JOSÉ A. CABRANES, Circuit Judge.
This case asks us to resolve a vexed and recurring question: what does it mean to be Hispanic? Specifically, it presents the question of whether "Hispanic" describes a race for purposes of § 1981 and Title VII.
Defendants the Village of Freeport, N.Y. ("Freeport" or "the Village") and its former mayor, Andrew Hardwick ("Hardwick"), appeal from a judgment of the United States District Court for the Eastern District of New York (Arthur D. Spatt, Judge) following a jury verdict for plaintiff Christopher Barrella ("Barrella"). Barrella had sued under 42 U.S.C. § 1981, Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq., and the New York State Human Rights Law ("NYSHRL"), N.Y. Exec. Law § 290 et seq., alleging that Hardwick had not appointed him chief of police because Barrella was a white Italian-American, and that Hardwick had instead appointed a less-qualified Hispanic.
Based on longstanding Supreme Court and Second Circuit precedent, we reiterate that "race" includes ethnicity for purposes of § 1981, so that discrimination based on Hispanic ancestry or lack thereof constitutes racial discrimination under that statute. We also hold that "race" should be defined the same way for purposes of Title VII. Accordingly, we reject defendants' argument that an employer who promotes a white Hispanic candidate over a white non-Hispanic candidate cannot have engaged in racial discrimination, and we
In 2009, the Village elected its first black mayor, Andrew Hardwick. Once in office, Hardwick sought to replace the Freeport Police Department's all-white "command staff"—its chief, assistant chief, and deputy chief—with officers who "shared his vision for Freeport"
Hardwick quickly identified Lieutenant Miguel Bermudez ("Bermudez") as his preferred candidate for the command staff and, ultimately, for chief of police. Bermudez—"who identifies as a member of the White race" and was born in Cuba
Filling the positions of deputy chief and assistant chief required approval by the Village Board of Trustees, of which the mayor was a member. In April 2010, Hardwick recommended to the Trustees that Bermudez be named deputy chief (the most junior of the three command staff positions), and the Trustees unanimously approved his appointment. Three months later, the mayor recommended, and the Board confirmed, Bermudez's promotion to assistant chief. That promotion made Bermudez the de facto chief of police because the nominal chief, Michael Woodward, was often absent from Freeport, as he used up his accrued leave in preparation for his pending retirement.
Unlike the positions of deputy chief and assistant chief, the Freeport Chief of Police is a civil service position for which candidates must take a promotional examination. The three highest scorers are eligible for selection by the mayor, who exercises sole control over the appointment.
After the Village announced that it would be appointing a new chief, six Freeport police lieutenants sat for a promotional examination, in March 2010. Plaintiff Christopher Barrella, a white Italian-American born in the United States, scored highest. Lieutenant Wayne Giglio, also white, earned the second-highest score. Bermudez came in third.
Barrella testified that he considered himself more qualified than Bermudez to
In November 2010, Hardwick promoted Bermudez to chief without interviewing Barrella or reviewing his resume, personnel file, or other materials related to his candidacy for the position.
In August 2011, Barrella filed a charge with the U.S. Equal Employment Opportunity Commission ("EEOC"), alleging that he had not been promoted because of his race (non-Hispanic white) and national origin (American). After the EEOC sent Barrella a "Notice of Right to Sue," he commenced this action on January 25, 2012, against Hardwick
After extensive discovery, defendants filed motions for summary judgment. On April 26, 2014, the District Court denied the motions except with respect to Barrella's claim of national-origin discrimination. The case then proceeded to trial, during which the jury heard testimony from twelve witnesses over a period of three weeks. At the conclusion of the trial, and after five days of deliberation, the jury rendered a verdict against both defendants on May 28, 2014, finding that Hardwick had intentionally discriminated against Barrella on the basis of race. The jury awarded Barrella $150,000 for lost back pay, $1,000,000 for lost future pay, and (against Hardwick only) $200,000 in punitive damages. The District Court denied defendants' motions for judgment as a matter of law under Rule 50 of the Federal Rules of Civil Procedure and for a new trial or remittitur under Rule 59. The Court also awarded attorneys' fees and costs to Barrella, but denied his motion to augment his damages to offset the negative tax consequences of receiving his lost income as a lump sum. This appeal followed.
