DUFFLY, J.
The named plaintiffs, African-American and Hispanic police officers employed by municipalities throughout the Commonwealth who are subject to the civil service law, G. L. c. 31, brought suit in the Superior Court on behalf of themselves and a class of similarly situated individuals against the defendants, the Commonwealth and the division of human resources (division). The plaintiffs alleged that the division engaged in racial discrimination through the creation, design, and administration of a multiple-choice examination for candidates seeking promotion to the position of police sergeant. According to the complaint, the plaintiffs' employing municipalities (which are not named defendants in this action) relied on a ranked list of candidates who had passed this examination in making promotional decisions. The plaintiffs maintained that, because of the examination's adverse, discriminatory impact on African-American and Hispanic candidates, they were ranked lower on the list than their nonminority counterparts, despite being equally qualified. As a result of not being included at the top of the list from which promotions were made, they were denied promotional opportunities.
A Superior Court judge granted the defendants' motion to dismiss on the grounds that the Commonwealth had not waived
1. Background. a. Prior proceedings. In 2007, the plaintiffs sued the division and the plaintiffs' municipal employers in the United States District Court for the District of Massachusetts, alleging disparate impact race discrimination in violation of a provision of Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e-2(k)(1)(A)(i) (2006) (Title VII).
b. Factual allegations. The plaintiffs filed the present suit in their individual capacities and as representatives of a class of similarly situated individuals, defined as "[a]ll Black and Hispanic police officers within the Commonwealth of Massachusetts who are employed in cities and towns covered by the
The division, an agency of the Commonwealth, creates, designs, and administers promotional examinations to candidates for promotion to police sergeant.
Municipalities that opt to use the division's examination select candidates for promotion from those at the top of a list prepared by the division, on which passing candidates are ranked by the scores they achieved on the examination. Alternatively, municipalities may choose to conduct their own promotional examinations. However, in "virtually" all municipalities at issue in this action, the division's examination was used without modification in some or all of the four relevant years.
A majority of the plaintiffs passed the examination but did not receive scores high enough to be considered for promotion. According to the complaint, as a result of the use of the division's
The complaint asserts that the division engaged in discriminatory promotion practices in violation of G. L. c. 151B, § 4 (1), (4A), and (5) (hereinafter § 4 [1], § 4 [4A], and § 4 [5], respectively). The complaint also alleges that the division violated G. L. c. 93, § 102, which provides in relevant part that all persons shall have the same rights to make and enforce contracts as those enjoyed by "white male citizens." The defendants moved to dismiss the complaint for lack of jurisdiction, Mass. R. Civ. P. 12 (b) (1), 365 Mass. 754 (1974), on the basis of sovereign immunity; or in the alternative, for failure to state a claim on which relief can be granted, Mass. R. Civ. P. 12 (b) (6), 365 Mass. 754 (1974). By a margin indorsement, the judge allowed the motion to dismiss for the reasons stated in the division's memorandum.
2. Discussion. a. Standard of review. "We review the allowance of a motion to dismiss de novo," Curtis v. Herb Chambers I-95, Inc., 458 Mass. 674, 676 (2011), accepting as true "the factual allegations in the plaintiffs' complaint, as well as any favorable inferences reasonably drawn from them." Ginther v. Commissioner of Ins., 427 Mass. 319, 322 (1998). In determining
b. Sovereign immunity. Before addressing the plaintiffs' theories of liability under G. L. c. 151B, we evaluate whether, as asserted by the plaintiffs, the Commonwealth has waived its sovereign immunity under G. L. c. 151B. As a general matter, "the Commonwealth or any of its instrumentalities `cannot be impleaded in its own courts except with its consent, and, when that consent is granted, it can be impleaded only in the manner and to the extent expressed [by] statute.'" DeRoche v. Massachusetts Comm'n Against Discrimination, 447 Mass. 1, 12 (2006) (DeRoche), quoting General Elec. Co. v. Commonwealth, 329 Mass. 661, 664 (1953). See Lopes v. Commonwealth, 442 Mass. 170, 175 (2004) ("Sovereign immunity bars a private action against a State in its own courts absent consent by the Legislature ..."). Waiver of sovereign immunity will not be lightly inferred; "[c]onsent to suit must be expressed by the terms of a statute, or appear by necessary implication from them." Woodbridge v. Worcester State Hosp., 384 Mass. 38, 42 (1981). In asserting that the Commonwealth has not consented to suit and therefore retains sovereign immunity, the division argues that express statutory waiver must authorize suit for each of the plaintiffs' particular claims under § 4 (1), (4A), and (5), in the manner and to the extent expressed in those subsections. We disagree.
