face and changed its conclusion to state that the statistics were "fundamentally unreliable.” J.A. 10941.
. The workers’ experts acknowledged that the incomplete data "undermined” their "ability to use posting and bidding records to analyze [those] promotions.” J.A. 1161. In context, however, the experts were lamenting the failure of Nucor to “produce all such records.” J.A. 1161. As the experts concluded, they were able to "calculate reliable statistics” for the limited universe of positions they analyzed, even though greater discovery • would have allowed them to make a more "powerful” study of plantwide disparities. J.A. 1253-54; see also J.A. 1340-41.
. At times, the dissent seems to suggest that statistical assumptions themselves are to be viéwed with great suspicion. What matters, however, is not whether an analysis makes assumptions based on imperfect data, but whether those assumptions are reasonable. Indeed, statistics are not certainties but are merely “a body of methods for making wise decisions in the face of uncertainty.” W. Allen Wallis & Harry V. Roberts, The Nature of Statistics 11 (4th ed.2014); see also M.J. Moroney, Facts from Figures 3 (1951) ("A statistical analysis, properly conducted, is a delicate dissection of uncertainties, a surgery of suppositions.").
. The record does indicate that "supervisory positions" are not typically posted for bidding under the Nucor hiring policy. J.A. 257. Neither Nucor nor the district court, however, has provided any reason to believe that any of the 27 records at issue describe open supervisory jobs, as Nucor defined the term, and were thus not posted. Furthermore, the dissent suggests that there may have been isolated instances when Nucor did not follow its posting policy for non-supervisory jobs. The fact that a company does not follow its policy to a tee, however, does not fatally undermine a statistical assumption based upon such a policy.
. Indeed, the workers’ statistical analysis may actually underestimate the impact of race on promotions at Nucor. As worker Eric Conyers stated in his declaration: “If I believed that a truly level playing field existed at the company I would have bid on numerous other positions such as Roll Guide Builder in the Beam Mill.” J.A. 1079. But the expert analysis at issue could not capture the impact of discrimination on depressed bidding rates.
. As the district court found in the context of the workers’ hostile work environment claim:
These affidavits support the Court’s conclusion that although allegations of a hostile work environment were most prevalent and severe in the Beam Mill, employees from all of the production departments were subjected to abusive behavior. Specifically, employees from every department reported seeing the Confederate flag, employees from every department reported seeing racist graffiti; and employees from every department reported receiving racially offensive e-mails. Furthermore, in several*911 instances, employees who worked in one department indicated they were harassed by employees from other departments, and many employees reported observing what they considered to be racist symbols and racist graffiti in common areas of the plant:
J.A. 10968.
. ' The dissent insists that Brown I's determination that the Nucor plant should be treated as a single facility only extended to the hostile work environment claim. Post at 945. Yet the discussion of the issue in Brown I was specifically premised on the district court’s findings regarding both the "pattern or practice” and the work environment claims. Brown I,
. We do not suggest, of course, that evidence of a hostile work environment is sufficient by itself to support a disparate treatment or disparate impact claim. Rather, we merely observe that the substantial showing of endemic prejudice at the plant — a prejudice that was allegedly tolerated and/or encouraged by management — heightens the probativeness of the workers' other evidence.
. This number includes both the 16 declarations introduced by the workers and other accounts of discrimination included in affidavits obtained by Nucor after the EEOC charge was filed. See, e.g., J.A. 5992-95, 6143-45, 6174, 6369-70, 6505-07, 7036. Of the 16 worker-filed • declarations, Byron Turner's statement fails to mention specific instances of promotions discrimination, but instead affirms that that he was "affected by the same practices that Ramon Roane and the other named plaintiffs” have raised. J.A. 1124. The dissent argues that the declaration of Walter Cook also fails to mention promotions. Post at 949. Cook’s declaration, however, states that he heard white employees talking about a black worker’s application for an Operator position. According to Cook, the employees stated they would "do everything that they could to make sure that nigger didn’t get the job.” J.A. 1075. Further, the dissent argues that the declaration from Kenneth Hubbard includes a complaint that Nu-cor in fact promoted him. Post at 949. Hubbard’s declaration, however, accuses Nucor of placing him "in the position to get [him] out of the mill and the line of progression that lead to supervisory positions.” J.A. 1097. Hubbard also observes that his trajectory at the company was dramatically different from that of a white co-worker who started at the plant at the same time and later became a supervisor. Id. Indeed, the dissent's approach to the affidavits, consistent with its approach to the anecdotal evidence throughout, appears to be to cherry pick facts from an 11,000 page record, strip those facts of context, and then argue that they undermine the substantial, credible evidence of discrimination that the workers have produced.
. There is some uncertainty about the precise size of the class. At the time the litigation began, seventy-one workers at the Nucor plant were black. Brown I,
. The dissent is thus mistaken when it asserts that we are articulating a new rule that courts categorically may not consider the affidavits obtained by companies as part of an investigation into allegations of discrimination. See post at 951-52. Instead, our analysis concerns the weight that should be given to such affidavits in these circumstances.
. Contrary to the dissent’s assertion, we do not find "in the first instance” that the worker's allegation is correct. Instead, we conclude that the district court clearly erred in finding that the allegation was not sufficiently supported by the record.
. This Court has previously observed that "[i]n a class action brought under Rule 23(b)(3), the ‘commonality’ requirement of Rule 23(a)(2) is ‘subsumed under, or superseded by, the more stringent Rule 23(b)(3) requirement that questions common to the class predominate over’ other questions.” Lienhart v. Dryvit Sys., Inc., 255 F.3d 138, 146 n. 4 (4th Cir.2001) (quoting Amchem,
. Even superficially, the district court includes its predominance analysis under the heading of “Subjectivity as a Policy,” dovetailing a discussion of commonality, instead of as a separate section of analysis. See J.A. 10954, 10956.
. The dissent also maintains that our mandate did not reach the question of predominance because we amended our original opinion in Brown I to delete a specific reference to Rule 23(b)(3). Post at 927. Such a deletion, however, did not change either our mandate to certify — a mandate that required the court to find the workers had met Rule 23(b) — or the district court's express understanding of that mandate!
Dissenting Opinion
dissenting:
We typically tread lightly when reviewing a class certification decision, affording “substantial deference” to the district court, especially when it provides “well-supported factual findings.” Ward v. Dixie Nat’l Life Ins. Co.,
The majority today declines to follow that path. It instead takes issue with almost every aspect of the district court’s decision to decertify, reversing that court’s determination because of newfound facts on appeal and different notions about the nature of this case. In doing so, the majority creates a split between this Court and another, see Bennett v. Nucor Corp.,
I. Predominance
A.