Defendants' principal argument is that "Hispanics" do not constitute a
The parties and the District Court experienced some confusion in unraveling the legal definitions of "race" and "Hispanic," thanks partly to the federal government's less-than-straightforward use of those terms.
Compounding the confusion, the relevant terminology has changed substantially over time. In 1930, but neither before nor since, the Census counted the "Mexican" race.
Despite societal confusion regarding Hispanic identity, the existence of a Hispanic "race" has long been settled with respect to § 1981.
As a result, two people who both appear to be "white" in the vernacular sense of the term, and who would both identify as "white" on Census forms and the like, may nonetheless belong to different "races" for purposes of § 1981. Similarly, someone may belong to more than one "race" for purposes of that statute.
As defendants themselves insist, Hispanics clearly constitute an ethnic group.
In contrast to our longstanding clarity with respect to § 1981, we have not yet resolved whether Hispanics constitute a race for purposes of Title VII. Title VII obviously affords a cause of action for discrimination based on Hispanic ethnicity—but why?
Title VII provides, in relevant part, that "[i]t shall be an unlawful employment practice for an employer" to take adverse action against an employee because of that employee's "race, color, religion, sex, or national origin."
As a result, courts and litigants alike have struggled with the proper characterization of claims based on Hispanicity. Most courts have assumed that Hispanics constitute a "protected class" but without saying whether that protection derives from race or national origin.
Although we have avoided the question so far, the proper categorization of Hispanicity has important analytical implications. Section 1981 prohibits discrimination on the basis of race but not on the basis of national origin.
In the present case, the District Court decided at the summary judgment stage that Hispanic did not constitute a national origin as a matter of law.
We disagree with the District Court's ultimate decision to treat the existence vel non of a Hispanic "race" as a question of fact. The meaning of the word "race" in Title VII is, like any other question of statutory interpretation, a question of law for the court.
We reach this conclusion for two reasons. First, we analyze claims of racial discrimination identically under Title VII and § 1981 in other respects, and we see no reason why we should not do the same with respect to how we define race with for purposes of those statutes.
To be clear, a claim of discrimination based on Hispanic ethnicity or lack thereof may also be cognizable under the rubric of national-origin discrimination, depending on the particular facts of each case.
We now apply these conclusions to the present case. We review de novo a district court's decision whether to grant a motion for judgment as a matter of law pursuant to Rule 50 of the Federal Rules of Civil Procedure.
That is not the case here. Defendants offer three arguments on appeal as to why the District Court erred in denying them judgment as a matter of law: (1) "Hispanic" is not a race as a matter of law; (2) even if "Hispanic" is a race as a theoretical matter, it was not shown at trial that Bermudez and Barrella are members of different races; and (3) Hardwick should in any case be protected by qualified immunity, because it was not clearly established in 2010 that Bermudez and Barrella belonged to different races as a matter of law.
Each argument fails. As we have just established, Hispanics constitute a race as a matter of law, under both § 1981 and Title VII. And the evidence presented at trial unambiguously showed that Hardwick considered Bermudez, but not Barrella, to be Hispanic. Hardwick repeatedly identified Bermudez as Hispanic or Latino, and he frequently referred to him as the Village's "first Hispanic police chief."
Finally, we reject Hardwick's qualified-immunity argument, which contends—rather incredibly—that it was "objectively reasonable" for him to believe in 2010 that federal law did not forbid discrimination based on Hispanic ethnicity.
As is well known, "[t]he doctrine of qualified immunity shields officials from civil liability so long as their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known."
