PRICE WATERHOUSE v. HOPKINS, 490 U.S. 228 (1989) 109 S.Ct. 1775
PRICE WATERHOUSE v. HOPKINS
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE DISTRICT OF
COLUMBIA CIRCUIT
No. 87-1167.
Argued October 31, 1988
Decided May 1, 1989
Respondent was a senior manager in an office of petitioner professional
accounting partnership when she was proposed for partnership in 1982.
She was neither offered nor denied partnership but instead her candidacy
was held for reconsideration the following year. When the partners
in her office later refused to repropose her for partnership, she sued
petitioner in Federal District Court under Title VII of the Civil Rights
Act of 1964, charging that it had discriminated against her on the basis
of sex in its partnership decisions. The District Court ruled in
respondent's favor on the question of liability, holding that petitioner
had unlawfully discriminated against her on the basis of sex by
consciously giving credence and effect to partners' comments about her
that resulted from sex stereotyping. The Court of Appeals affirmed. Both
courts held that an employer who has allowed a discriminatory motive to
play a part in an employment decision must prove by clear and convincing
evidence that it would have made the same decision in the absence of
discrimination, and that petitioner had not carried this burden.
Held: The judgment is reversed, and the case is remanded.
263 U.S.App.D.C. 321, 825 F.2d 458, reversed and remanded.
JUSTICE BRENNAN, joined by JUSTICE MARSHALL, JUSTICE BLACKMUN,
and JUSTICE STEVENS, concluded that when a plaintiff in a Title
VII case proves that her gender played a part in an employment decision,
the defendant may avoid a finding of liability by proving by a
preponderance of the evidence that it would have made the same decision
even if it had not taken the plaintiff's gender into account. The courts
below erred by requiring petitioner to make its proof by clear and
convincing evidence. Pp. 237-258.
(a) The balance between employee rights and employer prerogatives
established by Title VII by eliminating certain bases for distinguishing
among employees while otherwise preserving employers' freedom of
choice is decisive in this case. The words "because of" in § 703(a)(1) of
the Act, which forbids an employer to make an adverse decision against
an employee "because of such individual's . . . sex," requires looking at
all of the reasons, both legitimate and illegitimate, contributing to the
decision at the time it is made. The preservation of employers' freedom
of choice means that an employer will not be liable if it can prove that,
if
Page 229
it had not taken gender into account, it would have come to the same
decision. This Court's prior decisions demonstrate that the plaintiff
who shows that an impermissible motive played a motivating part in an
adverse employment decision thereby places the burden on the defendant
to show that it would have made the same decision in the absence of
the unlawful motive. Here, petitioner may not meet its burden by
merely showing that respondent's interpersonal problems  abrasiveness
with staff members  constituted a legitimate reason for denying her
partnership; instead, petitioner must show that its legitimate reason,
standing alone, would have induced petitioner to deny respondent
partnership. Pp. 239-252.
(b) Conventional rules of civil litigation generally apply in Title
VII cases, and one of these rules is that the parties need only prove
their case by a preponderance of the evidence. Pp. 252-255.
(c) The District Court's finding that sex stereotyping was permitted
to play a part in evaluating respondent as a candidate for partnership
was not clearly erroneous. This finding is not undermined by the fact
that many of the suspect comments made about respondent were made
by partners who were supporters rather than detractors. Pp. 255-258.
JUSTICE WHITE, although concluding that the Court of Appeals erred
in requiring petitioner to prove by clear and convincing evidence that it
would have reached the same employment decision in the absence of the
improper motive, rather than merely requiring proof by a preponderance
of the evidence as in Mt. Healthy City Bd. of Ed. v. Doyle, 429 U.S. 274,
which sets forth the proper approach to causation in this case, also
concluded that the plurality here errs in seeming to require, at least in
most cases, that the employer carry its burden by submitting objective
evidence that the same result would have occurred absent the unlawful
motivation. In a mixed-motives case, where the legitimate motive found
would have been ample grounds for the action taken, and the employer
credibly testifies that the action would have been taken for the
legitimate reasons alone, this should be ample proof, and there is no
special requirement of objective evidence. This would even more plainly
be the case where the employer denies any illegitimate motive in the
first place but the court finds that illegitimate, as well as legitimate,
factors motivated the adverse action. Pp. 258-261.
JUSTICE O'CONNOR, although agreeing that on the facts of this case,
the burden of persuasion should shift to petitioner to demonstrate by a
preponderance of the evidence that it would have reached the same
decision absent consideration of respondent's gender, and that this
burden shift is properly part of the liability phase of the litigation,
concluded that the plurality misreads Title VII's substantive causation
requirement to command burden shifting if the employer's decisional
process is
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"tainted" by awareness of sex or race in any way, and thereby effectively
eliminates the requirement. JUSTICE O'CONNOR also concluded that the
burden shifting rule should be limited to cases such as the present in
which the employer has created uncertainty as to causation by knowingly
giving substantial weight to an impermissible criterion. Pp. 261-279.
(a) Contrary to the plurality's conclusion, Title VII's plain language
making it unlawful for an employer to undertake an adverse employment
action "because of" prohibited factors and the statute's legislative
history demonstrate that a substantive violation only occurs when
consideration of an illegitimate criterion is the "but-for" cause of the
adverse action. However, nothing in the language, history, or purpose of
the statute prohibits adoption of an evidentiary rule which places the
burden of persuasion on the defendant to demonstrate that legitimate
concerns would have justified an adverse employment action where the
plaintiff has convinced the factfinder that a forbidden factor played a
substantial role in the employment decision. Such a rule has been adopted
in tort and other analogous types of cases, where leaving the burden of
proof on the plaintiff to prove "but-for" causation would be unfair or
contrary to the deterrent purposes embodied in the concept of duty of
care. Pp. 262-269.
(b) Although the burden shifting rule adopted here departs from the
careful framework established by McDonnell Douglas Corp. v. Green,
411 U.S. 792, and Texas Dept. of Community Affairs v. Burdine,
450 U.S. 248  which clearly contemplate that an individual disparate
treatment plaintiff bears the burden of persuasion throughout the
litigation  that departure is justified in cases such as the
present where the plaintiff, having presented direct evidence that the
employer placed substantial, though unquantifiable, reliance on a
forbidden factor in making an employment decision, has taken her proof as
far as it could go, such that it is appropriate to require the defendant,
which has created the uncertainty as to causation by considering the
illegitimate criterion, to show that its decision would have been
justified by wholly legitimate concerns. Moreover, a rule shifting the
burden in these circumstances will not conflict with other Title VII
policies, particularly its prohibition on preferential treatment based on
prohibited factors. Watson v. Fort Worth Bank & Trust, 487 U.S. 977,
distinguished. Pp. 270-276.
(c) Thus, in order to justify shifting the burden on the causation
issue to the defendant, a disparate treatment plaintiff must show by
direct evidence that decisionmakers placed substantial negative reliance
on an illegitimate criterion in reaching their decision. Such a showing
entitles the factfinder to presume that the employer's discriminatory
animus made a difference in the outcome, and, if the employer fails to
carry its burden of persuasion, to conclude that the employer's decision
was made "because of" consideration of the illegitimate factor, thereby
satisfying
Page 231
the substantive standard for liability under Title VII. This burden
shifting rule supplements the McDonnell Douglas-Burdine framework,
which continues to apply where the plaintiff has failed to satisfy the
threshold standard set forth herein. Pp. 276-279.
BRENNAN, J., announced the judgment of the Court and delivered an
opinion, in which MARSHALL, BLACKMUN, and STEVENS, JJ., joined.
WHITE, J., post, p. 258, and O'CONNOR, J., post, p. 261, filed opinions
concurring in the judgment. KENNEDY, J., filed a dissenting opinion, in
which REHNQUIST, C.J., and SCALIA, J., joined, post, p. 279.
Kathryn A. Oberly argued the cause for petitioner. With
her on the briefs were Paul M. Bator, Douglas A. Poe,
Eldon Olson, and Ulric R. Sullivan.
James H. Heller argued the cause for respondent. With
him on the brief was Douglas B. Huron.[fn*]
[fn*] Page 231
Robert E. Williams and Douglas S. McDowell filed a brief for the
Equal Employment Advisory Council as amicus curiae urging reversal.