The district court decertified Plaintiffs’ promotions classes for two distinct reasons. First, the court found that Plaintiffs had not identified a “question[ ] of law or fact common to the class,” as Rule 23(a)(2) of the Federal Rules of Civil Procedure requires. Second, it held that any questions common to the class members did not “predominate over any questions affecting only individual members,” so the class could not be certified under Rule 23(b)(3). Each of these separate reasons — commonality or predominance — provide an independent ground to decertify the class. See, e.g., Thom v. Jefferson-Pilot Life Ins. Co.,
Because the district court provided two different bases for its decision, Plaintiffs were required to contest both. They did not. Plaintiffs’ opening brief nowhere mentions the topic of predominance. Neither does it refer to Rule 23(b). And even though “the main concern in the predominance inquiry” is “the balance between individual and common issues,” Myers v. Hertz Corp.,
An appellant must raise every issue that he wishes to press in his opening brief. If the appellant fails to address an issue there, then we will deem the issue waived or abandoned. We have repeated this rule so often that it might rightfully be termed the best-established rule in appellate procedure. See, e.g., Metro. Reg’l Info. Sys., Inc. v. Am. Home Realty Network,
In past cases, we have endeavored to apply our waiver rule consistently, finding waiver whenever a party fails to “develop [his] argument” — even if his brief takes a passing shot at the issue. Belk, Inc. v. Meyer Corp.,
Given that Plaintiffs failed to challenge the district court’s ruling on predominance, the plain and consistent waiver rule defeats their appeal. “[T]o obtain reversal of a district court judgment based on multiple, independent grounds, an appéllant must convince us that every stated ground for the judgment against him is incorrect.” In re Under Seal,
B.
In view of their failure to raise the predominanee issue, Plaintiffs now suggest that “[p]redominanee and eommonality ... are [both] part of Rule 23(b)(3),” such that a challenge concerning one should be treated as a challenge to both. Appellant’s Reply Br. 2. They are mistaken.
Commonality, found in Rule 23(a)(2), asks whether the proposed class will “resolve an issue that is central to the validity of each of one of the claims in one stroke.” EQT Prod. Co. v. Adair,
The majority excuses Plaintiffs’ waiver because it believes that Plaintiffs “followed the district court’s lead” in -combining the two issues. Maj. op. at 919. Thus, even though commonality and predominance are legally distinct, the majority speculates that the district court did not treat them as such here. The majority’s analysis mischaracterizes the district court’s opinion.
The district court did not just repeat back its commonality findings in determining that Plaintiffs’ class failed as to predominance. To the contrary, the court expressly held that it could not find the required predominance “even if the Fourth Circuit subsequently conelude[d] that plaintiffs have identified a common issue that satisfies Rule 23(a)(2).” J.A. 10956. The court then explained — over several pages — that many different reasons underlay its predominance finding, including several individual questions that could “overwhelm” common ones. Amgen Inc. v. Conn. Ret. Plans & Trust Funds, — U.S. -,
The district court appropriately resolved predominance separately from commonality. Plaintiffs’ failure to address the predominance finding in any way ends their appeal.
The majority at least recognizes that Plaintiffs should have been “more explicit” in addressing predominance. Maj. op. at 918; see also id. at 919 (acknowledging that Plaintiffs’ “express[ ]” arguments largely concern commonality). Even so, it concludes that certain oblique references in Plaintiffs’ briefs preserved a predominance-related challenge on appeal. They do not.
Plaintiffs’ statement of the issue on appeal, for instance, does not help them. See maj. op. at 918. The statement asks only whether “it [was] error or an abuse of discretion for the district court not to follow this Circuit’s mandate” when it decertified the class. See Appellant’s Br. 1. Here again, Plaintiffs never mention predominance, and the statement does not otherwise indicate any specific complaint with the district court’s predominance holding. Even if it had, that reference would not have been enough without some further argument on the matter — an argument that Plaintiffs wholly failed to provide. See Belk, Inc.,
The majority also ignores Plaintiffs’ waiver because their brief contains some broadly stated attacks on the district court’s decertification decision — attacks purportedly not “limit[ed] to the question of commonality.” Maj. op. at 919. But in the usual case, a generalized attack on the lower court’s decision does not preserve the specific arguments that might be subsumed within the broader one. Quite the opposite: a “generalized assertion of error” will not suffice to preserve anything. MMG Fin. Corp. v. Midwest Amusements Park, LLC,
In much the same way, Plaintiffs did not preserve their predominance challenge by citing a few cases that happen to touch upon the concept. See maj. op. at 918. The traditional rule provides that citations to the “occasional case,” without any fuller discussion, do not preserve an argument. Pike v. Guarino,
The majority’s analysis casts an inappropriate role for an appellate court. Now, a court must review each decision that an appellant cites and independently consider whether any part of it might undermine the district court’s judgment for some reason that the appellant never raised. That concept reconceives the appellate courts’ role, as those “courts do not sit as self-directed boards of legal inquiry and research.” Nat’l Aeronautics & Space Admin. v. Nelson,
D.
In the end, the majority declares itself unwilling to exercise its “discretion” to “discard years of litigation on appeal because of an inartful brief.” Maj. op. at 920. That approach seems to give pro se litigant treatment to a brief crafted by. experienced class counsel — counsel that has appeared in our court before. Surely it does not expect too much from veteran counsel to ask them to make their arguments straight up and square. All the more so when these counsel have been specifically cautioned about waiver on previous occasions. See, e.g., Davis v. Coca-Cola Bottling Co. Consol.,
The “purpose” of the preservation rule is also not served by overlooking Plaintiffs’ waiver. See maj. op. at 919-20. The rule “ensures that the opposing party has an opportunity to reflect upon and respond in writing to the arguments that his adversary is raising.” Hamilton v. Southland Christian Sch., Inc.,
E.
The majority goes on to hold that the mandate rule barred the district court from examining Rule 23(b)(3) predominance. See maj. op. at 920-22. That view is factually and legally incorrect. The decision in the prior appeal in this case did not prevent the district court in any way from considering predominance because our prior decision did not say anything about predominance.
