United States Court of Appeals, Third Circuit
United States Court of Appeals, Third Circuit
United States Court of Appeals, Third Circuit
3d 107
Preston Hampton and Carl Bowles appeal from the district court's grant of
summary judgment in favor of all defendants on all claims that plaintiffs
brought against the Borough of Tinton Falls New Jersey, the Tinton Falls
Police Department and numerous governing officials of that borough. Hampton,
who is Black, is a Detective Sergeant with the Tinton Falls Police Department;
Bowles, who is also Black, is a former Borough employee and a named
plaintiff by virtue of his status as a resident in the borough. Plaintiffs allege
illegal discrimination in connection with the borough's decision not to promote
Hampton from sergeant to lieutenant. We hold that the district court properly
granted summary judgment on plaintiff's "disparate-impact" claim, but that the
district court erred in granting summary judgment on plaintiffs' other claims.1
Accordingly, we will affirm in part, and reverse in part, and remand the case
for further proceedings.
I.
2
subjective.
3
The PRB met in February of 1995 to review the candidates. The Board
evaluated the applicants' records and performance using ten factors, each of
which was worth ten percent of a candidate's evaluation. The categories for
evaluation included:
impressions of the candidates based upon personal experiences. The PRB gave
Turning a score of 93.875, Gonzalez a score of 90.5, Peterson a score of
77.875, and Hampton a score of 77.625.
16
The candidates also met with the ORB which consisted of Anthony Muscillo,
Joseph Torchia and Louis Napolitano. Muscillo, as stated above, is the Borough
Administrator. Torchia and Napolitano are both Public Safety Directors from
neighboring municipalities. The ORB evaluated each of the candidates'
responses to the same series of questions involving everyday police activities.
The candidates were judged on their decision-making ability, analytical ability,
communication skills, judgment and creativity. Turning received the highest
score from each of the Board members, and the highest average score of 94.83.
Gonzalez received the second highest score from each of the Board members
and had the second highest overall score of 87.93. Peterson had an average
score of 82.16 and Hampton had an average score of 76.10.
17
The scores from the PRB and the ORB were then averaged with each score
weighted equally. Turning and Gonzalez were promoted to the rank of
lieutenant, and Hampton filed a complaint with the EEOC claiming that he was
not promoted because of his race. The complaint was filed at the EEOC office
in Newark on April 12, 1995,4 but it was erroneously dated April 13, 1995.
This error caused problems because when the Borough's Personnel
Administrator (Helen Auringer) saw the incorrect EEOC filing date, she noted
that Hampton had been on duty all day on April 13, 1995, and should not have
been in Newark visiting the EEOC. As a result, an internal investigation was
initiated and on May 2, 1995, Hampton was notified that he was under
disciplinary investigation for "[g]oing to Newark on duty time to file a
complaint with [the] EEOC" and "[u]sing a department vehicle to travel to
Newark for personal business without authorization." App. at 281. The
Borough maintains that it soon discovered the typographical error and ended
the investigation without any adverse consequences to Hampton. However, it is
alleged that on August 28, 1995, without any explanation, Major White told
Hampton that he (Hampton) was being removed from the detective bureau and
reassigned to road patrol. Brief for Appellants at 12. Hampton claims that he
continues on road patrol even though White told him that the reassignment
would be temporary. Id.
II.
18
Hampton asserts several theories of recovery. Counts One to Five allege that
defendants' actions in not promoting him violated Title VII of the Civil Rights
Act of 1964, the New Jersey Law Against Discrimination, N.J.S.A. 10:5-1,
20
The district court granted summary judgment for the defendants as to all counts
of plaintiffs' complaint, and this appeal followed.
III.