Briefs of amici curiae urging affirmance were filed for the American
Federation of Labor and Congress of Industrial Organizations by Marsha
S. Berzon and Laurence Gold; for the American Psychological Association
by Donald N. Bersoff; for the Committees on Civil Rights, Labor and
Employment Law, and Sex and Law of the Association of the Bar of the City
of New York by Jonathan Lang, Eugene S. Friedman, Arthur Leonard,
and Colleen McMahon; and for the NOW Legal Defense and Education
Fund et al. by Sarah E. Burns, Lynn Hecht Schafran, Joan E. Bertin,
John A. Powell, and Donna R. Lenhoff.
Solicitor General Fried, Assistant Attorney General Reynolds, Deputy
Solicitor General Merrill, Deputy Assistant Attorney General Clegg,
Brian J. Martin, and David K. Flynn filed a brief for the United States as
amicus curiae.
JUSTICE BRENNAN announced the judgment of the Court
and delivered an opinion, in which JUSTICE MARSHALL, JUSTICE
BLACKMUN, and JUSTICE STEVENS join.
Ann Hopkins was a senior manager in an office of Price
Waterhouse when she was proposed for partnership in 1982.
She was neither offered nor denied admission to the partnership;
instead, her candidacy was held for reconsideration the
following year. When the partners in her office later refused
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to repropose her for partnership, she sued Price
Waterhouse under Title VII of the Civil Rights Act of 1964,
78 Stat. 253, as amended, 42 U.S.C. § 2000e et seq., charging
that the firm had discriminated against her on the basis
of sex in its decisions regarding partnership. Judge Gesell
in the Federal District Court for the District of Columbia
ruled in her favor on the question of liability, 618 F. Supp. 1109
(1985), and the Court of Appeals for the District of Columbia
Circuit affirmed. 263 U.S.App.D.C. 321, 825 F.2d 458
(1987). We granted certiorari to resolve a conflict
among the Courts of Appeals concerning the respective burdens
of proof of a defendant and plaintiff in a suit under Title
VII when it has been shown that an employment decision resulted
from a mixture of legitimate and illegitimate motives.
485 U.S. 933 (1988).
I
At Price Waterhouse, a nationwide professional accounting
partnership, a senior manager becomes a candidate for partnership
when the partners in her local office submit her name
as a candidate. All of the other partners in the firm are then
invited to submit written comments on each candidate â€â€
either on a "long" or a "short" form, depending on the partner's
degree of exposure to the candidate. Not every partner
in the firm submits comments on every candidate. After
reviewing the comments and interviewing the partners who
submitted them, the firm's Admissions Committee makes a
recommendation to the Policy Board. This recommendation
will be either that the firm accept the candidate for partnership,
put her application on "hold," or deny her the promotion
outright. The Policy Board then decides whether to submit
the candidate's name to the entire partnership for a vote, to
"hold" her candidacy, or to reject her. The recommendation
of the Admissions Committee, and the decision of the Policy
Board, are not controlled by fixed guidelines: a certain number
of positive comments from partners will not guarantee a
candidate's admission to the partnership, nor will a specific
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quantity of negative comments necessarily defeat her application.
Price Waterhouse places no limit on the number of
persons whom it will admit to the partnership in any given
year.
Ann Hopkins had worked at Price Waterhouse's Office of
Government Services in Washington, D.C., for five years
when the partners in that office proposed her as a candidate
for partnership. Of the 662 partners at the firm at that time,
7 were women. Of the 88 persons proposed for partnership
that year, only 1  Hopkins  was a woman. Forty-seven of
these candidates were admitted to the partnership, 21 were
rejected, and 20  including Hopkins  were "held" for reconsideration
the following year.[fn1] Thirteen of the 32 partners
who had submitted comments on Hopkins supported her
bid for partnership. Three partners recommended that her
candidacy be placed on hold, eight stated that they did not
have an informed opinion about her, and eight recommended
that she be denied partnership.
In a jointly prepared statement supporting her candidacy,
the partners in Hopkins' office showcased her successful 2-year
effort to secure a $25 million contract with the Department
of State, labeling it "an outstanding performance" and
one that Hopkins carried out "virtually at the partner level."
Plaintiff's Exh. 15. Despite Price Waterhouse's attempt at
trial to minimize her contribution to this project, Judge Gesell
Page 234
specifically found that Hopkins had "played a key role in
Price Waterhouse's successful effort to win a multi-million
dollar contract with the Department of State."
618 F. Supp., at 1112. Indeed, he went on, "[n]one of the other
partnership candidates at Price Waterhouse that year had a
comparable record in terms of successfully securing major
contracts for the partnership." Ibid.
The partners in Hopkins' office praised her character as
well as her accomplishments, describing her in their joint
statement as "an outstanding professional" who had a "deft
touch," a "strong character, independence and integrity."
Plaintiff's Exh. 15. Clients appear to have agreed with
these assessments. At trial, one official from the State Department
described her as "extremely competent, intelligent,"
"strong and forthright, very productive, energetic and
creative." Tr. 150. Another high-ranking official praised
Hopkins' decisiveness, broadmindedness, and "intellectual
clarity"; she was, in his words, "a stimulating conversationalist."
Id., at 156-157. Evaluations such as these led Judge
Gesell to conclude that Hopkins "had no difficulty dealing
with clients and her clients appear to have been very pleased
with her work" and that she "was generally viewed as a
highly competent project leader who worked long hours,
pushed vigorously to meet deadlines and demanded much
from the multidisciplinary staffs with which she worked."
618 F. Supp., at 1112-1113.
On too many occasions, however, Hopkins' aggressiveness
apparently spilled over into abrasiveness. Staff members
seem to have borne the brunt of Hopkins' brusqueness.
Long before her bid for partnership, partners evaluating her
work had counseled her to improve her relations with staff
members. Although later evaluations indicate an improvement,
Hopkins' perceived shortcomings in this important
area eventually doomed her bid for partnership. Virtually
all of the partners' negative remarks about Hopkins  even
those of partners supporting her  had to do with her "interpersonal
Page 235
skills." Both "[s]upporters and opponents of her
candidacy," stressed Judge Gesell, "indicated that she was
sometimes overly aggressive, unduly harsh, difficult to work
with and impatient with staff." Id., at 1113.
There were clear signs, though, that some of the partners
reacted negatively to Hopkins' personality because she was a
woman. One partner described her as "macho" (Defendant's
Exh. 30); another suggested that she "overcompensated for
being a woman" (Defendant's Exh. 31); a third advised her to
take "a course at charm school" (Defendant's Exh. 27). Several
partners criticized her use of profanity; in response, one
partner suggested that those partners objected to her swearing
only "because it's a lady using foul language." Tr. 321.
Another supporter explained that Hopkins "ha[d] matured
from a tough-talking somewhat masculine hard-nosed mgr to
an authoritative, formidable, but much more appealing lady
ptr candidate." Defendant's Exh. 27. But it was the man
who, as Judge Gesell found, bore responsibility for explaining
to Hopkins the reasons for the Policy Board's decision to
place her candidacy on hold who delivered the coup de grace:
in order to improve her chances for partnership, Thomas
Beyer advised, Hopkins should "walk more femininely, talk
more femininely, dress more femininely, wear make-up, have
her hair styled, and wear jewelry." 618 F. Supp., at 1117.
Dr. Susan Fiske, a social psychologist and Associate Professor
of Psychology at Carnegie-Mellon University, testified
at trial that the partnership selection process at Price
Waterhouse was likely influenced by sex stereotyping. Her
testimony focused not only on the overtly sex-based comments
of partners but also on gender-neutral remarks, made
by partners who knew Hopkins only slightly, that were intensely
critical of her. One partner, for example, baldly
stated that Hopkins was "universally disliked" by staff (Defendant's
Exh. 27), and another described her as "consistently
annoying and irritating" (ibid.); yet these were people
who had had very little contact with Hopkins. According to
Page 236
Fiske, Hopkins' uniqueness (as the only woman in the pool of
candidates) and the subjectivity of the evaluations made it
likely that sharply critical remarks such as these were the
product of sex stereotyping  although Fiske admitted that
she could not say with certainty whether any particular comment
was the result of stereotyping. Fiske based her opinion
on a review of the submitted comments, explaining that it
was commonly accepted practice for social psychologists to
reach this kind of conclusion without having met any of the
people involved in the decisionmaking process.
