Filed: Apr. 27, 2005
Latest Update: Mar. 28, 2017
Summary: UNPUBLISHED UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT No. 03-2260 JAMES WILLIAMS, JR.; JIMMY E. MCKELVY; JAMES GILCHRIST; BOBBY LACY; ROBERT MCKITHEN, JR.; KEVIN MCKIE; ROBERT COOKS, JR.; EDWARD N. GRAY; NATHANIEL LOCKHART, on behalf of themselves and all others similarly situated, Plaintiffs - Appellants, versus WILLIAM J. HENDERSON, Postmaster General United States Postal Service, Defendant - Appellee, and RICHARD E. BARNHILL; DAVID O. BRANDON; CHARLES J. CUTTER, II; EMMA OLIVER; P
Summary: UNPUBLISHED UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT No. 03-2260 JAMES WILLIAMS, JR.; JIMMY E. MCKELVY; JAMES GILCHRIST; BOBBY LACY; ROBERT MCKITHEN, JR.; KEVIN MCKIE; ROBERT COOKS, JR.; EDWARD N. GRAY; NATHANIEL LOCKHART, on behalf of themselves and all others similarly situated, Plaintiffs - Appellants, versus WILLIAM J. HENDERSON, Postmaster General United States Postal Service, Defendant - Appellee, and RICHARD E. BARNHILL; DAVID O. BRANDON; CHARLES J. CUTTER, II; EMMA OLIVER; PE..
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UNPUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
No. 03-2260
JAMES WILLIAMS, JR.; JIMMY E. MCKELVY; JAMES
GILCHRIST; BOBBY LACY; ROBERT MCKITHEN, JR.;
KEVIN MCKIE; ROBERT COOKS, JR.; EDWARD N.
GRAY; NATHANIEL LOCKHART, on behalf of
themselves and all others similarly situated,
Plaintiffs - Appellants,
versus
WILLIAM J. HENDERSON, Postmaster General
United States Postal Service,
Defendant - Appellee,
and
RICHARD E. BARNHILL; DAVID O. BRANDON; CHARLES
J. CUTTER, II; EMMA OLIVER; PENNY JOYE; SONNY
POWELL; JOHN A. FRYE; JAMES STIH; RONALD
HOPSON; DAVID BLACK,
Defendants.
Appeal from the United States District Court for the District of
South Carolina, at Florence. Terry L. Wooten, District Judge.
(CA-99-552-4-25-BH)
Argued: February 3, 2005 Decided: April 27, 2005
Before WILKINSON, NIEMEYER, and WILLIAMS, Circuit Judges.
Affirmed by unpublished per curiam opinion.
ARGUED: Deborah Harrison Sheffield, Columbia, South Carolina, for
Appellants. David George Karro, UNITED STATES POSTAL SERVICE,
Washington, D.C., for Appellee. ON BRIEF: J. Strom Thurmond, Jr.,
United States Attorney, Barbara Murcier Bowens, Assistant United
States Attorney, Columbia, South Carolina; Lori J. Dym, Managing
Counsel, UNITED STATES POSTAL SERVICE, Washington, D.C., for
Appellee.
Unpublished opinions are not binding precedent in this circuit.
See Local Rule 36(c).
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PER CURIAM:
Nine African-American employees of the United States
Postal Service ("USPS") commenced this class action against the
Postmaster General of the USPS for denying them promotions because
of their race, in violation of Title VII of the Civil Rights Act of
1964. On the USPS's motion, the district court ruled that this
action could not proceed as a class action and, with respect to the
individual plaintiffs' claims, granted summary judgment in favor of
the USPS.
On appeal, we affirm. We agree with the district court's
decision that this case should not proceed as a class action. And
with respect to the individual defendants, we agree that none of
the employees presented sufficient evidence from which a reasonable
factfinder could conclude that the employee was denied a promotion
on the basis of race. Finally, we agree that four of the
employees' claims must be denied also because they failed to
exhaust their administrative remedies.
I
Plaintiffs Williams, McKelvy, McKie, Cooks, Lacy, and
Gray work in the maintenance craft in the Florence, South Carolina
mail processing facility of the USPS.1 Plaintiff Lockhart works as
1
Although plaintiffs Gilchrist and McKithen, who also work in
the maintenance craft at the Florence facility, filed notices of
appeal, neither has prosecuted his appeal. Accordingly, we dismiss
their appeals.
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a mail distributor at the same facility. All plaintiffs claim that
the USPS denied them promotions or discouraged them from seeking
promotions because of their race.