21
The district court's grant of summary judgment is a final order that disposed of
all claims, and this court therefore has jurisdiction over this appeal pursuant to
28 U.S.C. 1291. Our review of the district court's summary judgment order is
plenary, and we apply the same test as the district court. Sempier v. Johnson &
Higgins, 45 F.3d 724, 727 (1995); Chipollini v. Spencer Gifts, Inc., 814 F.2d
893, 896 (3d Cir.) (in banc ), cert. dismissed, 483 U.S. 1052, 108 S.Ct. 26, 97
L.Ed.2d 815 (1987). Summary judgment is appropriate when the moving party
is entitled to judgment as a matter of law and there is no genuine dispute of
material fact. Gottshall v. Consolidated Rail Corp., 56 F.3d 530, 533 (3d
Cir.1995) (citing FED. R. CIV. P. 56(c)). In order to defeat "a properly
supported summary judgment motion, the party opposing it must present
sufficient evidence for a reasonable jury to find in its favor." Groman v.
Township of Manalapan, 47 F.3d 628, 633 (3d Cir.1995) (citing Anderson v.
Liberty Lobby, Inc., 477 U.S. 242, 250-52, 106 S.Ct. 2505, 2511-12, 91
L.Ed.2d 202 (1986)). In essence, the non-moving party must demonstrate a
dispute over facts that might affect the outcome of the suit. Id. Moreover, in
reviewing the record, we must give the non-moving party the benefit of all
reasonable inferences. Josey v. John R. Hollingsworth Corp., 996 F.2d 632, 637
(3d Cir.1993).
IV.
22
Plaintiffs' discrimination claims are based upon both disparate treatment and
disparate impact theories of discrimination.
23
" 'Disparate treatment' ... is the most easily understood type of discrimination.
The employer simply treats some people less favorably than others because of
their race, color, religion [or other protected characteristics.] Proof of
discriminatory motive is critical, although it can in some situations be inferred
from the mere fact of differences in treatment....
24
25
Hazen Paper Co. v. Biggins, 507 U.S. 604, 608-11, 113 S.Ct. 1701, 1705-06,
123 L.Ed.2d 338, 346 (1993). The district court adequately explained why
plaintiffs' disparate impact theory could not survive defendant's motion for
summary judgment, and we affirm that part of the district court's decision for
the reasons set forth by the district court. See Dist. Ct. Op., App. at 15-17.
A. Disparate Treatment Claim
26
Under the familiar shifting burdens analysis of McDonnell Douglas, a plaintiff must
27
29
[b]ecause
the factfinder may infer from the combination of the plaintiff's prima facie
case and its own rejection of the employer's proffered non-discriminatory reasons
that the employer unlawfully discriminated against the plaintiff and was merely
trying to conceal its illegal act with articulated reasons, see Hicks, 509 U.S. at 51011, 113 S.Ct. at 2749, a plaintiff who has made out a prima facie case may defeat a
motion for summary judgment by either (i) discrediting the proffered reasons, either
circumstantially or directly, or (ii) adducing evidence, whether circumstantial or
direct, that discrimination was more likely than not a motivating or determinative
cause of the adverse employment action.
30
Id. at 495 (quoting Fuentes v. Perskie, 32 F.3d 759, 764 (3d Cir.1994)).
31
Here, the district court and the defendants assumed that a prima facie case had
been established for purposes of ruling upon the defendants' summary judgment
motion. App. at 19. Thus, the burden shifted to the defendants to proffer a
legitimate, nondiscriminatory reason for failing to promote Hampton.
Defendants met that burden by attempting to demonstrate that each of the
candidates was evaluated by the same criteria, and that Turning and Gonzalez
were promoted because they had received the highest score in the PRB and
ORB evaluations, and were therefore the most qualified. Id. at 19-20. The
district court accepted defendants' explanations, and further concluded that
Hampton did not satisfy his burden of either demonstrating that defendants'
proffered reasons were pretextual or presenting other evidence from which a
factfinder could reasonably conclude that discrimination factored into the
decision to promote Turning and Gonzalez instead of him. Id. at 12. We
disagree.