In previous years, other female candidates for partnership
also had been evaluated in sex-based terms. As a general
matter, Judge Gesell concluded, "[c]andidates were viewed
favorably if partners believed they maintained their femin[in]ity
while becoming effective professional managers"; in
this environment, "[t]o be identified as a `women's lib[b]er'
was regarded as [a] negative comment."
618 F. Supp., at 1117. In fact, the judge found that in previous years "[o]ne
partner repeatedly commented that he could not consider any
woman seriously as a partnership candidate and believed that
women were not even capable of functioning as senior managers
 yet the firm took no action to discourage his comments
and recorded his vote in the overall summary of the evaluations."
Ibid.
Judge Gesell found that Price Waterhouse legitimately emphasized
interpersonal skills in its partnership decisions, and
also found that the firm had not fabricated its complaints
about Hopkins' interpersonal skills as a pretext for discrimination.
Moreover, he concluded, the firm did not give
decisive emphasis to such traits only because Hopkins was a
woman; although there were male candidates who lacked
these skills but who were admitted to partnership, the judge
found that these candidates possessed other, positive traits
that Hopkins lacked.
The judge went on to decide, however, that some of the
partners' remarks about Hopkins stemmed from an impermissibly
Page 237
cabined view of the proper behavior of women, and
that Price Waterhouse had done nothing to disavow reliance
on such comments. He held that Price Waterhouse had unlawfully
discriminated against Hopkins on the basis of sex by
consciously giving credence and effect to partners' comments
that resulted from sex stereotyping. Noting that Price
Waterhouse could avoid equitable relief by proving by clear
and convincing evidence that it would have placed Hopkins'
candidacy on hold even absent this discrimination, the judge
decided that the firm had not carried this heavy burden.
The Court of Appeals affirmed the District Court's ultimate
conclusion, but departed from its analysis in one particular:
it held that even if a plaintiff proves that discrimination
played a role in an employment decision, the defendant
will not be found liable if it proves, by clear and convincing
evidence, that it would have made the same decision in the
absence of discrimination. 263 U.S. App. D.C., at 333-334,
825 F.2d, at 470-471. Under this approach, an employer
is not deemed to have violated Title VII if it proves
that it would have made the same decision in the absence of
an impermissible motive, whereas under the District Court's
approach, the employer's proof in that respect only avoids equitable
relief. We decide today that the Court of Appeals
had the better approach, but that both courts erred in requiring
the employer to make its proof by clear and convincing
evidence.
II
The specification of the standard of causation under Title
VII is a decision about the kind of conduct that violates that
statute. According to Price Waterhouse, an employer violates
Title VII only if it gives decisive consideration to an employee's
gender, race, national origin, or religion in making a
decision that affects that employee. On Price Waterhouse's
theory, even if a plaintiff shows that her gender played a part
in an employment decision, it is still her burden to show that
the decision would have been different if the employer had
Page 238
not discriminated. In Hopkins' view, on the other hand, an
employer violates the statute whenever it allows one of these
attributes to play any part in an employment decision. Once
a plaintiff shows that this occurred, according to Hopkins,
the employer's proof that it would have made the same decision
in the absence of discrimination can serve to limit equitable
relief but not to avoid a finding of liability.[fn2] We conclude
that, as often happens, the truth lies somewhere in between.
Page 239
A
In passing Title VII, Congress made the simple but momentous
announcement that sex, race, religion, and national
origin are not relevant to the selection, evaluation, or compensation
of employees.[fn3] Yet, the statute does not purport
to limit the other qualities and characteristics that employers
may take into account in making employment decisions.
The converse, therefore, of "for cause" legislation,[fn4] Title VII
eliminates certain bases for distinguishing among employees
while otherwise preserving employers' freedom of choice.
This balance between employee rights and employer prerogatives
turns out to be decisive in the case before us.
Congress' intent to forbid employers to take gender into
account in making employment decisions appears on the face
of the statute. In now-familiar language, the statute forbids
Page 240
an employer to "fail or refuse to hire or to discharge any individual,
or otherwise to discriminate with respect to his compensation,
terms, conditions, or privileges of employment,"
or to "limit, segregate, or classify his employees or applicants
for employment in any way which would deprive or tend to
deprive any individual of employment opportunities or otherwise
adversely affect his status as an employee, because of
such individual's . . . sex." 42 U.S.C. § 2000e-2(a)(1), (2)
(emphasis added).[fn5] We take these words to mean that
gender must be irrelevant to employment decisions. To construe
the words "because of" as colloquial shorthand for "but-for
causation," as does Price Waterhouse, is to misunderstand
them.[fn6]
But-for causation is a hypothetical construct. In determining
whether a particular factor was a but-for cause of a
given event, we begin by assuming that that factor was
present at the time of the event, and then ask whether, even
if that factor had been absent, the event nevertheless would
have transpired in the same way. The present, active tense
of the operative verbs of § 703(a)(1) ("to fail or refuse"), in
contrast, turns our attention to the actual moment of the
Page 241
event in question, the adverse employment decision. The
critical inquiry, the one commanded by the words of
§ 703(a)(1), is whether gender was a factor in the employment
decision at the moment it was made. Moreover, since we
know that the words "because of" do not mean "solely because
of,"[fn7] we also know that Title VII meant to condemn
even those decisions based on a mixture of legitimate and illegitimate
considerations. When, therefore, an employer
considers both gender and legitimate factors at the time of
making a decision, that decision was "because of" sex and the
other, legitimate considerations  even if we may say later, in
the context of litigation, that the decision would have been
the same if gender had not been taken into account.
To attribute this meaning to the words "because of" does
not, as the dissent asserts, post, at 282, divest them of causal
significance. A simple example illustrates the point. Suppose
two physical forces act upon and move an object, and
suppose that either force acting alone would have moved the
object. As the dissent would have it, neither physical force
was a "cause" of the motion unless we can show that but for
one or both of them, the object would not have moved; apparently
both forces were simply "in the air" unless we can identify
at least one of them as a but-for cause of the object's
movement. Ibid. Events that are causally overdetermined,
in other words, may not have any "cause" at all. This
cannot be so.
We need not leave our common sense at the doorstep when
we interpret a statute. It is difficult for us to imagine that,
in the simple words "because of," Congress meant to obligate
a plaintiff to identify the precise causal role played by legitimate
and illegitimate motivations in the employment decision
she challenges. We conclude, instead, that Congress meant
Page 242
to obligate her to prove that the employer relied upon sex-based
considerations in coming to its decision.
Our interpretation of the words "because of" also is supported
by the fact that Title VII does identify one circumstance
in which an employer may take gender into account in
making an employment decision, namely, when gender is a
"bona fide occupational qualification [(BFOQ)] reasonably
necessary to the normal operation of th[e] particular business
or enterprise." 42 U.S.C. § 2000e-2(e). The only plausible
inference to draw from this provision is that, in all other
circumstances, a person's gender may not be considered in
making decisions that affect her. Indeed, Title VII even forbids
employers to make gender an indirect stumbling block to
employment opportunities. An employer may not, we have
held, condition employment opportunities on the satisfaction
of facially neutral tests or qualifications that have a disproportionate,
adverse impact on members of protected groups
when those tests or qualifications are not required for performance
of the job. See Watson v. Fort Worth Bank &
Trust, 487 U.S. 977 (1988); Griggs v. Duke Power Co.,
401 U.S. 424 (1971).
To say that an employer may not take gender into account
is not, however, the end of the matter, for that describes only
one aspect of Title VII. The other important aspect of the
statute is its preservation of an employer's remaining freedom
of choice. We conclude that the preservation of this
freedom means that an employer shall not be liable if it can
prove that, even if it had not taken gender into account, it
would have come to the same decision regarding a particular
person. The statute's maintenance of employer prerogatives
is evident from the statute itself and from its history,
both in Congress and in this Court.
To begin with, the existence of the BFOQ exception shows
Congress' unwillingness to require employers to change the
very nature of their operations in response to the statute.