This case presents many knotty legal and factual issues. For purposes of qualified immunity, however, the question is simple. The jury found that Hardwick appointed Bermudez rather than Barrella because the former was "a White person of Hispanic origin" and the latter was "a White person of Italian origin."
The answer is plainly yes. As Hardwick acknowledges, a right is clearly established if "the Supreme Court or the Second Circuit has recognized the right."
We next consider defendants' argument that we should vacate the District Court's judgment and order a new trial because of several erroneous evidentiary rulings permitting the admission of lay opinion testimony in violation of Rule 701 of the Federal Rules of Evidence. We agree with defendants that the District Court erred in allowing several witnesses to speculate about Hardwick's motivation for various employment decisions, and that the errors warrant a new trial.
A party challenging a district court's evidentiary rulings is generally entitled to a new trial if (1) "the district court committed errors that were a clear abuse of discretion," and (2) those errors "were clearly prejudicial to the outcome of the trial, where prejudice is measured by assessing the error in light of the record as a whole."
The Village argues that the District Court abused its discretion in allowing the jury to consider unsupported lay opinion testimony regarding Hardwick's reasons for promoting Bermudez. The Village objects principally to testimony by Alfred Gros and Raymond Maguire, as well as by Anthony Miller, Shawn Randall, Debbie Zagaja, and Michael Woodward. The Village contends that these witnesses impermissibly speculated as to Hardwick's motives for various personnel decisions, in violation of Rule 701(b) of the Federal Rules of Evidence.
Rule 701 permits a lay witness—i.e., one not testifying as an expert—to testify "in the form of an opinion." But as Rule 701(b) provides, such opinion testimony is admissible only if it is "helpful to clearly understanding the witness's testimony or to determining a fact in issue."
We agree with the Village that the District Court permitted the jury to consider testimony by several witnesses that amounted to the "naked speculation" forbidden by Rule 701(b). We focus here on the testimony of Albert Gros, Freeport's former assistant chief of police, and Raymond Maguire, Hardwick's former chief of staff.
Maguire also testified that race was a motivating factor in Hardwick's personnel decisions.
In short, the District Court permitted Gros and Maguire to testify that Hardwick had recommended individuals for promotion based on their race, despite those witnesses' admissions that they had no personal knowledge of Hardwick's selection process and only the vaguest idea of the relevant candidates' qualifications. Such testimony was not helpful to the jury in the sense required by Rule 701(b), and the District Court's decision to allow the jury to consider it was an "abuse of discretion."
This error was sufficiently prejudicial to warrant a new trial. "[W]e are especially loath to regard any error as harmless in a close case," and this case "was factually very close."
Defendants presented evidence showing that Hardwick had several non-discriminatory reasons to prefer Bermudez over Barrella. Most important, Hardwick and Bermudez were longtime friends and Fire Department colleagues, while Hardwick and Barrella barely knew each other.
Barrella, for his part, offered three pieces of evidence (not counting the impermissible lay opinion testimony), each of which suffers from potential defects.
First, Barrella offered evidence that during Hardwick's tenure as mayor, the Village's hiring disproportionately favored non-whites. At the most senior level, however—the hiring with which Hardwick was most closely involved—the appointment of new department heads actually underrepresented Hispanics and overrepresented non-Hispanic whites compared to Freeport's population.
Second, Barrella argues that he had "vastly superior qualifications" to Bermudez.
Finally, Barrella points to Hardwick's repeated references to Bermudez as Freeport's "first Hispanic" or "first Latino" police chief. This last point raises some difficult questions of law, which we urge the parties and the District Court to consider carefully on remand.
We begin with the obvious point that an employer need not feign ignorance of an employee's race to avoid violating federal antidiscrimination law. Indeed, the Supreme Court has expressly acknowledged the lawfulness of affirmative-action initiatives designed to remedy past discrimination, as long as they do not employ tools, "such as quota systems, set-aside programs, and differential scoring cutoffs, which utilize express racial classifications and which prevent non-minorities from competing for specific slots."