In its original-class certification decision in 2007, the district court held that Plaintiffs did not satisfy three of Rule 23(a)’s four requirements. It expressly declined to consider “the remaining requirements of
By removing any reference to Rule 23(b), Broum I left it to the district court to determine in the first instance whether Plaintiffs’ class met that provision’s requirements. The district court complied with both the letter and the spirit of Broum I, and it correctly took “into account [the] opinion and the circumstances it embrace[d].” United States v. Bell,
On remand after Broum I, the district court initially certified the two promotions classes under Rule 23(b)(3). The court later reconsidered, as it was entitled to do under Rule 23, which provides that “[a]n order that grants or denies class certification may be altered or amended before final judgment.” Fed.R.Civ.P. 23(e)(1)(C); see also Fed.R.Civ.P. 54(b). “[Certifications are not frozen once made,” Amgen, Inc.,
In effect, the majority today certifies a Rule 23(b)(3) class action without any court ever finding that the Rule 23(b)(3) requirements are satisfied. It cannot genuinely contend that Broum I did the work,
* *
Plaintiffs did not challenge the district court’s predominance ruling and do not credibly explain why they failed to do so. The district court's decision should therefore be affirmed on-that basis alone.
II. Relevant Standards
Even ignoring Plaintiffs’ waiver of the predominance issue, they have not established that the district court abused its discretion in finding insufficient commonality. To see why, it is first necessary to recognize the standard that appellate courts use in reviewing a district court’s class-certification decision. Then, the standard that the district court used in evaluating the evidence at the certification stage must be considered.
A.
1.
A district court’s ultimate class-certification decision — that is, how it applied the Rule 23 factors — is reviewed for an abuse of discretion. See, e.g., EQT Prod. Co.,
The abuse-of-discretion standard does establish some substantial limits, representing “one of the most deferential standards of review.” Matthew Bender & Co. v. West Publ’g Co.,
Of course, deference does not equal blind acceptance. If, for instance, the district court entirely fails to undertake some part of the requisite analysis, then it may be appropriate to reverse. See, e.g., EQT Prod.,
We do not then reverse anytime we disagree with the result that the district court reaches. See First Penn-Pac. Life Ins. Co. v. Evans,
These principles might strike some as truisms, but they carry special force in the class-certification context. “Granting or denying class certification is a highly fact-intensive matter of practicality,” Monreal v. Potter,
2.
An appellate court must be even more careful in reviewing any factual findings underlying the district court’s decision, as we review- those only for clear error. Thorn,
3.
Despite these deferential standards of review, the majority identifies reversible error in virtually every legal and factual judgment that the district court rendered. Yet'in searching the majority’s opinion for any of the hallmarks of deference' — explanations as to how the district court clearly erred, or full analysis of how the district court abused its discretion — we find very little.
In truth, the majority seems to apply just about every standard of review but a deferential one. For the most part, the majority offers bare statements that the district court erred, apparently because the district court decided things differently than the majority would have. For instance, it insists that Plaintiffs’ statistical evidence is simply “less precise” and rejects out-of-hand the district court’s view that the evidence was “fundamentally unreliable.” Maj. op. at 904, 906. Likewise, it draws its own conclusions about the anecdotal evidence, reciting certain portions of certain affidavits and declaring them enough. It makes credibility determinations, categorically rejecting Nucor’s evidence as “self-serving,” id. at 906, or “coercive,” id. at 913, while embracing contrary statements from Plaintiffs because the majority finds them “credible,” id. at 913. And it offers its own notions about what is “plain,” id. at 908, “elementary,” id. at 912, or “common sense,” id. at 913. The majority does so even while decrying the dangers of “cherry pick[ing] facts from an 11,000 page record.” Id. at 913. In short, the majority opinion shows little respect for a district court that is far more familiar with each page of the record than we are.
Contravening our “axiomatic” rule against factual findings on appeal, Core Commc’ns, Inc. v. Verizon Md. LLC,
Too often, we fail to give standards of review the attention that they deserve. We see them recited in boilerplate and then dispensed with when the perceived exigencies of a case seem to call for it. But “[standards of review are ... an elemental expression of judicial restraint, which, in their deferential varieties, safeguard the superior vantage points of those entrusted with primary decisional responsibility.” Evans,
B.
We must next consider the district court’s role in deciding the certification motion in the first place. The majority implies that the district court too readily dismissed Plaintiffs’ efforts to certify. But the district court was not just permitted to
1.
Although plaintiffs shoulder the burden of demonstrating that a proposed class complies with Rule 23, thé district court has an “independent obligation to perform a rigorous analysis to ensure that all of the prerequisites have been satisfied.” EQT Prod.,
“[C]areful attention to the requirements of [Rule] 23 remains ... indispensable” even in cases “alleging racial or ethnic discrimination.” E. Tex. Motor Freight Sys., Inc. v. Rodriguez,
In basic terms, the rigorous-analysis standard tests whether plaintiffs have presented substantial evidence of compliance with Rule 23. Plaintiffs may “not simply plead” that the relevant requirements have been met, but must “actually prove” it. Halliburton,
Before certifying a class action, courts will require a plaintiff to establish by a preponderance of the evidence that the action complies with each part of Rule 23. See In re U.S. Foodservice Inc. Pricing Litig.,
2.
“[T]he' factors spelled out in Rule 23 must be addressed through findings, even if they overlap with issues on the merits.” Gariety,
3.
. Contrast these well-defined and rigorous standards with the ambiguous and limitless ones found in the majority opinion. The majority acknowledges the “rigorous analysis” that lower courts must perform, but abandons that standard soon after mentioning it. Instead, it treats the evidentiary standard for certification as one different from that required for a party to prevail on the merits, never acknowledging that this view breaks from the many courts (including those in our Circuit) that apply the preponderance standard. Nor does it even tell us what a “rigorous analysis” might consist of. Instead, it merely invokes Amgen, a case that addresses what questions may be considered on class certification, not what evidence will suffice to answer them.
One finds a further hint at the level of proof that the majority means to apply when it embraces Brown I’s metric. Maj. op. at 903. Brown I held that “allegations” of disparate treatment were enough to establish commonality, a conclusion at odds with Wal-Mart. Compare Brown I,
The majority’s decision to reanimate Brown I’s negligible evidentiary standard leaves this circuit alone on an island. The Brown I majority suggested that its lenient view of the necessary evidence aligned with the Second Circuit’s decision in Caridad v. Metro-North Commuter Railroad,
All in all, despite assurances otherwise, the majority treats Rule 23 as something akin to a pleading standard. It is not. See Wal-Mart,
III. Commonality
With the proper standards in mind, it becomes evident that the district court did not abuse its discretion in finding that Plaintiffs failed to establish commonality.
“In this case, proof of commonality necessarily overlaps with [Plaintiffs’] merits contention that [Nucor] engages in a pattern or practice of discrimination.” Wok-Mart,
A plaintiff who brings a class-wide charge of discrimination must traverse a “wide gap” between his claim of individual mistreatment and a class-wide harm. Falcon,
Plaintiffs offer two types of evidence that they say bridge the gap between individual and class-wide claims: statistical evidence and anecdotal evidence. Whether examining these two categories of evidence separately or together, the district court did not abuse its discretion in deeming the Plaintiffs’ case insufficient.