And our emphasis on "business necessity" in disparate-impact
Page 243
cases, see Watson and Griggs, and on "legitimate,
nondiscriminatory reason[s]" in disparate-treatment cases,
see McDonnell Douglas Corp. v. Green, 411 U.S. 792, 802
(1973); Texas Dept. of Community Affairs v. Burdine,
450 U.S. 248 (1981), results from our awareness of Title VII's
balance between employee rights and employer prerogatives.
In McDonnell Douglas, we described as follows Title VII's
goal to eradicate discrimination while preserving workplace
efficiency: "The broad, overriding interest, shared by employer,
employee, and consumer, is efficient and trustworthy
workmanship assured through fair and racially neutral employment
and personnel decisions. In the implementation of
such decisions, it is abundantly clear that Title VII tolerates
no racial discrimination, subtle or otherwise."
411 U.S., at 801.
When an employer ignored the attributes enumerated in
the statute, Congress hoped, it naturally would focus on the
qualifications of the applicant or employee. The intent to
drive employers to focus on qualifications rather than on
race, religion, sex, or national origin is the theme of a good
deal of the statute's legislative history. An interpretive
memorandum entered into the Congressional Record by Senators
Case and Clark, comanagers of the bill in the Senate, is
representative of this general theme.[fn8] According to their
memorandum, Title VII "`expressly protects the employer's
right to insist that any prospective applicant, Negro or
white, must meet the applicable job qualifications. Indeed,
the very purpose of title VII is to promote hiring on the basis
of job qualifications, rather than on the basis of race or
color.'"[fn9] 110 Cong. Rec. 7247 (1964) quoted in Griggs v.
Page 244
Duke Power Co., supra, at 434. The memorandum went on:
"To discriminate is to make a distinction, to make a difference
in treatment or favor, and those distinctions or differences in
treatment or favor which are prohibited by section 704 are
those which are based on any five of the forbidden criteria:
race, color, religion, sex, and national origin. Any other criterion
or qualification for employment is not affected by this
title." 110 Cong. Rec. 7213 (1964).
Many other legislators made statements to a similar effect;
we see no need to set out each remark in full here. The central
point is this: while an employer may not take gender into
account in making an employment decision (except in those
very narrow circumstances in which gender is a BFOQ), it is
free to decide against a woman for other reasons. We think
these principles require that, once a plaintiff in a Title VII
case shows that gender played a motivating part in an employment
decision, the defendant may avoid a finding of liability[fn10]
only by proving that it would have made the same
Page 245
decision even if it had not allowed gender to play such a role.
This balance of burdens is the direct result of Title VII's balance
of rights.
Our holding casts no shadow on Burdine, in which we decided
that, even after a plaintiff has made out a prima facie
case of discrimination under Title VII, the burden of persuasion
does not shift to the employer to show that its stated
legitimate reason for the employment decision was the true
reason. 450 U.S., at 256-258. We stress, first, that neither
Page 246
court below shifted the burden of persuasion to Price
Waterhouse on this question, and in fact, the District Court
found that Hopkins had not shown that the firm's stated reason
for its decision was pretextual.
618 F. Supp., at 1114-1115. Moreover, since we hold that the plaintiff retains
the burden of persuasion on the issue whether gender
played a part in the employment decision, the situation before
us is not the one of "shifting burdens" that we addressed
in Burdine. Instead, the employer's burden is most appropriately
deemed an affirmative defense: the plaintiff must
persuade the factfinder on one point, and then the employer,
if it wishes to prevail, must persuade it on another. See
NLRB v. Transportation Management Corp., 462 U.S. 393,
400 (1983).[fn11]
Price Waterhouse's claim that the employer does not bear
any burden of proof (if it bears one at all) until the plaintiff
has shown "substantial evidence that Price Waterhouse's explanation
for failing to promote Hopkins was not the `true
reason' for its action" (Brief for Petitioner 20) merely restates
its argument that the plaintiff in a mixed-motives case
Page 247
must squeeze her proof into Burdine's framework. Where a
decision was the product of a mixture of legitimate and illegitimate
motives, however, it simply makes no sense to ask
whether the legitimate reason was "the `true reason'" (Brief
for Petitioner 20 (emphasis added)) for the decision  which is
the question asked by Burdine. See Transportation Management,
supra, at 400, n. 5.[fn12] Oblivious to this last point,
the dissent would insist that Burdine's framework perform
work that it was never intended to perform. It would require
a plaintiff who challenges an adverse employment decision
in which both legitimate and illegitimate considerations
played a part to pretend that the decision, in fact, stemmed
from a single source  for the premise of Burdine is that
either a legitimate or an illegitimate set of considerations led
to the challenged decision. To say that Burdine's evidentiary
scheme will not help us decide a case admittedly involving
both kinds of considerations is not to cast aspersions on
the utility of that scheme in the circumstances for which it
was designed.
Page 248
B
In deciding as we do today, we do not traverse new
ground. We have in the past confronted Title VII cases in
which an employer has used an illegitimate criterion to distinguish
among employees, and have held that it is the employer's
burden to justify decisions resulting from that practice.
When an employer has asserted that gender is a BFOQ
within the meaning of § 703(e), for example, we have assumed
that it is the employer who must show why it must use
gender as a criterion in employment. See Dothard v. Rawlinson,
433 U.S. 321, 332-337 (1977). In a related context,
although the Equal Pay Act expressly permits employers to
pay different wages to women where disparate pay is the result
of a "factor other than sex," see 29 U.S.C. § 206(d)(1),
we have decided that it is the employer, not the employee,
who must prove that the actual disparity is not sex linked.
See Corning Glass Works v. Brennan, 417 U.S. 188, 196
(1974). Finally, some courts have held that, under Title VII
as amended by the Pregnancy Discrimination Act, it is the
employer who has the burden of showing that its limitations
on the work that it allows a pregnant woman to perform are
necessary in light of her pregnancy. See, e. g., Hayes v.
Shelby Memorial Hospital, 726 F.2d 1543, 1548 (CA11 1984);
Wright v. Olin Corp., 697 F.2d 1172, 1187 (CA4 1982). As
these examples demonstrate, our assumption always has
been that if an employer allows gender to affect its decision-making
process, then it must carry the burden of justifying
its ultimate decision. We have not in the past required
women whose gender has proved relevant to an employment
decision to establish the negative proposition that they would
not have been subject to that decision had they been men,
and we do not do so today.
We have reached a similar conclusion in other contexts
where the law announces that a certain characteristic is irrelevant
to the allocation of burdens and benefits. In Mt.
Healthy City Bd. of Ed. v. Doyle, 429 U.S. 274 (1977), the
Page 249
plaintiff claimed that he had been discharged as a public
school teacher for exercising his free-speech rights under the
First Amendment. Because we did not wish to "place an
employee in a better position as a result of the exercise of
constitutionally protected conduct than he would have occupied
had he done nothing," id., at 285, we concluded that such
an employee "ought not to be able, by engaging in such conduct,
to prevent his employer from assessing his performance
record and reaching a decision not to rehire on the basis of
that record." Id., at 286. We therefore held that once the
plaintiff had shown that his constitutionally protected speech
was a "substantial" or "motivating factor" in the adverse
treatment of him by his employer, the employer was obligated
to prove "by a preponderance of the evidence that it
would have reached the same decision as to [the plaintiff]
even in the absence of the protected conduct." Id., at 287.
A court that finds for a plaintiff under this standard has effectively
concluded that an illegitimate motive was a "but-for"
cause of the employment decision. See Givhan v. Western
Line Consolidated School Dist., 439 U.S. 410, 417 (1979).
See also Arlington Heights v. Metropolitan Housing Development
Corp., 429 U.S. 252, 270-271, n. 21 (1977) (applying
Mt. Healthy standard where plaintiff alleged that unconstitutional
motive had contributed to enactment of legislation);
Hunter v. Underwood, 471 U.S. 222, 228 (1985) (same).
In Transportation Management, we upheld the NLRB's
interpretation of § 10(c) of the National Labor Relations Act,
which forbids a court to order affirmative relief for discriminatory
conduct against a union member "if such individual
was suspended or discharged for cause." 29 U.S.C. § 160(c).