The USPS promotion process in the maintenance craft is a
highly formalized one. To obtain a promotion within that craft, a
postal employee must enter the USPS's "Maintenance Selection
System," which is comprised of seven steps: (1) announcement, (2)
application, (3) record review, (4) review panel evaluation, (5)
examination, (6) supervisor evaluation, and (7) results. While the
first two steps might involve various circumstances, they generally
entail the applicant's submission to the USPS of information
pertaining to his or her qualifications for a desired position.
During step (3), the USPS's National Test Administration Center
("NTAC") receives and processes the forms submitted by the
applicant and any relevant records already contained in the USPS's
database. Step (4) consists of an interview and record review by
a three-member review panel, which assesses the applicant's
qualifications for the job sought. Those qualifications are
described by "KSAs" (knowledge, skills, and abilities) that the
applicant must possess to be considered for the position. For each
relevant KSA, the review panel assigns a score to the applicant,
with 1 being the worst score and 5 being the best. During step
(5), the applicant takes a written examination, administered by the
NTAC for each relevant KSA. Step (6) requires the applicant's
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current supervisor to submit a written evaluation for each of the
relevant KSAs. The supervisor can either assign the applicant a
performance level score of 1 to 5 or, if the supervisor has no
basis on which to make an evaluation, the supervisor can give the
applicant a "CE" score (standing for "cannot evaluate"). Finally,
during step (7), the NTAC combines the applicant's scores from
steps (4) through (6) and returns the results to the USPS office
and the applicant. The applicant never sees how he or she scored
on the individual components in the evaluation process. The
applicant does, however, receive an overall score for each KSA,
which is arrived at by combining the applicant's scores from the
test, the panel review, and the supervisor evaluation in accordance
with a formula. To be eligible for the desired position, the
applicant must have achieved an overall passing score for each
relevant KSA. If the applicant has failed one or more KSAs, he can
seek to be re-evaluated only if he has received new experience or
training that might make him more qualified.
Promotions in the distribution craft, as distinct from
the maintenance craft, are handled through a less formalized
procedure than those in the maintenance craft. The applicant must
submit a job application listing his knowledge, skills, and
abilities for the desired position, and the application is then
forwarded to a review committee, which selects the most qualified
applicants to interview for the position.
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Plaintiffs Williams and McKelvy both applied in April
1996 for promotions within the maintenance craft to the position of
general mechanic but were turned down when they failed to achieve
passing scores on relevant KSAs. Both men allege that their non-
passing KSAs were the result of discriminatory evaluations written
by their supervisor, David Brandon. Specifically, both men
received a CE score on the hand tools KSA from Brandon and
ultimately received an overall "ineligible" rating for that KSA.
Williams and McKelvy both allege that Brandon had previously
observed them using hand tools and even had acknowledged their
competency with hand tools in the past. They maintain that Brandon
was motivated by racial animus to withhold a favorable evaluation.
But James Mahoney, the manager of the NTAC, testified that both
Williams and McKelvy received such low scores on the written
examination for hand tools that they could not have passed the hand
tools KSA even if they had received the highest supervisor review
possible.
Plaintiff Cooks applied for a promotion within the
maintenance craft in January 1994 but was deemed ineligible when he
failed the KSAs for applied theory and test equipment. Cooks
blames his overall ineligibility rating on the allegedly
discriminatory evaluations he received from his supervisor, Richard
Barnhill, and the review panel. Barnhill gave Cooks a CE on the
applied theory KSA, and the review panel gave him a rating of 1 on
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the test equipment KSA. According to NTAC manager Mahoney, Cooks's
scores on the written examination for applied theory and test
equipment were so low that Cooks could not have passed those KSAs
even if he had received the highest possible supervisor and review
panel scores.
Plaintiff Lacy alleges that he was denied a promotion
because of Barnhill's discriminatory conduct. In particular, the
USPS denied Lacy's request to be promoted to building equipment
mechanic or area maintenance technician after he had failed nine
relevant KSAs. Lacy claims that his overall non-passing scores on
those KSAs resulted from the low scores he received from the review
panel, which, according to Lacy, was conducted by Barnhill in a
discriminatory manner. Notwithstanding Lacy's low panel review
scores, however, NTAC manager Mahoney testified that Lacy's written
test scores for two of the KSAs were so low that no review panel
evaluation would have been high enough for him to have passed.
Plaintiff Gray never actually entered the maintenance
selection system. He alleges that he was discouraged from applying
for a promotion by his supervisor Barnhill.