A. Statistical Evidence
1.
Plaintiffs first present a statistical study comparing a hypothesized, weighted benchmark of black bidders for promotions to the number of black employees that they assumed Nucor promoted during the relevant period. This evidence performs a double duty, as it goes to Plaintiffs’ disparate impact claim and their disparate treatment claim.
As to the disparate impact claim, this sort of statistical evidence should identify disparities that are “sufficiently substantial” to raise “an inference of causation.” Anderson v. Westinghouse Savannah River Co.,
As to the disparate treatment claim, “gross statistical disparities” “may in a proper case constitute prima facie proof of a pattern or practice of discrimination.” Hazelwood Sch. Dist. v. United States,
2.
The majority observes that Plaintiffs’ evidence is “statistically significant at 2.54 standard deviations from what would be expected if race were a neutral factor.” Maj. op. at 908. Statistical significance, however, is a necessary but not sufficient condition to finding a discriminatory practice or policy; statistical significance does not axiomatieally equate with legal signifi
Nevertheless, the majority seems to defer to Plaintiffs’ experts and assume legal significance because the statistical evidence crosses the two-standard-deviation threshold, the threshold for statistical significance at a 95% confidence level. Yet “courts of law should be extremely cautious in drawing any conclusions from standard deviations in the range of one to three.” EEOC v. Am. Nat’l Bank,
Similarly, other courts have rejected statistical evidence even though the evidence met the two-standard-deviation threshold. See, e.g., Carpenter v. Boeing Co.,
3.
Instead of assuming “that any particular number of ‘standard deviations’ ” establishes a discriminatory policy, courts must evaluate statistical evidence on a “case-by-case basis.” Watson v. Fort Worth Bank & Trust,
The duty to test the relevant statistical evidence attaches at the class certification stage, Comcast,
In this case, the district court evaluated Plaintiffs’ statistical evidence, reasonably found it wanting, and explained in detail why that was so. It should not then be said that the district court clearly erred by refusing to give weight to unconvincing evidence. And when one takes a closer look, Plaintiffs’ statistical evidence truly is fundamentally unconvincing, not just — as the majority calls it — “less precise.” Maj. op. at 904.
4.
“[Tjrial judges may evaluate the data offered to support an expert’s bottom-line opinions to determine if that data provides adequate support to mark the expert’s testimony as reliable.” Milward v. Acuity Specialty Prods. Grp., Inc.,
Plaintiffs’ own experts conceded that they used problematic data. In support of a motion to compel, one of Plaintiffs’ experts affirmed under oath that the information he had received thus far was “incomplete in a number of important ways that ma[d]e it impossible to calculate reliable statistics.” J.A. 399. Because of this “inadequate” data, the expert opined that he could not calculate “proper statistics” or perform “any of th[e] three standard forms of statistical analysis.” J.A. 403, 409. Without additional data, it was concededly “impossible to calculate ... statistical patterns that might show whether or not a common issue of fact exists in this case.” J.A. 403-04. Ultimately, the expert did not receive any of the additional data that he professed to need for a scientifically valid analysis. But, despite his sworn statements that the task was “impossible,” he and another expert nevertheless produced statistical analyses based on the “incomplete” and “inadequate” data.
Plaintiffs’ experts’ report confirms that they used incomplete data to support and reach their conclusions. For instance, even though the experts drew conclusions about positions throughout the Nucor plant, they did not employ any data from either the shipping or maintenance departments. J.A. 1154. They used only a “limited amount of data” for the remaining departments. J.A. 1153. And although Plaintiffs’ experts chose to use bidding data to determine an expected number of black promotions, they conceded that incomplete data “undermined” their “ability to use posting and bidding records to analyze [those] promotions.” J.A. 1161. Nu-cor’s expert identified other basic issues in Plaintiffs’ experts’ data that the majority opinion ignores. See J.A. 5892. For instance, Plaintiffs’ experts included a promotion won by an external candidate in their pool — even though this case only concerns internally filled promotions. They further overlooked seven selections - of
The district court did not clearly err in discrediting this incomplete work and deeming it unworthy of evidentiary weight.
5.
a.
To further understand why Plaintiffs’ statistical evidence is problematic, it helps to consider how it came about. In discovery, Nucor produced bidding packets and other promotion-related applicant data covering certain promotions from January 2001 to February 2006. Plaintiffs’ analysis of the 2001-2006 data indicated that the black selection rate fell only 0.84 standard deviations from the mean — a statistically insignificant result. See J.A. 5872. Fortunately for Plaintiffs, the district court limited the use of the actual data to the January 2001 to December 2003 period. But an analysis of that period’s data did not produce a statistically significant disparity, either. At best, analysis of the 2001-2003 data produced disparities falling only 1.53 standard deviations from the mean. See J.A. 1449.
Left with no results from actual records that suggested discrimination, Plaintiffs’ experts set about creating extrapolated “benchmark” figures for promotions bidding between December 1999 and January 2001. They began by using so-called “change-of-status” forms plucked from personnel records to identify 27 purported promotions during the period. The experts then constructed a hypothetical bidding pool by essentially guessing that bidders in early years were racially identical to bidders in later ones. See J.A. 1162. With their theoretical promotion and bid figures established, Plaintiffs’ experts then calculated an expected black promotion rate and compared it to the “actual” black promotion rate for the same period. Tied with the actual promotions figures from 2001 through 2003, Plaintiffs’ extrapolated figures produced the number on which the majority now relies — 2.54 standard deviations.
b.
Plaintiffs’ experts, however, based their extrapolations on several erroneous assumptions that render their model unreliable.