The Board had decided that this provision meant
that once an employee had shown that his suspension or discharge
was based in part on hostility to unions, it was up to
the employer to prove by a preponderance of the evidence
that it would have made the same decision in the absence of
this impermissible motive. In such a situation, we emphasized,
Page 250
"[t]he employer is a wrongdoer; he has acted out of a
motive that is declared illegitimate by the statute. It is fair
that he bear the risk that the influence of legal and illegal motives
cannot be separated, because he knowingly created the
risk and because the risk was created not by innocent activity
but by his own wrongdoing." 462 U.S., at 403.
We have, in short, been here before. Each time, we have
concluded that the plaintiff who shows that an impermissible
motive played a motivating part in an adverse employment
decision has thereby placed upon the defendant the burden to
show that it would have made the same decision in the absence
of the unlawful motive. Our decision today treads this
well-worn path.
C
In saying that gender played a motivating part in an employment
decision, we mean that, if we asked the employer at
the moment of the decision what its reasons were and if we
received a truthful response, one of those reasons would be
that the applicant or employee was a woman.[fn13] In the specific
context of sex stereotyping, an employer who acts on the
basis of a belief that a woman cannot be aggressive, or that
she must not be, has acted on the basis of gender.
Although the parties do not overtly dispute this last proposition,
the placement by Price Waterhouse of "sex stereotyping"
in quotation marks throughout its brief seems to us an
insinuation either that such stereotyping was not present in
this case or that it lacks legal relevance. We reject both possibilities.
Page 251
As to the existence of sex stereotyping in this
case, we are not inclined to quarrel with the District Court's
conclusion that a number of the partners' comments showed
sex stereotyping at work. See infra, at 255-256. As for
the legal relevance of sex stereotyping, we are beyond the
day when an employer could evaluate employees by assuming
or insisting that they matched the stereotype associated with
their group, for "`[i]n forbidding employers to discriminate
against individuals because of their sex, Congress intended to
strike at the entire spectrum of disparate treatment of men
and women resulting from sex stereotypes.'" Los Angeles
Dept. of Water and Power v. Manhart, 435 U.S. 702, 707,
n. 13 (1978), quoting Sprogis v. United Air Lines, Inc.,
444 F.2d 1194, 1198 (CA7 1971). An employer who objects to
aggressiveness in women but whose positions require this
trait places women in an intolerable and impermissible catch
22: out of a job if they behave aggressively and out of a job if
they do not. Title VII lifts women out of this bind.
Remarks at work that are based on sex stereotypes do not
inevitably prove that gender played a part in a particular employment
decision. The plaintiff must show that the employer
actually relied on her gender in making its decision.
In making this showing, stereotyped remarks can certainly
be evidence that gender played a part. In any event, the
stereotyping in this case did not simply consist of stray remarks.
On the contrary, Hopkins proved that Price Waterhouse
invited partners to submit comments; that some of the
comments stemmed from sex stereotypes; that an important
part of the Policy Board's decision on Hopkins was an assessment
of the submitted comments; and that Price Waterhouse
in no way disclaimed reliance on the sex-linked evaluations.
This is not, as Price Waterhouse suggests, "discrimination in
the air"; rather, it is, as Hopkins puts it, "discrimination
brought to ground and visited upon" an employee. Brief for
Respondent 30. By focusing on Hopkins' specific proof,
however, we do not suggest a limitation on the possible ways
Page 252
of proving that stereotyping played a motivating role in
an employment decision, and we refrain from deciding here
which specific facts, "standing alone," would or would not establish
a plaintiff's case, since such a decision is unnecessary
in this case. But see post, at 277 (O'CONNOR, J., concurring
in judgment).
As to the employer's proof, in most cases, the employer
should be able to present some objective evidence as to its
probable decision in the absence of an impermissible motive.[fn14]
Moreover, proving "`that the same decision would have been
justified . . . is not the same as proving that the same decision
would have been made.'" Givhan, 439 U.S., at 416,
quoting Ayers v. Western Line Consolidated School District,
555 F.2d 1309, 1315 (CA5 1977). An employer may not, in
other words, prevail in a mixed-motives case by offering a legitimate
and sufficient reason for its decision if that reason
did not motivate it at the time of the decision. Finally, an
employer may not meet its burden in such a case by merely
showing that at the time of the decision it was motivated only
in part by a legitimate reason. The very premise of a mixed-motives
case is that a legitimate reason was present, and indeed,
in this case, Price Waterhouse already has made this
showing by convincing Judge Gesell that Hopkins' interpersonal
problems were a legitimate concern. The employer instead
must show that its legitimate reason, standing alone,
would have induced it to make the same decision.
III
The courts below held that an employer who has allowed a
discriminatory impulse to play a motivating part in an employment
decision must prove by clear and convincing evidence
that it would have made the same decision in the absence
Page 253
of discrimination. We are persuaded that the better
rule is that the employer must make this showing by a preponderance
of the evidence.
Conventional rules of civil litigation generally apply in Title
VII cases, see, e. g., United States Postal Service Bd. of Governors
v. Aikens, 460 U.S. 711, 716 (1983) (discrimination
not to be "treat[ed] . . . differently from other ultimate questions
of fact"), and one of these rules is that parties to civil
litigation need only prove their case by a preponderance of
the evidence. See, e. g., Herman & MacLean v. Huddleston,
459 U.S. 375, 390 (1983). Exceptions to this standard
are uncommon, and in fact are ordinarily recognized only
when the government seeks to take unusual coercive action â€â€
action more dramatic than entering an award of money damages
or other conventional relief  against an individual. See
Santosky v. Kramer, 455 U.S. 745, 756 (1982) (termination
of parental rights); Addington v. Texas, 441 U.S. 418, 427
(1979) (involuntary commitment); Woodby v. INS, 385 U.S. 276
(1966) (deportation); Schneiderman v. United States,
320 U.S. 118, 122, 125 (1943) (denaturalization). Only rarely
have we required clear and convincing proof where the action
defended against seeks only conventional relief, see, e. g.,
Gertz v. Robert Welch, Inc., 418 U.S. 323, 342 (1974) (defamation),
and we find it significant that in such cases it was
the defendant rather than the plaintiff who sought the elevated
standard of proof  suggesting that this standard ordinarily
serves as a shield rather than, as Hopkins seeks to use
it, as a sword.
It is true, as Hopkins emphasizes, that we have noted the
"clear distinction between the measure of proof necessary
to establish the fact that petitioner had sustained some damage
and the measure of proof necessary to enable the jury to
fix the amount." Story Parchment Co. v. Paterson Parchment
Paper Co., 282 U.S. 555, 562 (1931). Likewise, an
Equal Employment Opportunity Commission (EEOC) regulation
does require federal agencies proved to have violated
Page 254
Title VII to show by clear and convincing evidence that an
individual employee is not entitled to relief. See
29 C.F.R. § 1613.271(c)(2) (1988). And finally, it is true that we have
emphasized the importance of make-whole relief for victims
of discrimination. See Albemarle Paper Co. v. Moody,
422 U.S. 405 (1975). Yet each of these sources deals with the
proper determination of relief rather than with the initial
finding of liability. This is seen most easily in the EEOC's
regulation, which operates only after an agency or the EEOC
has found that "an employee of the agency was discriminated
against." See 29 C.F.R. § 1613.271(c) (1988). Because we
have held that, by proving that it would have made the same
decision in the absence of discrimination, the employer may
avoid a finding of liability altogether and not simply avoid
certain equitable relief, these authorities do not help Hopkins
to show why we should elevate the standard of proof for an
employer in this position.
Significantly, the cases from this Court that most resemble
this one, Mt. Healthy and Transportation Management, did
not require clear and convincing proof. Mt. Healthy,
429 U.S., at 287; Transportation Management,
462 U.S., at 400, 403. We are not inclined to say that the public policy
against firing employees because they spoke out on issues of
public concern or because they affiliated with a union is less
important than the policy against discharging employees on
the basis of their gender. Each of these policies is vitally
important, and each is adequately served by requiring proof
by a preponderance of the evidence.