32
The district court either ignored several discrepancies in the evaluation process,
or failed to give all reasonable inferences arising there from the plaintiffs as it
was required to do in ruling upon a motion for summary judgment. These
discrepancies and inferences could support (though they certainly do not
compel) a jury finding that race was a motivating factor in the decision not to
promote Hampton. When Hampton's performance evaluations were considered
by the PRB, less (if any) consideration was given to the recommendation that
Major McKeller gave him. Yet, McKeller was Hampton's supervisor at the time
of the promotion review. Major White explained the decision to minimize the
importance of McKellar's evaluation as follows:
33
A: It may have been discussed. I don't know if it was considered only because
of the evaluator.
34
35
36
37
A: Because he was in charge of the detective bureau at that time and presently
was at that time of the promotional procedure the commanding officer of the
department and he's also black.
38
Q: Why would him being black have any type of effect on whether you would
consider this particular performance evaluation?
39
A: If there was any doubt of whether or not the evaluations previous were being
considered to be inaccurate. It shows continuity.
40
41
Major White further explained that McKeller's evaluations may not have been
considered because the evaluators knew that McKeller was "pushing Preston
Hampton for a promotion at that time." App. at 245. Defendants argue that the
evaluators reasonably assumed that McKeller's evaluation was improper
because McKeller wanted Hampton to be promoted. In reviewing this
testimony the district court explained:
Hampton had been evaluated by Jantausch, who was not on the committee.
42
45
The district court, therefore, found the proffered explanation both credible and
"reasonable." In doing so, it clearly usurped the role of the jury. It does not
appear that the race of any other evaluator was a source of concern for anyone
involved in deciding who was to be promoted. It was for a jury, not a judge, to
determine if White's neutral explanation of the concern for McKellar's race was
credible and reasonable. Incredibly, (and perhaps disingenuously) defendants
now argue that Major White's testimony would not provide evidence from
which a jury could infer racial animus. We disagree.
46
47
Plaintiffs also argue that Hampton's scores in the category of "Education and
Self-Improvement" reflect a discrepancy that could give rise to a jury inference
of discrimination. In this category, Gabe Tornillo gave Hampton a score of "5,"
app. at 346, even though Hampton has an associates degree and credits from a
state college. App. at 371. By contrast, Tornillo gave Gonzalez a "10" in this
category, app. at 344, although he had yet to complete the requirements for the
degree he was pursuing. App. at 379. Defendants justify this by asserting that
the scoring discrepancy merely reflects that Gonzalez was working toward his
degree, and thus demonstrating a desire for self-improvement while he was on
the police force. Hampton, defendants argue, had already completed his degree
prior to becoming a police officer, and did not take additional courses during
his tenure with the police department.
48
Similarly, Tornillo gave Hampton (who had 18 years of service on the police
force and no demerits in his personnel file) a "6" in the category "Length and
Merit of Service." However, other candidates with less time received ratings
between "8" and "10" in this category. App. at 343-46. The district court
correctly ruled that under N.J.S.A. 40A:14-129 length of service alone would
not guarantee Hampton the promotion.7 See Gaskill v. Mayor and Comm'rs of
Avalon, 149 N.J.Super. 364, 373 A.2d 1019, 1020 (App.Div.1977) ("In our
opinion this statutory preference to those who enjoy seniority in service is
applicable where two or more candidates have approximately equal
qualifications. It is but an additional factor to be considered on the merits of the
evaluation of the individuals for promotion and not a mechanical rule which
guarantees promotion to the senior employee.").
49
50
interviewees were racially motivated, he responded that he did not know what
the motivations for the scores were or what bases were used to determine those
scores. App. at 198.
51
We decline to preclude Hampton from proceeding with this suit based upon a
statement alleged to have been made before Hampton actually filed suit. At
trial, a jury may conclude that these remarks present an insurmountable
obstacle to plaintiff's recovery, but that is neither for us, nor the district court to
determine at this time.