Plaintiff McKie was denied a promotion in the maintenance
craft, not because he failed a relevant KSA, but because he was
passed over in favor of another qualified employee who was white.
A contributing factor in the decision to promote the white employee
was the difference between the supervisor evaluations each
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applicant received from Barnhill. McKie alleges that because
Barnhill was not familiar enough with the white applicant's
abilities to have properly compared the two, the disparity in their
applications must have been caused by racial animus.
Unlike the other plaintiffs who sought promotions in the
maintenance craft, Lockhart sought a promotion in the mail
distribution craft to the position of customer service supervisor.
He applied to both the Taylor and Greenwood post offices. The
review committee at the Taylor facility did not select Lockhart as
a finalist, but he was granted an interview for the position at the
Greenwood facility. Along with two other candidates, Lockhart was
interviewed by postmaster Steve Glinski. During the interviews,
Glinski asked 61 questions, and after scoring each applicant
according to his or her responses, offered the position to a white
applicant. Although Lockhart answered only 44.3% of the interview
questions correctly, while the chosen candidate scored 96.7%,
Lockhart claims that Glinski allowed racial animus to color his
evaluation of the applicants' answers.
The plaintiffs commenced this action contending that the
USPS discriminated against them in denying them promotions, in
violation of Title VII. Their complaint requests both injunctive
relief and monetary damages.
On cross-motions for summary judgment, the district court
ruled that the case could not proceed as a class action because
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the numerosity requirement of Rule 23 was not met, and, with
respect to each individual plaintiff, the court granted summary
judgment in favor of the USPS.
II
At the outset, we address the district court's ruling
that this case could not proceed as a class action because the
plaintiffs failed to demonstrate that the class was "so numerous
that joinder of all members is impracticable." Fed. R. Civ. P.
23(a)(1).
The plaintiffs proposed to represent a class consisting
of "[t]hose employees of the maintenance craft at the Florence Mail
Processing Facility of African-American extraction who have applied
for and been denied promotions based upon their race." The
plaintiffs presented evidence that eight individuals fell within
the class so defined. We conclude that the district court did not
abuse its discretion in concluding that such a small number of
potential class members was insufficient to maintain a class action
under Federal Rule of Civil Procedure 23. See 7A Charles Alan
Wright et al., Federal Practice and Procedure § 1762 (2d ed. 1986)
(observing that, although there is no bright-line rule for how many
members a class must have, many courts have found that classes with
fewer than thirty members do not justify a class action); see also
Cypress v. Newport News Gen. & Nonsectarian Hosp. Ass'n, 375 F.2d
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648, 653 (4th Cir. 1967) ("[U]nless an abuse is shown, the trial
court's decision on this issue [of numerosity] is final").
III
Next we address the USPS's contention that several
plaintiffs failed to exhaust their administrative remedies.
Plaintiffs Cooks, Gray, and McKie never filed complaints with the
Equal Employment Opportunity Commission ("EEOC"), and although
plaintiff Lacy filed a timely EEOC complaint, he failed to file a
complaint in federal court within 90 days after the EEOC found no
evidence of discrimination, as required by 42 U.S.C. § 2000e-16(c).
While the plaintiffs do not deny such failures, they
contend that the USPS should be equitably estopped from asserting
them as a defense. Specifically, the plaintiffs claim that the
USPS's EEOC representative failed to tell three plaintiffs who did
file EEOC complaints — Williams, McKelvy, and Gilchrist — that they
could pursue a class complaint before the EEOC under 29 C.F.R. §
1614.204. The EEOC representative allegedly told them only that
"each case had to be filed individually." But this fact, even if
true, does not permit the plaintiffs to avoid the administrative
process, and they offer no evidence that they were misinformed
about or thwarted in filing individual EEOC complaints. Although
a class complaint filed before the administrative agency might, in
certain circumstances, have preserved their claims as class
members, no one in this case made any effort to pursue a class
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complaint before the EEOC, either timely or otherwise. Any
misinformation provided by the EEOC would at most have tolled the
time for filing a class complaint; it would not have excused the
plaintiffs from having to exhaust their administrative remedies
altogether. Moreover, they did not demonstrate any qualifications
to pursue a class complaint before the EEOC. Without anything
having been presented to the EEOC about a class proceeding, it
would be inappropriate for us now to consider the issue as a basis
to recognize the plaintiffs' claim that equitable estoppel should
apply.