Although Price Waterhouse does not concretely tell us how
its proof was preponderant even if it was not clear and convincing,
this general claim is implicit in its request for the
less stringent standard. Since the lower courts required
Price Waterhouse to make its proof by clear and convincing
evidence, they did not determine whether Price Waterhouse
had proved by a preponderance of the evidence that it would
have placed Hopkins' candidacy on hold even if it had not permitted
Page 255
sex-linked evaluations to play a part in the decision-making
process. Thus, we shall remand this case so that
that determination can be made.
IV
The District Court found that sex stereotyping "was permitted
to play a part" in the evaluation of Hopkins as a candidate
for partnership. 618 F. Supp., at 1120. Price Waterhouse
disputes both that stereotyping occurred and that it
played any part in the decision to place Hopkins' candidacy on
hold. In the firm's view, in other words, the District Court's
factual conclusions are clearly erroneous. We do not agree.
In finding that some of the partners' comments reflected
sex stereotyping, the District Court relied in part on Dr.
Fiske's expert testimony. Without directly impugning Dr.
Fiske's credentials or qualifications, Price Waterhouse insinuates
that a social psychologist is unable to identify sex
stereotyping in evaluations without investigating whether
those evaluations have a basis in reality. This argument
comes too late. At trial, counsel for Price Waterhouse twice
assured the court that he did not question Dr. Fiske's expertise
(App. 25) and failed to challenge the legitimacy of her
discipline. Without contradiction from Price Waterhouse,
Fiske testified that she discerned sex stereotyping in the
partners' evaluations of Hopkins, and she further explained
that it was part of her business to identify stereotyping in
written documents. Id., at 64. We are not inclined to accept
petitioner's belated and unsubstantiated characterization
of Dr. Fiske's testimony as "gossamer evidence" (Brief
for Petitioner 20) based only on "intuitive hunches" (id., at
44) and of her detection of sex stereotyping as "intuitively divined"
(id., at 43). Nor are we disposed to adopt the dissent's
dismissive attitude toward Dr. Fiske's field of study
and toward her own professional integrity, see post, at 293-294,
n. 5.
Page 256
Indeed, we are tempted to say that Dr. Fiske's expert testimony
was merely icing on Hopkins' cake. It takes no special
training to discern sex stereotyping in a description of an
aggressive female employee as requiring "a course at charm
school." Nor, turning to Thomas Beyer's memorable advice
to Hopkins, does it require expertise in psychology to know
that, if an employee's flawed "interpersonal skills" can be
corrected by a soft-hued suit or a new shade of lipstick, perhaps
it is the employee's sex and not her interpersonal skills
that has drawn the criticism.[fn15]
Price Waterhouse also charges that Hopkins produced no
evidence that sex stereotyping played a role in the decision to
place her candidacy on hold. As we have stressed, however,
Hopkins showed that the partnership solicited evaluations
from all of the firm's partners; that it generally relied very
heavily on such evaluations in making its decision; that some
of the partners' comments were the product of stereotyping;
and that the firm in no way disclaimed reliance on those particular
comments, either in Hopkins' case or in the past.
Certainly a plausible  and, one might say, inevitable  conclusion
to draw from this set of circumstances is that the
Policy Board in making its decision did in fact take into account
all of the partners' comments, including the comments
that were motivated by stereotypical notions about women's
proper deportment.[fn16]
Page 257
Price Waterhouse concedes that the proof in Transportation
Management adequately showed that the employer
there had relied on an impermissible motivation in firing the
plaintiff. Brief for Petitioner 45. But the only evidence
in that case that a discriminatory motive contributed to the
plaintiff's discharge was that the employer harbored a grudge
toward the plaintiff on account of his union activity; there
was, contrary to Price Waterhouse's suggestion, no direct evidence
that that grudge had played a role in the decision, and,
in fact, the employer had given other reasons in explaining
the plaintiff's discharge. See 462 U.S., at 396. If the partnership
considers that proof sufficient, we do not know why it
takes such vehement issue with Hopkins' proof.
Nor is the finding that sex stereotyping played a part in
the Policy Board's decision undermined by the fact that many
of the suspect comments were made by supporters rather
than detractors of Hopkins. A negative comment, even
when made in the context of a generally favorable review,
nevertheless may influence the decisionmaker to think less
highly of the candidate; the Policy Board, in fact, did not simply
tally the "yesses" and "noes" regarding a candidate, but
carefully reviewed the content of the submitted comments.
The additional suggestion that the comments were made by
"persons outside the decisionmaking chain" (Brief for Petitioner
48)  and therefore could not have harmed Hopkins â€â€
simply ignores the critical role that partners' comments
played in the Policy Board's partnership decisions.
Price Waterhouse appears to think that we cannot affirm
the factual findings of the trial court without deciding that,
instead of being overbearing and aggressive and curt, Hopkins
is, in fact, kind and considerate and patient. If this is
indeed its impression, petitioner misunderstands the theory
Page 258
on which Hopkins prevailed. The District Judge acknowledged
that Hopkins' conduct justified complaints about her
behavior as a senior manager. But he also concluded that
the reactions of at least some of the partners were reactions
to her as a woman manager. Where an evaluation is based
on a subjective assessment of a person's strengths and weaknesses,
it is simply not true that each evaluator will focus on,
or even mention, the same weaknesses. Thus, even if we
knew that Hopkins had "personality problems," this would
not tell us that the partners who cast their evaluations of
Hopkins in sex-based terms would have criticized her as
sharply (or criticized her at all) if she had been a man. It is
not our job to review the evidence and decide that the negative
reactions to Hopkins were based on reality; our perception
of Hopkins' character is irrelevant. We sit not to determine
whether Ms. Hopkins is nice, but to decide whether the
partners reacted negatively to her personality because she is
a woman.
V
We hold that when a plaintiff in a Title VII case proves
that her gender played a motivating part in an employment
decision, the defendant may avoid a finding of liability only
by proving by a preponderance of the evidence that it would
have made the same decision even if it had not taken the
plaintiff's gender into account. Because the courts below
erred by deciding that the defendant must make this proof by
clear and convincing evidence, we reverse the Court of Appeals'
judgment against Price Waterhouse on liability and
remand the case to that court for further proceedings.
It is so ordered.
[fn1] Page 233
Before the time for reconsideration came, two of the partners in
Hopkins' office withdrew their support for her, and the office informed her
that she would not be reconsidered for partnership. Hopkins then resigned.
Price Waterhouse does not challenge the Court of Appeals' conclusion that
the refusal to repropose her for partnership amounted to a constructive
discharge. That court remanded the case to the District Court for further
proceedings to determine appropriate relief, and those proceedings have
been stayed pending our decision. Brief for Petitioner 15, n. 3. We are
concerned today only with Price Waterhouse's decision to place Hopkins'
candidacy on hold. Decisions pertaining to advancement to partnership
are, of course, subject to challenge under Title VII. Hishon v. King &
Spalding, 467 U.S. 69 (1984).
[fn2] Page 238
This question has, to say the least, left the Circuits in disarray.
The Third, Fourth, Fifth, and Seventh Circuits require a plaintiff
challenging an adverse employment decision to show that, but for her gender
(or race or religion or national origin), the decision would have been in
her favor. See, e. g., Bellissimo v. Westinghouse Electric Corp.,
764 F.2d 175, 179 (CA3 1985), cert. denied, 475 U.S. 1035 (1986);
Ross v. Communications Satellite Corp., 759 F.2d 355, 365-366 (CA4 1985);
Peters v. Shreveport, 818 F.2d 1148, 1161 (CA5 1987); McQuillen v.
Wisconsin Education Assn. Council, 830 F.2d 659, 664-665 (CA7 1987). The
First, Second, Sixth, and Eleventh Circuits, on the other hand, hold that
once the plaintiff has shown that a discriminatory motive was a
"substantial" or "motivating" factor in an employment decision, the
employer may avoid a finding of liability only by proving that it would
have made the same decision even in the absence of discrimination. These
courts have either specified that the employer must prove its case by a
preponderance of the evidence or have not mentioned the proper standard of
proof. See, e. g., Fields v. Clark University, 817 F.2d 931, 936-937
(CA1 1987) ("motivating factor"); Berl v. Westchester County, 849 F.2d 712,
714-715 (CA2 1988) ("substantial part"); Terbovitz v. Fiscal Court of Adair
County, Ky., 825 F.2d 111, 115 (CA6 1987) ("motivating factor"); Bell v.