General Laws c. 151B, § 9, permits "[a]ny person claiming to be aggrieved by a practice made unlawful under this chapter" to bring a civil action for damages or injunctive relief. Section 4 then delineates various practices — including alleged practices
c. Theories under G. L. c. 151B. We now consider whether the plaintiffs have stated claims for which relief can be granted on their three theories of liability under § 4. We conclude that the plaintiffs may not proceed on their claims under § 4 (1) and (5), but that they may proceed with their claim under § 4 (4A).
i. Section 4 (1). The plaintiffs allege that the division violated § 4 (1), which makes it unlawful for an employer "because of the race [or] color ... of any individual ... to discriminate against such individual in compensation or in terms, conditions or privileges of employment, unless based upon a bona fide
The indirect employment theory was first indorsed in the context of Title VII
No Massachusetts appellate decision has addressed squarely the issue whether a plaintiff can sustain a claim under § 4 (1) on an interference theory, see Thomas O'Connor Constructors, Inc. v. Massachusetts Comm'n Against Discrimination, 72 Mass.App.Ct. 549, 555-556 (2008), and we need not do so here. Even if, as a general matter, we were to conclude that § 4 (1) provides a basis for liability on an indirect employment theory, such a theory is not supported by the facts pleaded in the plaintiffs' complaint. The plaintiffs have not alleged that the division exercised the type of direct control over access to employment opportunities that was present in other cases, see Sibley, supra, and AMAE, supra, where liability under Title VII has been predicated on an interference theory by an indirect employer. Thus, the plaintiffs have failed to state a claim under § 4 (1) on which relief may be granted.
The relationship between the division and the plaintiffs here is considerably more attenuated. Although the plaintiffs allege that the promotional examination, administered by the division and ultimately used by the municipalities, has "been shown to have a significant adverse [discriminatory] impact upon minority (Black and Hispanic) test takers," they concede that the employing municipalities had the option, under G. L. c. 31, § 11, to create and administer an alternative promotional examination, and to rest promotional decisions on factors other than the examination.
ii. Section 4 (4A). Unlike § 4 (1), which by its terms prohibits discrimination by employers, the division need not be an employer to be subject to an interference claim under § 4 (4A). Under § 4 (4A), it is unlawful for "any person to coerce, intimidate, threaten, or interfere with another person in the exercise or enjoyment of any right granted or protected by [G. L. c. 151B], or to coerce, intimidate, threaten or interfere with such other person for having aided or encouraged any other person in the exercise or enjoyment of any such right granted or protected by [G. L. c. 151B]." That provision "independently and explicitly provides for an interference claim, not merely against employers, but against all `person[s].'" Thomas O'Connor Constructors, Inc. v. Massachusetts Comm'n Against Discrimination, supra at 564 (Rubin, J., concurring in the judgment and dissenting in part).
The complaint alleges that the division violated § 4 (4A) because it interfered with the plaintiffs' enjoyment of their right, pursuant to G. L. c. 151B, to be free from discrimination in the terms, conditions, and privileges of employment. The plaintiffs assert that the interference consisted of the division's repeated administration of a multiple-choice examination despite knowledge of its Statewide, adverse disparate impact on promotional opportunities for African-American and Hispanic candidates, and knowledge that the examination is not a valid predictor of job performance. The plaintiffs do not contend that the division created, designed, or administered the examination with the intent to interfere with their employment opportunities. Rather, they maintain that the division knowingly created, designed, and administered examinations on which African-American and Hispanic police officers performed disproportionately poorly compared to their nonminority counterparts in the pool of potential candidates Statewide, with the result that "few, if any minorities have been promoted" from police officer ranks
The division argues that, even accepting all of the allegations in the plaintiffs' complaint as true, their claim under § 4 (4A) fails as a matter of law: first, because that subsection only prohibits retaliation against persons who exercise their rights under G. L. c. 151B, and the plaintiffs do not allege that the division has retaliated against them; and second, because the word "interfere" in § 4 (4A) must be defined to require conduct undertaken with the "intent to deprive someone of a protected right," which the plaintiffs do not allege.