The plaintiffs argue that even if equitable estoppel does
not save their claims, they can piggyback their unexhausted claims
on the claims of the other plaintiffs who satisfied the exhaustion
requirement — Williams, McKelvy, and Lockhart. While it is not
clear that the plaintiffs who failed to exhaust their
administrative remedies have claims that are similar enough to the
claims of the three employees who exhausted their claims that they
could invoke a single-filing rule, we conclude that any such rule
would in any event conflict with the EEOC's procedure established
for class complaints against the government and therefore decline
to apply such a rule in the circumstances of this case. To allow
plaintiffs who have not exhausted their administrative remedies to
piggyback on EEOC complaints brought by others who are similarly
situated would subvert the purpose behind the class administrative
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procedure available to federal employees. That procedure enables
federal employees to preserve the claims of others while putting
the government on notice that it will have to defend itself against
a wider array of claims. The single-filing rule that the
plaintiffs urge us to apply fails to provide such notice and serves
no purpose that the class administrative process does not serve
equally well.
Finally, the plaintiffs contend that they need not
exhaust their administrative remedies so long as a class
representative in the federal action has exhausted his
administrative remedies. See Chisholm v. U.S. Postal Serv.,
665
F.2d 482, 490 n.11 (4th Cir. 1981) (holding that plaintiffs who
file timely individual EEOC complaints can subsequently file class
action lawsuits on behalf of similarly situated plaintiffs who have
not exhausted their administrative remedies). Of course, that
defense is not available if the federal action is not maintainable
as a class action. As we have pointed out, the district court did
not abuse its discretion in holding that a purported class of eight
members is not sufficiently large to invoke Federal Rule of Civil
Procedure 23 authorizing class actions.
Accordingly, we affirm the district court's ruling
granting summary judgment to the USPS on the claims of Cooks, Gray,
McKie, and Lacy because they failed to exhaust their administrative
remedies.
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IV
Finally, we address the plaintiffs' challenges to the
district court's rulings on the merits. The district court
concluded that none of the plaintiffs, including those who failed
to exhaust their administrative remedies, presented sufficient
evidence from which a reasonable factfinder could conclude that
they had been discriminated against on the basis of their race. We
agree.
Section 717 of Title VII of the Civil Rights Act of 1964
provides that "[a]ll personnel actions affecting employees . . . in
the United States Postal Service . . . shall be made free from any
discrimination based on race." 42 U.S.C. § 2000e-16(a). Relying
on this section to assert disparate treatment claims, the
plaintiffs alleged that the USPS failed to promote them because of
their race. In response to the USPS's motion for summary judgment,
they invoked the McDonnell Douglas framework for determining
discrimination.2 Under that approach, each plaintiff must
demonstrate (1) that he is a member of a protected group; (2) that
he applied for the position in question; (3) that he was qualified
for the position sought; and (4) that he was rejected for the
2
Part of the plaintiffs' complaint could also be understood
to be alleging a "pattern or practice" of discrimination. Because
pattern or practice claims can be asserted only in class actions,
see Lowery v. Circuit City Stores, Inc.,
158 F.3d 742, 761 (4th
Cir. 1998), vacated on other grounds,
527 U.S. 1031 (1999), we do
not address that part of their complaint in view of our ruling made
above on the class action status of this case.
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position in favor of someone not a member of the protected group in
circumstances giving rise to an inference of unlawful
discrimination. See Lowery v. Circuit City Stores, Inc.,
158 F.3d
742, 760 (4th Cir. 1998), vacated on other grounds,
527 U.S. 1031
(1999). Once the plaintiff has satisfied those criteria and
thereby established a prima facie case, a presumption of
discrimination arises, and "the burden of production shifts to the
employer to rebut the plaintiff's prima facie case by articulating
a legitimate, non-discriminatory reason for the adverse employment
action." Id. If the employer produces evidence of a non-
discriminatory reason for the promotion decision, then the
presumption of discrimination "drops from the case," and the
plaintiff bears the "ultimate burden of persuading the court that
[he] has been the victim of intentional discrimination." Texas
Dep't of Community Affairs v. Burdine,
450 U.S. 248, 255 n.10, 256
(1981). With this legal framework, we now turn to the plaintiffs'
claims.
A. Williams, McKelvy, Cooks, Lacy
Plaintiffs Williams, McKelvy, Cooks, and Lacy failed to
establish that they were qualified for the positions they sought,
the third element of a prima facie claim of discrimination.