It begins with the change-of-status forms, which Nucor used to record any change of employee status. Because the forms also recorded demotions, pay increases, reassignments, and transfers, one cannot and should not assume that every form reflects a posted promotion. But up to the time that the district court decertified the promotions classes, Plaintiffs had never provided the 27 relevant change-of-status forms to the district court. Quite understandably, the district court wanted more concrete assurance that Plaintiffs’ selected forms showed'actual promotions. The district court never got that assurance, and it was “not inclined” to “take [Plaintiffs’] word for it.” J.A. 10943. Plaintiffs did eventually submit the 27 relevant change-of-status forms — but only after the district court decertified the promotions classes. As it turns out, those forms do little to dispel the concern that Plaintiffs misidentified promotions. For example, two forms seem to show transfers, not promotions, J.A. 11006 (Reynolds), 11028 (Forsell), while another just reflects training, J.A. 11029 (Green). Others do not involve pay raises, suggesting no promotion occurred. See J.A. 11006 (Haselden), 11030 (Cooper). Certain other forms are ambiguous, failing to indicate whether pay rates changed or what the nature of the position change was. See, e.g., J.A. 11022 (Anderson), 11024 (Pros-kine), 11025 (Pope). Most of the forms fail
The problems with Plaintiffs’ experts’ model continue to mount when the hypothesized bidding pools for the purported promotions are examined. Plaintiffs’ experts hypothesized that at least one black employee bid on each of the 27 assumed promotion opportunities. But that approach rejects the prospect of an all-white bidding pool during the projected period, something likely to randomly happen from time to time given Nucor’s 11% black workforce. Consequently, Nucor’s expert concluded that Plaintiffs’ experts’ model “overstat[ed] the expected number of African American selections” between December 1999 and January 2001, as the model very likely inflated the number of black bidders. J.A. 5912. And indeed, Plaintiffs’ experts calculated that black workers applied to jobs at a substantially higher pace than their actual percentage of the workforce, further suggesting some degree of inflation. Compare J.A. 1157 (noting that workforce was “11.3% African-American”), with J.A. 1162 (“The racial composi- ' tion of the bidders ... was 19.24% African-American.”).
An “inflated pool” like the one that Plaintiffs used “can undermine the validity of a statistical study to determine imbalances.” Smith v. Va. Commonwealth Univ.,
c..
The majority nevertheless dubs the extrapolated data “sound.” Maj. op. at 903. That conclusion, however, reflects an unwillingness to confront genuine concerns over statistical validity.
For instance, although admitting that the change-of-status forms are ambiguous, the majority blames Nucor for not explaining how these ambiguities would affect Plaintiffs’ statistical accuracy. Maj. op. at 905. That burden was not Nucor’s. Cf. Cooper v. Smith & Nephew, Inc.,
The majority then attempts to tie the district court’s decertification decision to the “error” that the majority mistakenly identifies in the Brown I dissent. According to the majority, the district court committed “clear factual error” by assuming that the change-of-status forms discussed in the Brown I dissent were those that Plaintiffs relied upon to build their statistical model. But here’s the rub: the district court expressly disclaimed that very assumption. The district court noted that, at the time of decertification, Plaintiffs still had not produced the relevant forms. So, it had “never seen the 27 change-ofl-status forms upon which [Plaintiffs’] experts apparently relied.” J.A. 10943. Thus, the district court cited the Brown I dissent only to emphasize the potential problems inherent in using the forms and why it needed to see them. See J.A. 10942-43. The majority’s protracted discussion of the Brown I dissent therefore does nothing to rehabilitate Plaintiffs’ evidence, resting as it does on a twofold misreading of the Brown I dissent and the district court’s decertification decision.
Nor does the majority explain why inflated black bidding rates can be excused. Rather than address that obstacle, the majority assures the reader that the problem causes only “an incremental reduction in probative value” that does not “fatally undermine the probativeness of the experts’findings.” Maj. op. at 906. But it is hard to minimize these defects so quickly when Plaintiffs’ experts offered few explanations for their assumptions or any assessment of the expected impact of those" assumptions. The experts did not say, for instance, whether black bidding rates varied during the years for which data was available. If they had shown that the rates remained steady, then one might assume that those same rates applied to the extrapolated years. But if the rates varied, then Plaintiffs’ experts’ assumptions are not sustainable. Oddly, the majority again blames Nucor for not summoning any evidence going to variation, but that tack once more reverses the burden of proof. “It is the plaintiffs’ burden to demonstrate compliance with Rule 23,” not Nucor’s. EQT Prod.,
The majority’s cited cases also involved defendants who wrongfully destroyed relevant evidence. See Lewis,
Regardless, no authority requires the district court to find extrapolated data convincing in every case. Our precedent holds just the opposite. In Allen v. Prince George’s County, 737 F.2d 1299, 1306 (4th Cir.1984), for example, the district court relied solely upon actual applicant flow data “to the exclusion of all [other] statistical evidence,” including evidence crafted from alternative benchmarks. We affirmed, emphasizing that we could not “second-guess” a fact-bound decision concerning “the relative weights to be accorded to the parties’ respective evidence.” Id. The district court here did essentially the same thing as the district court in Allen, giving weight for good reason to the actual data available to the exclusion of the speculative extrapolation evidence. As in Allen, we should not say that the district court clearly erred in doing so.
6.
a.
Plaintiffs’ statistical evidence also does not apply controls for non-discriminatory factors that could very well have caused any observed disparities. See Lowery,
The majority also tries to summon its own justifications for these omissions, implying that records were not available to control for matters like discipline. Maj. op. at 906. Even Plaintiffs’ experts conceded that they were. See J.A. 1165 (acknowledging that Nucor had maintained and produced “bidders’ training, discipline, and bidding records”); see also J.A. 5893 (Nucor’s expert observing that “separate
The failure to control for non-race-related explanatory variables “is sufficiently serious so as to weaken the statistical study’s probativeness.” Lowery,
b.
In most every employment case, a valid statistical model must account for one particularly important explanatory variable: the applicant pool’s qualifications. “[T]he relevant comparison is between the percentage of minority employees and the percentage of potential minority applicants in the qualified labor pool.” Carter v. Ball,
Plaintiffs’ experts assumed that all persons in each bidding pool were equally qualified because “only persons who decided to bid based on the posted qualifications were included.” J.A. 1162. This opaque language obscures another faulty assumption built into the model: the experts assumed that only qualified persons applied for each promotion opportunity. It takes no expertise to comprehend that some people “might be discouraged from applying because of a self-recognized inability to meet the [opening’s] standards.” Dothard v. Rawlinson,
“A statistical study that fails to correct for explanatory variables, or even to make the most elementary comparisons, has no value as causal explanation[.]” People Who Care v. Rockford Bd. of Educ.,
7.
Lastly, Plaintiffs’ statistical evidence improperly aggregates data in a way that distorts the results.
a.
The objective in a class action — even in a proceeding that alleges disparate treat
Thus, if the class challenges a policy implemented at the nationwide level, then plaintiffs might use applicable statistics showing nationwide disparities to establish the policy’s effects. Conversely, if the class challenges policies implemented on a plant-by-plant or department-by-depart- ■ ment basis, then the class must summon statistics showing disparities at that level. Otherwise, non-uniform decisions made by one discriminatory decisionmaker might create disparities that, when aggregated with other, neutral decisions, misleadingly indicate discrimination across the whole group of decisionmakers.