Moreover, neither § 1981 nor Title VII categorically forbids politicians from considering an appointment's political implications. As the Seventh Circuit has observed, "it is not a violation of Title VII"—or of § 1981—"to take advantage of a situation to gain political favor."
Of course, ethnic politics is not always benign.
The line between legitimate politics and illegitimate racial discrimination can be difficult to draw in practice
Because we conclude that a new trial is required, we need not consider the parties' remaining arguments.
The Village's argument that Judge Spatt erred in this respect is meritless. As the Village rightly points out, a municipality may not be held liable under §§ 1981 or 1983 for an injury inflicted by its agents unless "the challenged acts were performed pursuant to a municipal policy or custom."
First, Barrella sued under both § 1981 and Title VII, the latter of which does indeed permit respondeat superior liability.
Second, even under § 1981, a municipality may be held liable for the actions of high-ranking officials with final policymaking authority.
To summarize, we hold as follows:
We therefore
The following table summarizes the various labels the Census has employed to track the group we now call "Hispanic." Unless otherwise specified, citations are to U.S. Census Bureau, Measuring America: The Decennial Censuses from 1790 to 2000 (2002) ("Measuring America").
Census Classification/Question "Hispanic" Responses Notes Citation Year 1930 "Color or race" "Mexican" Until 1930, "Mexicans" Measuring America at had Measuring 58 1940 "Color or race" (None) "Mexicans" once again Measuring America at became "white," unless 62, 64 were "definitely" some other race.
"Mother tongue" Spanish First time Census tabulated Humes & Hogan, ante linguistic date on note 13, at 117 native-born Americans. 1950 "White population of Based on a list of 6,000 Compiled only for five U.S. Census, Special Spanish surname" Spanish surnames compiled states (AZ, CA, CO, Reports: Person of compiled by the NM, TX). Spanish Surname 3C-3 Immigration & Naturalization (1953) Service 1960 Same as 1950 Census Census also counted U.S. Census, Special "Puerto Ricans in the Reports: Person of United States." Spanish Surname 3C-3 (1953) 1970 "Is this person's origin "Mexican"; "Puerto Measuring American at or descent—"? Rican"; "Cuban"; "Central 78 or South American"; "Other Spanish"; "No, none of these" 1980 "Is this person of "No (not Spanish/ Measuring America at Spanish/Hispanic origin or Hispanic)"; "Yes, Mexican, 84 descent?" Mexican-Amer., Chicano"; "Yes, Puerto Rican"; "Yes, Cuban"; "Yes, other Spanish/Hispanic" 1990 "Is this person of Same as 1980, except Measuring America at Spanish/Hispanic origin?" that "other Spanish/Hispanic" 91 now asked to "Print one group, for example: Argentinean, Colombian, Dominican, Nicaraguan, Salvadoran, Spaniard, and so on." 2000 "Is this person "No, not Measuring American at Spanish/Hispanic/Latino?" Spanish/Hispanic/Latino"; 100 "Yes, Mexican, Mexican Am., Chicano"; "Yes, Puerto Rican"; "Yes, Cuban"; "Yes, other Spanish/Hispanic/Latino—Print group" 2010 "Is this person of "No, not of Hispanic, A new instruction was added: U.S. Census, The Hispanic, Latino, or Latino, or Spanish origin"; "NOTE: Please answer BOTH Hispanic Spanish origin?" "Yes, Mexican, Mexican Question 5 about Hispanic Population: 2010 Am., Chicano"; "Yes, origin and Question 6 about (2011) Puerto Rican"; "Yes, race. For this census, Cuban"; "Yes, another Hispanic origins are not Hispanic, Latino, or races." Spanish origin—Print origin, for example, Argentinean, Colombian, Dominican, Nicaraguan, Salvadoran, Spaniard, and so on."