Specifically, they failed to introduce evidence that, but for the
allegedly discriminatory reviews given by their supervisors or the
review panel, they would have met all of the KSAs required for the
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promotions they sought. The NTAC manager testified that each of
these plaintiffs scored so low on an examination for at least one
necessary KSA that he could not have passed the KSA even had he
received the highest supervisor or panel review possible. Because
the USPS uses the KSAs to determine whether candidates are
qualified for particular positions, the fact that the plaintiffs
would not have passed the necessary KSAs, even in the absence of
any discriminatory reviews, establishes that they were not
qualified for the positions for which they applied.
Attempting to prove that the KSA examination procedure
itself was a pretext for discrimination, the plaintiffs suggest
that white employees might have had access to testing materials
prior to taking the exams. They also attempt to undermine the
credibility of NTAC manager Mahoney's testimony that the
plaintiffs' exam scores were so low that they could not have passed
the necessary KSAs by asserting that the scoring process was
"shrouded in secrecy." These arguments are, however, mere
speculation and do not create a triable question of fact. See
Ennis v. Nat'l Ass'n of Bus. and Educ. Radio, Inc.,
53 F.3d 55, 62
(4th Cir. 1995) ("Mere unsupported speculation . . . is not enough
to defeat a summary judgment motion").
B. Gray
Plaintiff Gray failed to establish that he applied for
the position in question, the second element of a prima facie case
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of discrimination. In an unsuccessful attempt to overcome that
failure, Gray alleges that he intended to apply for a level-5
maintenance position in March 1998 but changed his mind when his
supervisor, Richard Barnhill, told him that no level-5 positions
would be open in the near future. Not only does Gray fail to offer
any proof that Barnhill's statement was untrue, but even if untrue,
he fails to point to any evidence that Barnhill intentionally
misled Gray because of his race. Gray simply has not advanced
evidence necessary to support a prima facie case for Title VII
discrimination.
C. McKie and Lockhart
While both McKie and Lockhart may have established a
prima facie case under the McDonnell Douglas framework, neither has
presented sufficient evidence to rebut the USPS's proof that it had
a nondiscriminatory reason for its decision not to promote him.
Specifically, the USPS asserts that McKie was passed over
in favor of a white applicant because Barnhill's evaluation of the
two applicants reflected the fact that the white applicant had
background experience in the electronics field, which made him a
better candidate for the position. While McKie notes that Barnhill
did not have much of an opportunity to observe either applicant on
the job, McKie has not presented any evidence that it was against
USPS policy for supervisors to take into account an applicant's
background experience when evaluating him. Even though McKie may
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have possessed the skills necessary for the position, that fact
does not undermine the USPS's conclusion that the other applicant
possessed superior skills.
Similarly, the USPS met its burden of producing evidence
that Lockhart was denied supervisor positions at the Greenwood and
Taylor facilities for legitimate reasons. Glinski, the postmaster
responsible for making the final promotion decision at the
Greenwood facility, testified that he chose the white candidate
over Lockhart because the white employee performed better during
his interview. To support his claim that this reason for denying
him the position at the Greenwood facility was pretextual, Lockhart
points to the subjective nature of some of the interview questions
and notes that Glinski did not actually record the candidates'
answers. But such evidence, even when combined with Lockhart's
prima facie case, would not enable a reasonable factfinder to
conclude that Lockhart was discriminated against. First, the
proportion of subjective questions asked during the interviews was
too small to account for the vast discrepancy between the interview
scores of Lockhart and the other applicant — 44.3% correct versus
96.7% correct. Second, the fact that Glinski did not specifically
record the candidates' interview answers does not tend to show that
he lied about their performances or that he ultimately chose the
white candidate over Lockhart because of Lockhart's race.
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Explaining the decision not to interview Lockhart for the
position at the Taylor facility, one of the review panel members
testified that, based on the candidates' applications, Lockhart was
less qualified than five other applicants. Lockhart responded to
that evidence by claiming that he had a more extensive educational
background than any of the candidates that were chosen to be
interviewed for the position. But Lockhart failed to rebut the
USPS's evidence that the interviews were granted, not on the basis
of the candidates' educational achievements, but on the basis of
their answers to questions on their applications that asked the
applicants to describe situations demonstrating their knowledge and
abilities in particular skills areas.
In short, neither McKie nor Lockhart introduced
sufficient evidence to create a factual question as to whether he
was denied a promotion by reason of his race.
V
For the foregoing reasons, we affirm the judgment of the
district court.
AFFIRMED
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