Wal-Mart demonstrates these concepts well. There, the plaintiffs offered statistics purporting to show regional and national disparities in employment decisions at Wal-Mart. Wal-Mart,
In requiring the plaintiffs’ statistics to be centered at the level of relevant decisionmaking, Wal-Mart did not distinguish between nationwide and other class actions. Rather, Wal-Mart asked whether the plaintiffs there were too dissimilar to bring their claims together, regardless of how many claims there might be. Thus, courts have applied principles from Wal-Mart in cases involving classes of roughly the same size as the class at issue here. See, e.g., Wang v. Chinese Daily News, Inc.,
b.
Here, as the Brown I majority agreed, the evidence indicates “that each department manager” in each of Nucor’s six production departments “has unbridled discretion to make promotions within his department utilizing whatever objective or subjective factors he wishes.” Brown I,
Plaintiffs’ own expert found that each department had its own procedures, and at least eight different criteria — not including “numerous other idiosyncratic factors”— might or might not be considered in making any employment decision. J.A. 1518— 19. “Different supervisors,” he explained, “utilized different criteria weighting schemes with little consistency among the selection officials and among the different hiring/promotion/transfer opportunities.” J.A. 1525. Taking all this dissimilarity together, the expert concluded that Nu-cor’s selection process was only “consistent in its inconsistency.” J.A. 1519.
Yet Plaintiffs’ statistical evidence incorrectly assumed the exact opposite: perfect, plant-wide consistency as to promotions. Given that promotions decisions were made at the department or supervisor level using different and independent criteria, we cannot rightfully assume that a plant-wide disparity resulted from a uniform problem arising in the same way in each Nucor department. See Wal-Mart,
We have already seen these concepts play out in another employment discrimination action involving a similar Nucor facility. Applying Wal-Mart; the Eighth Circuit rejected statistics — from the same expert — that reflected plant-wide disparities in promotions at an Arkansas Nucor plant. Bennett,
As in Bennett, Nucor here provided its own analysis that demonstrated how the statistical disparities varied among the different departments in the plant. Nucor’s expert measured how selection rates varied between white and black applicants on a department-by-department basis over the period for which bidding information was available. With proper controls applied, the expert found that race differences between departments could vary by as much as 2.44 standard deviations. J.A. 5894. In other words, some departments experienced decidedly smaller disparities in selection rates, undermining any inference of uniformity and commonality among all departments.
Given the wide variance in promotions practices at the Nucor facility, the district court did not clearly err in rejecting a statistical study that failed to account for that variance.
c.
The majority finds, however, that Nu-cor’s entire plant should be treated “as a single entity” when it comes to promotions decisions. Maj. op. at 911 (alluding to Brown I, 576 F.Sd at 158). Although the majority suggests otherwise, Brown I did not decide this issue. Brown I held that the district court should treat Nucor’s various production departments as a single facility only for purposes of Plaintiffs’ hostile work environment claim.
Nonetheless, the majority concludes that facts establishing a single hostile work environment claim also establish a common promotions policy. Maj. op. at 911-12. Yet “[djisparate treatment ... is inherently different from hostile work environment. The federal courts treat the two types of cases differently for good reason.” See Pollard v. E.I. DuPont de Nemours Co.,
In finding a common environment, Brown I focused on shared locker rooms and spaces, plant-wide email, and plant-wide radio systems.
The majority also notes that the general manager formally approved promotions in the plant. Maj. op. at 917. Without saying so explicitly, the majority seems to propose that the general manager provided some common, plant-wide direction that drove common, plant-wide disparities. Yet even the Brown I majority recognized that the general manager played no genuine role in the promotions decisionmaking process.
The majority nevertheless says the general manager engaged in “inaction.” Maj. op. at 912, 917. The majority’s theory— premised on an assumed culture of “odious , racism” and passive enabling — resembles a theory that Wal-Mart out-and-out rejected. See
Even if one assumes that such a theory were viable and relevant here, it would not prove commonality. “Inaction” — letting supervisors do as they wish — is just discretion by another name. “[I]t is a policy against having uniform employment practices.” Wal-Mart,
Nucor also used a plant-wide “dual-approval” scheme, under which promotions required approval from both “originating” and “destination” department heads. The majority sees this as a case of potential “cat’s paw” liability, wherein a non-deci'sionmaker influences the ultimate decision-maker’s choice in a discriminatory way. Maj. op. at 911-12 (citing Smith v. Bray,
The majority surmises that a discriminatory supervisor in one department could have theoretically used dual approval to inflict his animus upon employees outside his own department. But if a racist department head had tried to use the dual-approval scheme to disadvantage black workers, he would not have been able to reach all or even most of the promotions decisions in the plant, dual approval notwithstanding. A discriminatory department head in the beam mill, for instance, would have had no say when it came to a cold mill employee seeking a higher position within the cold mill, hot mill, melt shop, maintenance department, or shipping department. Perhaps, then, the majority’s concept — if properly supported with evidence — might justify a class of persons applying in and out of a particularly problematic department. In fact, the district court proposed certifying just such a class as to the beam mill. See J.A. 10953-54 & n.16. But it would not justify the plant-wide class action that Plaintiffs now mean to bring. Cf. Ellis,
In sum, the district court did not clearly err in choosing not to rely on Plaintiffs’ statistical evidence. Faced with evidence based on questionable data, uncontrolled explanatory variables, and poorly structured methodologies, the district court did not act irrationally in determining that such evidence was of negligible credence. The “troubling effects of statistical inferences require thoughtful consideration in each case,” Mister v. Ill. Cent. Gulf R.R. Co.,
B. Anecdotal Evidence
Plaintiffs also present affidavits from sixteen employees in support of certifying the promotions classes. The district court did not abuse its discretion in refusing to certify Plaintiffs’ proposed class based on this limited evidence.
In their original class certification motion, Plaintiffs never argued that anecdotal evidence, standing alone, could establish a common policy of discrimination. Rather, Plaintiffs presented the anecdotal evidence only to supplement their statistical evidence. See Brown I,
Plaintiffs made the better choice in their initial offering, as anecdotes only help tell the story. They are meant to bring “the cold numbers convincingly to life,” Teamsters,
In discrimination cases, courts move anecdotal evidence to the background because such evidence does not prove much. “Anecdotal reports ... are ordinarily more
helpful in generating lines of inquiry than in proving causation.” Federal Judicial Center, Reference Manual on Scientific Evidence 217 (2011). Individual stories say little, for instance, about the frequency of an event’s occurrence or the reasons for that occurrence. Without knowing at least those two items, it can hardly be assumed that the stories reflect a broader trend flowing directly from intentional discrimination. See Wessmann v. Gittens,
2.