We turn first to the assertion that § 4 (4A) only prohibits acts of retaliation. To assess this argument, we consider the plain language of the statute, mindful that G. L. c. 151B "shall be construed liberally for the accomplishment of its purposes." G. L. c. 151B, § 9. "[W]e interpret the statutory language `according to the intent of the Legislature ascertained from all its words construed by the ordinary and approved usage of the language, considered in connection with the cause of its enactment, the mischief or imperfection to be remedied and the main object to be accomplished, to the end that the purpose of its framers may be effectuated.'" Garrity v. Conservation Comm'n of Hingham, 462 Mass. 779, 785 (2012), quoting Boston Police Patrolmen's Ass'n v. Boston, 435 Mass. 718, 719-720 (2002).
The language of the statute does not support the division's claim that § 4 (4A) provides protection only against retaliation. Section 4 (4A) has two clauses, only one of which (the second) provides protection against retaliation. The second clause provides that it is an unlawful practice "[f]or any person ... to coerce, intimidate, threaten or interfere with [another] person for having aided or encouraged any other person in the exercise or enjoyment of any ... right granted or protected by [c. 151B]." G. L. c. 151B, § 4 (4A). The first clause of § 4 (4A) prohibits "interfere[nce] with ... the exercise or enjoyment of any right granted or protected by this chapter." Among the rights protected by G. L. c. 151B is the right to be free from discrimination in the terms, conditions, and privileges of employment, which includes the right to equal opportunities for promotion without discrimination on the basis of race, color, or national origin. See
The cases on which the division relies, Bain v. Springfield, 424 Mass. 758, 765 (1997), and King v. Boston, 71 Mass.App.Ct. 460, 472-473 (2008), do not assist it. Those cases cite both G. L. c. 151B, § 4 (4) and (4A), in their discussion of "retaliation" claims because the plaintiffs therein alleged that the defendants interfered with their right to complain of discrimination through conduct that was also retaliatory. In those factual circumstances, the § 4 (4A) claims were described properly as retaliation claims. But, notwithstanding the fact that retaliation may also constitute interference under the second clause of § 4 (4A), retaliation is not required to establish a claim of interference under the first clause of § 4 (4A). See Pontremoli v. Spaulding Rehabilitation Hosp., 51 Mass.App.Ct. 622, 624-625, 626 n.4 (2001).
We turn next to the division's argument that the term "interfere" in § 4 (4A) encompasses only acts specifically undertaken with the intent to deprive a person of a protected right. We agree that the word "interfere" in § 4 (4A) is appropriately considered with, and interpreted in light of, the words "coerce," "intimidate," and "threaten" that precede it, and that each implies some form of intentional conduct.
A violation of a plaintiff's right to be free from discrimination in opportunities for promotion may be established by proof of the disparate impact of an employment practice on promotional opportunities for employees of a particular race, color, or national origin. Discrimination that is based on proof of disparate impact "involve[s] employment practices that are facially neutral in their treatment of different groups, but that in fact fall more harshly on one group than another." Braintree, supra at 429.
In the context of Title VII claims, the principle that facially neutral employment practices may violate Title VII, even in the absence of demonstrated discriminatory intent, has frequently been applied where standardized employment tests or other standardized criteria have had an adverse impact on hiring and promotion of minority candidates. See Watson v. Fort Worth Bank & Trust, supra at 988, and cases cited. "Nothing in the Act precludes the use of testing or measuring procedures; obviously they are useful. What Congress has forbidden is giving these devices and mechanisms controlling force unless they are demonstrably a reasonable measure of job performance." Griggs, supra at 436.
We decide today that, like a claim under § 4 (1), see note 16,
Here, the facts alleged in the plaintiffs' complaint and reasonable inferences drawn therefrom would, if true, establish that the division knowingly created and administered an examination on which African-American and Hispanic police officers perform more poorly than their nonminority counterparts; was aware that the examination is not reasonably related to job performance; and knew that utilization of the promotional examination caused a significant disparity in the ratio of African-American and Hispanic police officers promoted to the rank of sergeant as compared to the ratio of nonminority police officers so promoted. The plaintiffs assert that African-American and Hispanic candidates who were "equally as qualified" as nonminority test takers regularly take the promotional examination; based on examination results, African-American and Hispanic candidates consistently score lower than nonminorities, and thus are placed too low on the ranked eligibility lists to be hired, despite their being as qualified as nonminorities (who are hired). Based on these allegations, the complaint sets forth a plausible claim that the division's examination has a disparate impact on
It was not necessary that the plaintiffs allege that use of the division's examination led to a disparate impact on promotions in any particular, identified, employing municipality in order to state an interference claim under § 4 (4A). An allegation that a Statewide examination has been shown to disproportionately disadvantage African-American and Hispanic candidates, and is not a predictor of job performance, implies that use of the examination will have a disparate impact on the employment opportunities of at least some African-American and Hispanic police officers within the Commonwealth, by limiting the number of qualified African-American and Hispanic candidates among whom individual municipalities using the examination might seek to make promotions. Cf. AMAE, supra at 578, 582 (although there was no allegation that any individual school district had statistically significant racial disparities in hiring, Title VII applied to plaintiff teachers' claim against State of California where minority candidates disproportionately received failing
iii. Section 4 (5). The plaintiffs contend also that the division violated § 4 (5), which makes it unlawful for "any person, whether an employer or an employee or not, to aid [or] abet... the doing of any of the acts forbidden under [G. L. c. 151B] or to attempt to do so." The division maintains that this claim was dismissed properly because the plaintiffs failed to allege that the division engaged in intentional discrimination, and because the plaintiffs did not name their municipal employers as defendants. We conclude that dismissal was appropriate, although not for the reasons advanced by the division.