Birmingham Linen Service, 715 F.2d 1552, 1557 (CA11 1983). The Court of
Appeals for the District of Columbia Circuit, as shown in this case,
follows the same rule except that it requires that the employer's proof be
clear and convincing rather than merely preponderant.
263 U.S.App.D.C. 321, 333-334, 825 F.2d 458, 470-471 (1987); see also Toney v. Block,
227 U.S.App.D.C. 273, 275, 705 F.2d 1364, 1366 (1983) (Scalia, J.) (it
would be "destructive of the purposes of [Title VII] to require the
plaintiff to establish . . . the difficult hypothetical proposition that,
had there been no discrimination, the employment decision would have been
made in his favor"). The Court of Appeals for the Ninth Circuit also
requires clear and convincing proof, but it goes further by holding that
a Title VII violation is made out as soon as the plaintiff shows that an
impermissible motivation played a part in an employment
Page 239
decision  at
which point the employer may avoid reinstatement and an award of backpay
by proving that it would have made the same decision in the absence of the
unlawful motive. See, e. g. Fadhl v. City and County of San Francisco,
741 F.2d 1163, 1165-1166 (1984) (Kennedy, J.) ("significant factor").
Last, the Court of Appeals for the Eighth Circuit draws the same
distinction as the Ninth between the liability and remedial phases of
Title VII litigation, but requires only a preponderance of the evidence
from the employer. See, e. g., Bibbs v. Block, 778 F.2d 1318, 1320-1324
(1985) (en banc) ("discernible factor").
[fn3] Page 239
We disregard, for purposes of this discussion, the special context of
affirmative action.
[fn4] Page 239
Congress specifically declined to require that an employment decision
have been "for cause" in order to escape an affirmative penalty (such as
reinstatement or backpay) from a court. As introduced in the House, the
bill that became Title VII forbade such affirmative relief if an "individual
was . . . refused employment or advancement, or was suspended or discharged
for cause." H.R. Rep. No. 7152, 88th Cong., 1st Sess., 77 (1963)
(emphasis added). The phrase "for cause" eventually was deleted in favor
of the phrase "for any reason other than" one of the enumerated
characteristics. See 110 Cong. Rec. 2567-2571 (1964). Representative Celler
explained that this substitution "specif[ied] cause"; in his view, a court
"cannot find any violation of the act which is based on facts other . . .
than discrimination on the grounds of race, color, religion, or national
origin." Id., at 2567.
[fn5] Page 240
In this Court, Hopkins for the first time argues that Price Waterhouse
violated § 703(a)(2) when it subjected her to a biased decisionmaking
process that "tended to deprive" a woman of partnership on the basis of her
sex. Since Hopkins did not make this argument below, we do not address
it.
[fn6] Page 240
We made passing reference to a similar question in McDonald v.
Santa Fe Trail Transportation Co., 427 U.S. 273, 282, n. 10 (1976), where
we stated that when a Title VII plaintiff seeks to show that an employer's
explanation for a challenged employment decision is pretextual, "no more
is required to be shown than that race was a `but for' cause." This passage,
however, does not suggest that the plaintiff must show but-for cause;
it indicates only that if she does so, she prevails. More important,
McDonald dealt with the question whether the employer's stated reason for
its decision was the reason for its action; unlike the case before us today,
therefore, McDonald did not involve mixed motives. This difference is
decisive in distinguishing this case from those involving "pretext." See
infra, at 247, n. 12.
[fn7] Page 241
Congress specifically rejected an amendment that would have placed
the word "solely" in front of the words "because of." 110 Cong. Rec. 2728,
13837 (1964).
[fn8] Page 243
We have in the past acknowledged the authoritativeness of this
interpretive memorandum, written by the two bipartisan "captains" of Title
VII. See, e. g., Firefighters v. Stotts, 467 U.S. 561, 581, n. 14 (1984).
[fn9] Page 243
Many of the legislators' statements, such as the memorandum quoted
in text, focused specifically on race rather than on gender or religion or
national origin. We do not, however, limit their statements to the context
of
Page 244
race, but instead we take them as general statements on the meaning of
Title VII. The somewhat bizarre path by which "sex" came to be included
as a forbidden criterion for employment  it was included in an attempt to
defeat the bill, see C. & B. Whalen, The Longest Debate: A Legislative
History of the 1964 Civil Rights Act 115-117 (1985)  does not persuade us
that the legislators' statements pertaining to race are irrelevant to cases
alleging gender discrimination. The amendment that added "sex" as one
of the forbidden criteria for employment was passed, of course, and the
statute on its face treats each of the enumerated categories exactly the
same.
By the same token, our specific references to gender throughout this
opinion, and the principles we announce, apply with equal force to
discrimination based on race, religion, or national origin.
[fn10] Page 244
Hopkins argues that once she made this showing, she was entitled to a
finding that Price Waterhouse had discriminated against her on the basis of
sex; as a consequence, she says, the partnership's proof could only limit
the relief she received. She relies on Title VII's § 706(g), which
permits a court to award affirmative relief when it finds that an employer
"has intentionally engaged in or is intentionally engaging in an unlawful
employment practice," and yet forbids a court to order reinstatement of, or
backpay to, "an individual . . . if such individual was refused . . .
employment or advancement
Page 245
or was suspended or discharged for any reason
other than discrimination on account of race, color, religion, sex, or
national origin." 42 U.S.C. § 2000e-5(g) (emphasis added). We do not
take this provision to mean that a court inevitably can find a violation of
the statute without having considered whether the employment decision would
have been the same absent the impermissible motive. That would be to
interpret § 706(g)  a provision defining remedies  to influence
the substantive commands of the statute. We think that this provision merely
limits courts' authority to award affirmative relief in those circumstances
in which a violation of the statute is not dependent upon the effect of the
employer's discriminatory practices on a particular employee, as in
pattern-or-practice suits and class actions. "The crucial difference between
an individual's claim of discrimination and a class action alleging a
general pattern or practice of discrimination is manifest. The inquiry
regarding an individual's claim is the reason for a particular employment
decision, while `at the liability stage of a pattern-or-practice trial the
focus often will not be on individual hiring decisions, but on a pattern of
discriminatory decisionmaking.'" Cooper v. Federal Reserve Bank of
Richmond, 467 U.S. 867, 876 (1984), quoting Teamsters v. United States,
431 U.S. 324, 360, n. 46 (1977).
Without explicitly mentioning this portion of § 706(g), we have in the
past held that Title VII does not authorize affirmative relief for
individuals as to whom, the employer shows, the existence of systemic
discrimination had no effect. See Franks v. Bowman Transportation Co.,
424 U.S. 747, 772 (1976); Teamsters v. United States, supra, at 367-371;
East Texas Motor Freight System, Inc. v. Rodriguez, 431 U.S. 395, 404, n. 9
(1977). These decisions suggest that the proper focus of § 706(g) is on
claims of systemic discrimination, not on charges of individual
discrimination. Cf. NLRB v. Transportation Management Corp., 462 U.S. 393
(1983) (upholding the National Labor Relations Board's identical
interpretation of § 10(c) of the National Labor Relations Act,
29 U.S.C. § 160(c), which contains language almost identical to §
706(g)).
[fn11] Page 246
Given that both the plaintiff and defendant bear a burden of proof in
cases such as this one, it is surprising that the dissent insists that our
approach requires the employer to bear "the ultimate burden of proof."
Post, at 288. It is, moreover, perfectly consistent to say both that gender
was a factor in a particular decision when it was made and that, when the
situation is viewed hypothetically and after the fact, the same decision
would have been made even in the absence of discrimination. Thus, we do not
see the "internal inconsistency" in our opinion that the dissent perceives.
See post, at 285-286. Finally, where liability is imposed because
an employer is unable to prove that it would have made the same decision
even if it had not discriminated, this is not an imposition of liability
"where sex made no difference to the outcome." Post, at 285. In our
adversary system, where a party has the burden of proving a particular
assertion and where that party is unable to meet its burden, we assume that
that assertion is inaccurate. Thus, where an employer is unable to prove its
claim that it would have made the same decision in the absence of
discrimination, we are entitled to conclude that gender did make a
difference to the outcome.