The majority finds Plaintiffs’ anecdotal evidence sufficient principally because the ratio reflecting the number of affidavits alleging discrimination compared to the number of class members is purportedly
3.
What may matter more than the quantity of a plaintiffs evidence is its quality. If, for instance, the anecdotal evidence is indirect and circumstantial, the district court might justifiably probe whether that evidence truly gives rise to a necessary inference of discrimination. After all, “a district court may properly consider the quality of any anecdotal evidence.” Rossini v. Ogilvy & Mather, Inc.,
At least as to the promotions-related matters at issue in this appeal, Plaintiffs do not present compelling anecdotal evidence. Byron Turner, for instance, does not address promotions at all. Neither does Walter Joseph Cook. In-what might be an employment law first, Kenneth Hubbard complains that Nucor promoted him. See J.A. 1097; cf. Kalamazoo Cnty. Rd. Comm’n v. Deleon, — U.S. -,
Much of the anecdotal evidence also amounts to conclusory and speculative statements of personal belief. For instance, even those employees who do mention job qualifications rely almost exclusively on their personal, subjective, and unsubstantiated views of their own abilities. We usually do not give such testimony much, if any, weight. See Williams v. Giant Food Inc.,
In addition, Plaintiffs’ evidence is often so incomplete that it lacks any probative value. For example, Bernard Beaufort discusses a promotions decision that he believes “was made unfairly.” J.A. 6008. But he does not know who eventually received the job, what his or her race was, “what [the decision] was based on,” or whether “it was based on [his] race.” J.A. 6008. Other employees testify about not receiving promotions, but many of these declarants do not indicate whether they were minimally qualified for the position or whether the selected employee was of another race. Without these fundamental facts, we cannot know whether particular, promotions decisions raise even a circumstantial inference of discrimination. See Cline v. Roadway Express, Inc.,
4.
The majority concentrates on one anecdotal comment from one supervisor in the beam mill: “I don’t think we’ll ever have a black supervisor while I’m here.” J.A. 1885-86; see also maj. op. at 899, 917. That comment could be compelling evidence in a case hinging on decisions made by that particular decisionmaker. On the other hand, it might not be, as we have discounted “stray or isolated” remarks, even at summary judgment. Brinkley v. Harbour Recreation Club,
In the end, the question proves academic. A class-wide claim challenging decisions made by many different decision-makers plainly requires something more than a single comment from just one of them. We see this rule — that sparse comments are not enough for class treatment — illustrated in cases like King v. General Electric Company,
5.
a.
The district court also gave “limited weight” to almost 80 affidavits from black
The list goes on: black employees approved of management’s handling of race-related issues in the plant, see, e.g., J.A. 6109, 6215, 6480-81, 6943, explained that they were treated well, see, e.g., J.A. 6350, 6361, and often reasoned that complaints of racism from other employees were unjustified, see, e.g., J.A. 6566. Even those who felt that promotions were not made fairly often blamed factors other than race, such as a “buddy” system in which supervisors promoted friends. See, e.g., J.A. 6258, 6299, 6438, 6494. Some affidavits also directly contradicted the sixteen declarations that Plaintiffs submitted. In fact, Jacob Ravenell, Kenneth Hubbard, Robyn Spann, and Byron Turner all expressly denied that they had been denied promotions because of their race, even though Plaintiffs cite them as four of their sixteen key witnesses. See J.A. 6400, 6746, 6933, 6964, The district court had every right to weigh such self-contradictory testimony and conclude as it did. See Stevenson v. City of Seat Pleasant, Md.,
b.
Based on “[cjommon sense and prudence,” however, the majority finds yet again that the district court clearly erred — this time by finding that “potentially coercive” affidavits supported Nucor to some small degree. Maj. op. at 913. The majority’s naked credibility determination is exactly the sort of decision we are not meant to undertake on appellate review. “[W]hen a trial judge’s finding is based on his decision to credit the testimony of [a witness who] ... has told a coherent and facially plausible story that is not contradicted by extrinsic evidence, that finding, if not internally inconsistent, can virtually never be clear error.” Anderson,
The majority nevertheless adopts a self-contradictory credibility rule: statements made in support of an employer must be rejected when the employer obtains them, while statements made against the employer will be given “significant weight given the circumstances in which they were made.” Maj. op. at 914. The majority draws this distinction by assuming that an employer exercises coercive power in most any interaction with its employees. “However, it is well settled that not every interrogation of employees by Company officials constitutes coereion[.]” NLRB v. Lexington Chair Co.,
One is further left to wonder where the majority’s new imagined-coercion-based rule comes from. Generally, the purportedly “coercive nature of the employer-employee relationship ... is insufficient to demonstrate that ... [employer-employee] interviews were improper.” Slavinski v. Columbia Ass’n, Inc., No. CCB-08-890,
We also need not speculate about “potential” coercion, as the circumstances make plain that Nucor did not coerce its employees into making positive statements. No employee has claimed that the affidavits were coercive. No employee has suggested that Nucor retaliated against employees who complained of discrimination. And the contents of the affidavits do not imply coercion either. Employees evidently felt free to speak honestly, as the affidavits were not universally favorable to Nucor. See, e.g., J.A. 10950 (district court noting that the affidavits “actually bolstered the plaintiffs’ claims of a common hostile work environment”). Some employees also chose not to give statements at all. See, e.g., J.A. 6911. And still other employees made handwritten corrections to their typed affidavits, indicating that the employees had complete control over their statements. See, e.g.-, J.A. 6120.
What is more, Nucor gave each employee a written notice explaining that the interview was voluntary, that the interviews were being taken on behalf of the company, that employees could decline to participate, and that they would not face any retaliation for what they said. See, e.g., J.A. 6003. In other contexts, the Court has said that disclosures like these prevent coercion. See, e.g., Overnite Transp. Co. v. NLRB,
The majority nevertheless condemns Nucor for not informing the employees that the company might use their state
The district court did not clearly err in affording some weight to these many contrary affidavits.
6.
In addition to the affidavits supporting Nucor’s view, Plaintiffs’ affidavits must also be weighed against the company’s announced anti-discrimination policy. In Wal-Mart, the Supreme Court found that a “general policy of discrimination” was harder to find given the company’s “announced policy forbid[ding] ... discrimination and ... imposing] penalties for denials of equal opportunity.” Id. at 2553. The same holds true here. Nucor is an equal-opportunity employer with an express anti-discrimination policy that harshly penalizes employees engaging in discriminatory conduct. Nucor policies even punish supervisors who fail to put an end to their subordinates’ discriminatory conduct. The record also contains accounts of instances in which Nucor’s general manager condemned discriminatory acts and punished employees for using offensive language. This countervailing evidence supports the district court’s conclusion that, as a whole, the anecdotal evidence favored Nucor rather than Plaintiffs.