In order to prevail on an aiding and abetting claim under § 4 (5), a plaintiff must show (1) that the defendant committed "a wholly individual and distinct wrong ... separate and distinct from the claim in main"; (2) "that the aider or abetter shared an intent to discriminate not unlike that of the alleged principal offender"; and (3) that "the aider or abetter knew of his or her supporting role in an enterprise designed to deprive [the plaintiff] of a right guaranteed him or her under G. L. c. 151B." Harmon v. Malden Hosp., 19 Mass. Discrimination L. Rep. 157, 158 (1997).
An aiding and abetting claim under § 4 (5), however, is also "entirely derivative of the discrimination claim." Abramian v. President & Fellows of Harvard College, 432 Mass. 107, 122 (2000). As a consequence, in addition to the "individual and distinct wrong" that the defendant must be alleged to have committed, the complaint must allege the commission of an underlying act of discrimination under G. L. c. 151B, (the "main claim") by the principal offender. See Russell v. Cooley Dickinson Hosp., Inc., 437 Mass. 443, 458 n.7 (2002).
In particular, the plaintiffs have not alleged that, because of the use of the division's examination, there is a significant disparity in the ratio of African-American and Hispanic police sergeants and their corresponding numbers in entry-level police officer ranks, compared to the ratio of nonminority police sergeants and the corresponding number of nonminority entry-level officers within the police division of any particular municipality.
3. Conclusion. For the reasons stated, we affirm the dismissal of the plaintiffs' claims under G. L. c. 151B, § 4 (1); G. L. c. 151B, § 4 (5); and G. L. c. 93, § 102. We vacate the judgment dismissing the plaintiffs' G. L. c. 151B, § 4 (4A), claim, and we remand the case to the Superior Court for further proceedings consistent with this opinion.
So ordered.
CORDY, J. (dissenting in part).
I agree with the court's conclusion that the Commonwealth's human resources division (division) is not the employer of the plaintiff police officers in this case, and the plaintiffs do not have a cause of action against it or its personnel administrator under G. L. c. 151B, § 4 (1), (4), or (5), or G. L. c. 93, § 102. The employers of the police officers are the municipalities that hire and promote them. Those municipalities may elect to use the written examinations prepared by the division to assist in the promotional process, or they may conduct their own alternative promotional examinations, including supplementing the division's examinations with performance assessments. Although the plaintiffs may have a cause of action under these and other statutory provisions against their employers
I disagree with the court's conclusion that an interference claim under G. L. c. 151B, § 4 (4A) (§ 4 [4A]), can be established against a third-party nonemployer without some showing of discriminatory intent. Such a conclusion is contrary to the statute's purpose and intent as determined through the application of accepted principles of statutory construction. Consequently, I respectfully dissent.
In the context of employment, it is unlawful for an employer to discriminate against any individual because of race. G. L. c. 151B, § 4 (1). There are two accepted manners by which such employment discrimination can be demonstrated in litigation: either by way of disparate treatment (which requires a showing of discriminatory intent) or by way of disparate impact (which does not require a showing of discriminatory intent). The availability of each is dependent on the statutory language creating the cause of action. Compare Currier v. National Bd. of Med. Examiners, 462 Mass. 1, 16 (2012) ("discrimination claims set forth under the cognate Federal provisions to the equal rights act require intentional discrimination and do not permit a plaintiff to proceed under a `disparate impact' analysis"), with School Comm. of Braintree v. Massachusetts Comm'n Against Discrimination, 377 Mass. 424, 429 n.10 (1979) (noting § 4 is susceptible to both disparate impact and disparate treatment claims).