Because § 1983 does not confer any substantive rights, but "merely provides a method for vindicating federal rights elsewhere conferred," Patterson v. Cty. of Oneida, 375 F.3d 206, 225 (2d Cir.2004) (internal quotation marks omitted), we need not consider Barrella's § 1983 claims separately from his § 1981 claims.
It would seem especially inappropriate to require such a showing in the instant case, "in which the [mayor's] discretion [was] circumscribed by a promotion list limiting [him] to three choices." Carroll v. City of Mount Vernon, 707 F.Supp.2d 449, 454 n. 8 (S.D.N.Y.2010). If, as defendants maintain, Bermudez is white as a matter of law, then the results of the March 2010 promotional examination forced Hardwick to choose among three "white" candidates for chief: Barrella, Giglio, and Bermudez. Accordingly, Hardwick's ultimate decision to appoint a "white" chief in those circumstances would hardly prove the absence of discriminatory intent. Cf. Ricci v. DeStefano, 557 U.S. 557, 129 S.Ct. 2658, 174 L.Ed.2d 490 (2009) (recognizing that white and Hispanic firefighters could bring a claim under Title VII after their municipal employer voided the results of their promotional examination due to race, even if the employer intended to offer a second promotional examination that might also have led to the promotion of white and Hispanic firefighters). Nonetheless, we need not address this argument, as we conclude below that Bermudez and Barrella belong to different races for purposes of § 1981 and Title VII.
In the 1950s, a growing recognition of the unreliability of Puerto Rico's racial Census data, as well as the Puerto Rican government's conviction that racial categorization was counterproductive, led the Census Bureau to stop collecting information about race in Puerto Rico altogether. (The practice resumed with the 2000 Census.) See Jorge Duany, The Puerto Rican Nation on the Move: Identities on the Island and in the United States 252-53 (2002); Mara Loveman & Jeronimo O. Muniz, How Puerto Rico Became White: Boundary Dynamics and Intercensus Racial Reclassification, 72 Am. Soc. Rev. 915, 935 (2007).
The stakes of Mexican-Americans' "whiteness" were evident in a seminal Fourteenth Amendment case, Hernandez v. Texas, 347 U.S. 475, 479, 74 S.Ct. 667, 98 L.Ed. 866 (1954), which found that "persons of Mexican descent constitute[d] a separate class in Jackson County, [Texas,] distinct from `whites,'" whose systematic exclusion from juries was unconstitutional.
Despite occasional attempts to make one label more "correct" than the other—see, e.g., Henry Fuhrmann, Usage: `Latino' Preferred over `Hispanic', L.A. Times (July 28, 2011), http://latimesblogs.latimes.com/readers/2011/ 07/latino-preferred-over-hispanic-in-most-cases.html—both terms have respectable pedigrees. The Oxford English Dictionary records "Latino" as first appearing in English in 1946, but the word does not seem to have entered widespread use until the 1960s, see Multiple Origins, ante note 14, at 52 n. 1. "Hispanic" began to be used in its modern ethnic sense in politics and public affairs at about the same time. See, e.g., Br. of Amicus Curiae Louis J. Lefkowitz, Att'y Gen. of State of N.Y., at 39, Katzenbach v. Morgan, 384 U.S. 641 (1966) (Nos.847, 877), 1966 WL 115487. (The word itself has a much longer history in other contexts, as suggested by institutions like the Hispanic-American Historical Review (founded 1918) and the Hispanic Society of America (founded 1904).) The idea that Hispanics formed a recognizable political bloc apparently did not emerge until the 1960 presidential election, when the Associated Press ran a two sentence report that Senator John F. Kennedy had formed a national "Viva Kennedy" campaign to court "Spanish-speaking communities." Kennedy Seeks Spanish Vote, N.Y. Times, Sept. 12, 1960, at 22; see also Bonnie Angelo, Bob Kennedy Tells How His Brother Did It, Newsday, Nov. 10, 1960, at 5 (reporting the "new political development" of forming "clubs" to court voters "of Spanish extraction"); Peter Kihss, City Spanish Vote at a Record High, N.Y. Times, Nov. 2, 1960, at 30 (reporting Kennedy's predicted dominance among New York's "Puerto Rican and Spanish-speaking community"). Federal courts began using both "Hispanic" and "Latino" in the early 1970s. See Officers for Justice v. Civil Serv. Comm'n of City & Cty. of San Francisco, 371 F.Supp. 1328, 1332 (N.D.Cal.1973) (first reported use of "Latino"); Moss v. Stamford Bd. of Educ., 350 F.Supp. 879 (D.Conn.1972) (Jon O. Newman, J.) (first reported use of "Hispanic").