52
The district court stated that it found "at best, complaints of errors or omissions
on the part of the board." Dist Ct. Op. at 24. However, the district court erred in
not recognizing that the reasonable inferences that arise from these "errors and
omissions" can create a jury question. The errors and omissions can not be
dismissed as immaterial as a matter of law. Thus, we must reverse the district
court's grant of summary judgment on plaintiff's "pretext" claim.
B. Retaliation Claim
53
Hampton alleges that his rights were violated when defendants retaliated
against him by initiating an internal affairs investigation to determine whether
or not he traveled to Newark to file an EEOC complaint while he was on duty,
and subsequently, by removing him from the detective bureau and reassigning
him to road patrol without explanation. Hampton claims that this conduct was
retaliation in violation of Title VII, the New Jersey Law Against
Discrimination, and his free speech rights.
54
The district court accepted defendants' assertion that the investigation arose out
of a typographical error in plaintiffs' Verified Complaint. Defendants do not
deny that when Borough Administrator, Helen Auringer, read the Verified
Complaint without knowing the date was incorrect, Hampton was investigated.
However, defendants maintain that when it became apparent that plaintiffs'
complaint contained a typographical error, the investigation was closed. The
district court thus concluded that no adverse action had been taken against
Hampton as a result of the EEOC complaint, and that he therefore failed to
establish a prima facie case of retaliation.
55
However, the district court did not go far enough. Although the investigation
was dropped, Hampton's involuntary transfer remained. App. at 91. Hampton
maintains that on August 28, 1995, he was suddenly told by Major White that
he was being removed from the detective bureau and reassigned to road patrol.
Defendants argue that Hampton's transfer was merely a reassignment and not a
demotion, as neither Hampton's rank, nor his pay have been decreased.
Defendants' further argue that the reassignment was part of a routine rotation
schedule that requires officers to rotate from one department to another every
three to five years. Although the rotation may not be a demotion, it came on the
heels of his EEOC filing, and plaintiffs argue that the road patrol assignment is
less desirable than that of detective bureau. Moreover, Hampton remains in his
new assignment even though it was supposed to have been temporary. The
significance of these facts should be resolved by jury deliberations, not motions
for summary judgment. Accordingly, we will reverse the district court's grant
of summary judgment on plaintiff's claim of retaliation.
C. N.J.S.A. 40a:14-129
57
As noted above, Count Seven of the Complaint alleges that defendants violated
N.J.S.A. 40a:14-129 by failing to give adequate consideration to his length
and merit of service. As the district court properly noted, that statute does not
require that a promotion be governed solely by seniority. Dist. Ct. Op. at 18.
(citing Gaskill v. Mayor & Comm'rs of Avalon, 149 N.J.Super. 364, 373 A.2d
1019 (App.Div.1977)). Nevertheless, we are not prepared to hold, as a matter of
law, that a jury could not conclude that this statute was not violated even if it
concludes that Hampton's race was a factor in the defendants' failure to promote
him. Although we agree that it appears unlikely plaintiffs can prevail on this
claim, if they can prove that, but for Hampton's race, his greater seniority
would have earned him the promotion he sought, he may be able to establish a
violation of the statute. Thus, we will reverse the district court's entry of
summary judgment as to Count Seven of the Complaint as well.
V. CONCLUSION
58
For the reasons stated in the foregoing, we will vacate the order of the district
court dated October 18, 1995, and remand the matter for further proceedings
consistent with this opinion.
The claims that were dismissed include the breach of contract claim which
The claims that were dismissed include the breach of contract claim which
appears to be rooted in an alleged violation of an affirmative action policy. The
district court did not specifically discuss this claim in its opinion, nor has it
been discussed in the briefs or argument before us. Accordingly, we do not
discuss that claim as it has been abandoned
Hampton received the second highest score on the written exam. App. at 103
Sergeant Hampton, Major McKeller and Patrolperson Susan Michling were the
only Blacks serving as officers in the Department at that time
The record before us does not reveal the outcome of the EEOC complaint
See n. 1, supra