In addition to barring employment discrimination by employers, § 4 (4A) also makes it unlawful "[f]or any person to coerce, intimidate, threaten or interfere with another person in the exercise or enjoyment of any right granted or protected" by G. L. c. 151B. The question we must answer in this case is whether a claim under § 4 (4A) can be maintained without an allegation or evidence that the "person" at issue, here the Commonwealth through its division, promulgated the promotional examinations taken by the plaintiffs with the intent and purpose
There is no dispute that the words "coerce," "intimidate," and "threaten" that precede the word "interfere" in § 4 (4A) are each imbued with an element of purposefulness or intent. See Planned Parenthood League of Mass., Inc. v. Blake, 417 Mass. 467, 474, cert. denied, 513 U.S. 868 (1994) (construing language of Massachusetts Civil Rights Act [G. L. c. 12, § 11H]). Specifically, coercion is "the active domination of another's will"; intimidation involves "putting in fear for the purpose of compelling or deterring conduct"; and threatening "involves the intentional exertion of pressure to make another fearful or apprehensive of injury or harm." Id. Their presence in § 4 (4A) suggests that a cause of action brought thereunder requires such a showing. Consequently, the plaintiffs understandably seek to exploit the only ambiguity in the provision: the word "interfere." However, their argument for a broad reading that would shoehorn their claim into a provision which, for all other purposes, requires a showing of discriminatory purpose or intent is unpersuasive in light of our well-established canons of statutory interpretation.
It is fundamental that "statutory language should be given effect consistent with its plain meaning and in light of the aim of the Legislature unless to do so would achieve an illogical result." Sullivan v. Brookline, 435 Mass. 353, 360 (2001). Where, as here, the plain meaning of "interfere" is open to competing interpretations,
In light of this applicable principle of statutory construction, I would conclude that an interference claim under § 4 (4A) requires a showing of the same type of purposeful or discriminatory intent as is plainly required by acts that would constitute coercion, threats, or intimidation.
The guiding principle for analyzing the present case was articulated in Sahli v. Bull HN Info. Sys., Inc., 437 Mass. 696, 700 (2002), where an employer brought a declaratory judgment action against a former employee who, after signing a release of liability, had brought an age discrimination claim against the employer. The employee responded by filing a second discrimination claim, alleging that the filing of the declaratory judgment action was retaliation under § 4 (4) and threats, intimidation, coercion, and interference under § 4 (4A). In rejecting both claims, which we clarified constituted "separate and independent causes of action," id., we held that an "employer does not violate the provisions of either § 4 (4) or § 4 (4A), absent evidence that the employer's purpose is other than to stop conduct it reasonably believes violates the terms of the contract" (emphasis added). Sahli v. Bull HN Info. Sys, Inc., supra at 705,
Today's decision is also inconsistent with other interpretations of the statute. For instance, in Woodason v. Norton Sch. Comm., 25 Mass. Discrimination L. Rep. 62 (2003),
Similarly, in Canfield v. Con-Way Freight, Inc., 578 F.Supp.2d 235, 242 (D. Mass. 2008), the court, applying Massachusetts law, adopted the Woodason interpretation of "interference." In denying a § 4 (4A) claim, the District Court judge noted that, because there was no evidence of "deliberate disregard," which "requires an `intent to discriminate,'" the defendants could not be held liable for interference discrimination. Canfield v. Con-Way Freight, Inc., supra at 242, 243.
While language creating a cause of action may often be broad
Therefore, I respectfully dissent.
"Standard statistical analysis in discrimination cases generally takes the unprotected group and compares the treatment of that group to the treatment of the protected group to determine whether there is a statistically significant difference.... Differences, if any, can be measured in terms of absolute numbers, standard deviations or percentages." Tinkham, The Uses and Misuses of Statistical Proof in Age Discrimination Claims, 27 Hofstra Lab. & Employment L.J. 357, 358 (2010). See, e.g., Wards Cove Packing Co. v. Atonio, 490 U.S. 642, 651-653 (1989) ("if the percentage of selected applicants who are nonwhite is not significantly less than the percentage of qualified applicants who are nonwhite," selection mechanism "probably does not operate with a disparate impact on minorities"); Griggs, supra at 430-431 n.7 (use of standardized tests by defendant company "resulted in 58% of whites passing the tests, as compared with only 6% of the blacks").