For the sake of consistency, we use "Hispanic," which Hispanics themselves are more likely to choose (to the extent that they wish to adopt a pan-ethnic identity at all), and which, in any event, is entirely appropriate. See Cohn, ante. "Hispanic" also sidesteps the need for awkward neologisms, such as "Latino" or "Latinx," in the name of "gender-neutral" language.
At the same time, the EEOC has recognized that discrimination based on ancestry can qualify as racial discrimination under Title VII; the EEOC has also noted the possibility of "considerable overlap" between "race" and "national origin" categories. Id. Moreover, the EEOC has suggested that discrimination complaints involving Hispanics may implicate race. See, e.g., id. (noting that "a discrimination complaint . . . by a dark-skinned Latino" might "implicate race, color, and national origin"); id. § 15-V (discussing a hypothetical "race/national origin" claim by a Hispanic); id. § 607.2 (noting that an employer might acknowledge, as part of an affirmative-action plan, that "race and national origin played a part in" selecting a "Hispanic male" instead of an "Anglo male").
In any case, we need not grapple with these nuances of Executive Branch practice. No party has argued that the Government's reading of Title VII is controlling; and the EEOC's interpretation is entitled at most to so-called Skidmore deference—i.e., "deference to the extent it has the power to persuade." Townsend v. Benjamin Enters., Inc., 679 F.3d 41, 53 (2d Cir.2012); see Univ. of Tex. Sw. Med. Ctr. v. Nassar, ___ U.S. ___, 133 S.Ct. 2517, 2533, 186 L.Ed.2d 503 (2013); Barrows v. Burwell, 777 F.3d 106, 109 n. 6 (2d Cir. 2015) ("[U]nder so-called Skidmore deference,' we give effect to an agency's non-legislative interpretation of a statute to the extent we find it persuasive." (internal quotation marks omitted) (citing Skidmore v. Swift & Co., 323 U.S. 134, 140, 65 S.Ct. 161, 89 L.Ed. 124 (1944))).
Barrella also presented evidence that "Blacks and Hispanics constituted 96 percent of seasonal hires," 69 percent of part-time hires, and 61 percent of full-time hires in the Village during Hardwick's tenure. J.A. 3091-92. However, Barrella does not suggest that Hardwick was personally involved in those hiring decisions. See also J.A. 3166 (recording Hardwick's testimony that he exercised sole appointing authority only for the position of Chief of Police).
Although Barrella had a higher test score, more degrees, and more time as a lieutenant than Bermudez, Bermudez had served longer in the Police Department, was a native and resident of Freeport, and had stronger ties to Hardwick and to the Village. J.A. 107, 113. Hardwick frequently emphasized his desire to appoint a Village resident as chief, and in fact, Police Department rules seem to have required officers to live in the Village, although the requirement was often honored in the breach. See J.A. 3120. Moreover, Hardwick testified that the outgoing chief, Michael Woodward, recommended Lieutenants Bermudez and Zagaja as his potential successors—not Barrella. J.A. 3184, 3190.
Johnson v. De Grandy, 512 U.S. 997, 1020, 114 S.Ct. 2647, 129 L.Ed.2d 775 (1994).