7.
a.
Aside from the qualitative and quantitative deficiencies in Plaintiffs’ anecdotal evidence, it also does not tell a plant-wide story. In Wal-Mart, plaintiffs’ anecdotal evidence failed in part because “[m]ore than half of the[] reports [we]re concentrated in only six States.”
The lack of dispersion that proved fatal to the class in Wal-Mart presents itself here. Eleven of the sixteen declarations— again, more than half — come from employees in a single department: the beam mill. No cold mill or maintenance employees are represented, while only one shipping employee and one melt shop employee appear. And as the district court recognized, when one examines the individual instances of discrimination alleged in Plaintiffs’ declarations, most of them concern just one manager and three supervisors who all worked in the beam mill. See J.A. 10951. As one black employee put it, “Whatever [wa]s happening in the beam mill [wa]s not a plant wide problem.” J.A. 6109.
b.
The majority somehow finds clear error in the district court’s finding that Plaintiffs’ accounts were concentrated in the beam mill. But it proves easy to see why the district court found what it did: Plaintiffs do not cite useful, relevant evidence from outside the beam mill. Some anecdotes fall outside the class period. See, e.g., J.A. 1085. Others involve promotions that did in fact go to a black employee. See, e.g., J.A. 1110-11. Some involve transfers, not promotions. See, e.g., J.A. 1063. Still others trace back to beam mill supervisors, not supervisors in other departments. See, e.g., J.A. 1079-80. Plaintiffs count six other instances twice. See Appellant’s Br. 9-10. And some of the cited “instances of alleged promotions dis
The district court recognized, as it should have, that the anecdotal evidence was more substantial when it came to the beam mill. For that reason, the district court explained that it was willing to certify a class of those applying out of and into the beam mill. J.A. 10953-54 & n.16. Plaintiffs never accepted the invitation, so they remain responsible for proving plant-wide commonality. That effort requires a substantial showing beyond a single department. See, e.g., Bennett,
Outside the beam mill, Plaintiffs at best present a few scattered anecdotes in each department. That’s not enough. “[A] class plaintiffs attempt to prove the existence of ... a consistent practice within a given department[ ] may fail even though discrimination against one or two individuals has been proved.” Cooper,
8.
In a last effort to save their class-wide claim, Plaintiffs make much of other facts that do not relate directly to promotions. They seem to give special attention to the facts underlying their already-certified hostile work environment claim. The -majority agrees that such evidence provides a “cultural backdrop” that renders an “equitable promotions system” essentially impossible. Maj. op. at 912. Notably, that view never appeared in Brown I, but references to Plaintiffs’ hostile work environment claims now appear at least a dozen times in the majority opinion. The majority also finds evidence of a “culture” in the alleged fact that. Nucor hired only one black supervisor before the EEOC investigation, even though “[t]he mere absence of minority employees in upper-level positions does not suffice to prove [even] a prima facie case of discrimination without a comparison to the relevant labor pool.” Carter,
We have never held that class plaintiffs may establish a common, classwide policy of discrimination with mere evidence of company “culture.” Other decisions, including Wal-Mart, reject the notion that “culture” is enough. See Wal-Mart,
We have also never held that facts establishing a hostile work environment unavoidably relate to all other employment decisions made in the same company. Such a connection would be hard to justify, as acts giving rise to a hostile work environment are only distantly related to the discrete acts that underlie disparate treatment and impact claims. “The probative value of other discriminatory acts depends ... on the nature of the discrimination charged.” Hunter v. Allis-Chalmers Corp., Engine Div.,
The “probativeness” of items like comments, jokes, and other acts “is [also] circumscribed if they were made [or done] in a situation temporally remote from the date of the employment decisions], or if they were not related to the employment decisions] in question or were made by nondecisionmakers.” McMillan v. Mass. Soc’y for Prevention of Cruelty to Animals,
At bottom, the majority concludes that we should permit Plaintiffs to pursue two class claims pertaining to promotions because they have successfully established their right to pursue a separate, distinguishable hostile-work-environment claim. Title VII does not work that way, and, rhetoric aside, the majority is unable to identify a single decision to support that kind of proposition. “In the law, the absence of precedent is no recommendation.” Dukes v. Wal-Mart, Inc.,
The district court did not clearly err in declining to give dispositive weight to evidence going to Plaintiffs’ hostile-work-environment claim when deciding whether to certify Plaintiffs’ separate promotions-related classes.
When closely examined, Plaintiffs’ anecdotal evidence proves to be just as unconvincing as their statistical proof. “Because [Plaintiffs] provide no convincing proof of a companywide discriminatory ... promotion policy, ... they have not established the existence of any common question.” Wal-Mart,
IV.
On the road to its desired result, the majority undermines well-established judicial processes, causes a rift between this Court and a co-equal circuit court without explanation, and brings substantial uncertainty to an area of law that begs for clarity.
As to judicial processes, the majority opinion evidences little respect for the role of the district court and the standard of review. The district court has lived with this matter for several years now, and it best understands how the case has developed. Its actions bespeak a court striving to scrupulously apply Rule 23’s requirements. The district court complied with our mandate, rejected more than one request to decertify from Nucor, and continually endeavored to respect findings that this’ Court has (actually) made. Yet the majority shows no concern for that effort. And it shows just as little concern for this Court’s well-established waiver rule, which should plainly apply here.
As to our sister circuits, the majority opinion begets a circuit split. The Eighth Circuit affirmed the denial of class certification in a case involving the same claims, the same experts, and the same defendant. As should be clear by now, that decision cannot be reconciled with this one. The majority never even tries to do so.
And as to cases to come, the majority’s decision will offer far more questions than answers. What standard of review really applies in this context? How much evidence must a plaintiff summon to comply with Rule 23? Does appellate waiver matter? Does class treatment of one cause of action necessarily warrant class treatment for another? Must statistical evidence prove to be reliable? Does Wal-Mart reach only nationwide class actions? Can a sufficiently “common” policy result from inaction? These are only some of the questions that the majority opinion leaves unresolved.
We should hardly take this troubled road in the name of “simple justice.” Maj. op. at 922. “ ‘Simple justice’ is achieved when a complex body of law developed over a period of years is evenhandedly applied.” San Remo Hotel, L.P. v. City & Cnty. of San Fran., Cal.,
Perhaps the Supreme Court will act to rectify the problems that are sure to follow from today’s opinion. One can only hope that it will do so soon. In the meantime, I respectfully dissent. The district court did