[fn12] Page 247
Nothing in this opinion should be taken to suggest that a case must
be correctly labeled as either a "pretext" case or a "mixed-motives" case
from the beginning in the District Court; indeed, we expect that plaintiffs
often will allege, in the alternative, that their cases are both. Discovery
often will be necessary before the plaintiff can know whether both
legitimate and illegitimate considerations played a part in the decision
against her. At some point in the proceedings, of course, the District Court
must decide whether a particular case involves mixed motives. If the
plaintiff fails to satisfy the factfinder that it is more likely than not
that a forbidden characteristic played a part in the employment decision,
then she may prevail only if she proves, following Burdine, that the
employer's stated reason for its decision is pretextual. The dissent need
not worry that this evidentiary scheme, if used during a jury trial, will be
so impossibly confused and complex as it imagines. See, e. g., post, at
292. Juries long have decided cases in which defendants raised affirmative
defenses. The dissent fails, moreover, to explain why the evidentiary scheme
that we endorsed over 10 years ago in Mt. Healthy City Bd. of Ed. v. Doyle,
429 U.S. 274 (1977), has not proved unworkable in that context but would be
hopelessly complicated in a case brought under federal antidiscrimination
statutes.
[fn13] Page 250
After comparing this description of the plaintiff's proof to that
offered by JUSTICE O'CONNOR's opinion concurring in the judgment, post, at
276-277, we do not understand why the concurrence suggests that they are
meaningfully different from each other, see post, at 275, 277-279. Nor do
we see how the inquiry that we have described is "hypothetical," see post,
at 283, n. 1. It seeks to determine the content of the entire set of reasons
for a decision, rather than shaving off one reason in an attempt to
determine what the decision would have been in the absence of that
consideration. The inquiry that we describe thus strikes us as a distinctly
non-hypothetical one.
[fn14] Page 252
JUSTICE WHITE's suggestion, post, at 261, that the employer's own
testimony as to the probable decision in the absence of discrimination is
due special credence where the court has, contrary to the employer's
testimony, found that an illegitimate factor played a part in the decision,
is baffling.
[fn15] Page 256
We reject the claim, advanced by Price Waterhouse here and by the
dissenting judge below, that the District Court clearly erred in finding
that Beyer was "responsible for telling [Hopkins] what problems the Policy
Board had identified with her candidacy." 618 F. Supp., at 1117. This
conclusion was reasonable in light of the testimony at trial of a member of
both the Policy Board and the Admissions Committee, who stated that he
had "no doubt" that Beyer would discuss with Hopkins the reasons for placing
her candidacy on hold and that Beyer "knew exactly where the problems
were" regarding Hopkins. Tr. 316.
[fn16] Page 256
We do not understand the dissenters' dissatisfaction with the
District Judge's statements regarding the failure of Price Waterhouse to
"sensitize" partners to the dangers of sexism. Post, at 294. Made in the
context
Page 257
of determining that Price Waterhouse had not disclaimed reliance on
sex-based evaluations, and following the judge's description of the firm's
history of condoning such evaluations, the judge's remarks seem to us
justified.
JUSTICE WHITE, concurring in the judgment.
In my view, to determine the proper approach to causation
in this case, we need look only to the Court's opinion in
Mt. Healthy City Bd. of Ed. v. Doyle, 429 U.S. 274 (1977).
In Mt. Healthy, a public employee was not rehired, in part
Page 259
because of his exercise of First Amendment rights and in
part because of permissible considerations. The Court rejected
a rule of causation that focused "solely on whether
protected conduct played a part, `substantial' or otherwise, in
a decision not to rehire," on the grounds that such a rule
could make the employee better off by exercising his constitutional
rights than by doing nothing at all. Id., at 285.
Instead, the Court outlined the following approach:
"Initially, in this case, the burden was properly placed
upon respondent to show that his conduct was constitutionally
protected, and that his conduct was a `substantial
factor'  or, to put it in other words, that it was a
`motivating factor' in the Board's decision not to rehire
him. Respondent having carried that burden, however,
the District Court should have gone on to determine
whether the Board had shown by a preponderance of the
evidence that it would have reached the same decision as
to respondent's reemployment even in the absence of the
protected conduct." Id., at 287 (footnote omitted).
It is not necessary to get into semantic discussions on
whether the Mt. Healthy approach is "but-for" causation in
another guise or creates an affirmative defense on the part of
the employer to see its clear application to the issues before
us in this case. As in Mt. Healthy, the District Court found
that the employer was motivated by both legitimate and illegitimate
factors. And here, as in Mt. Healthy, and as the
Court now holds, Hopkins was not required to prove that the
illegitimate factor was the only, principal, or true reason for
petitioner's action. Rather, as JUSTICE O'CONNOR states,
her burden was to show that the unlawful motive was a
substantial factor in the adverse employment action. The
District Court, as its opinion was construed by the Court of
Appeals, so found, 263 U.S.App.D.C. 321, 333, 334, 825 F.2d 458,
470, 471 (1987), and I agree that the finding was
supported by the record. The burden of persuasion then
Page 260
should have shifted to Price Waterhouse to prove "by a preponderance
of the evidence that it would have reached the
same decision . . . in the absence of" the unlawful motive.
Mt. Healthy, supra, at 287.
I agree with JUSTICE BRENNAN that applying this approach
to causation in Title VII cases is not a departure from,
and does not require modification of, the Court's holdings in
Texas Dept. of Community Affairs v. Burdine, 450 U.S. 248
(1981), and McDonnell Douglas Corp. v. Green, 411 U.S. 792
(1973). The Court has made clear that "mixed-motives"
cases, such as the present one, are different from pretext
cases such as McDonnell Douglas and Burdine. In pretext
cases, "the issue is whether either illegal or legal motives,
but not both, were the `true' motives behind the decision."
NLRB v. Transportation Management Corp., 462 U.S. 393,
400, n. 5 (1983). In mixed-motives cases, however, there is
no one "true" motive behind the decision. Instead, the decision
is a result of multiple factors, at least one of which is
legitimate. It can hardly be said that our decision in this
case is a departure from cases that are "inapposite." Ibid.
I also disagree with the dissent's assertion that this approach
to causation is inconsistent with our statement in Burdine
that "[t]he ultimate burden of persuading the trier of fact
that the defendant intentionally discriminated against the
plaintiff remains at all times with the plaintiff."
450 U.S., at 253. As we indicated in Transportation Management
Corp., the showing required by Mt. Healthy does not improperly
shift from the plaintiff the ultimate burden of persuasion
on whether the defendant intentionally discriminated
against him or her. See 462 U.S., at 400, n. 5.
Because the Court of Appeals required Price Waterhouse
to prove by clear and convincing evidence that it would have
reached the same employment decision in the absence of the
improper motive, rather than merely requiring proof by a
preponderance of the evidence as in Mt. Healthy, I concur
in the judgment reversing this case in part and remanding.
Page 261
With respect to the employer's burden, however, the plurality
seems to require, at least in most cases, that the employer
submit objective evidence that the same result would
have occurred absent the unlawful motivation. Ante, at 252.
In my view, however, there is no special requirement that
the employer carry its burden by objective evidence. In
a mixed-motives case, where the legitimate motive found
would have been ample grounds for the action taken, and the
employer credibly testifies that the action would have been
taken for the legitimate reasons alone, this should be ample
proof. This would even more plainly be the case where the
employer denies any illegitimate motive in the first place but
the court finds that illegitimate, as well as legitimate, factors
motivated the adverse action.[fn*]
[fn*] Page 261
I agree with the plurality that if the employer carries this burden,
there has been no violation of Title VII.
JUSTICE O'CONNOR, concurring in the judgment.
I agree with the plurality that, on the facts presented in
this case, the burden of persuasion should shift to the employer
to demonstrate by a preponderance of the evidence
that it would have reached the same decision concerning Ann
Hopkins' candidacy absent consideration of her gender. I
further agree that this burden shift is properly part of the liability
phase of the litigation. I thus concur in the judgment
of the Court. My disagreement stems from the plurality's
conclusions concerning the substantive requirement of causation
under the statute and its broad statements regarding
the applicability of the allocation of the burden of proof applied
in this case. The evidentiary rule the Court adopts
today should be viewed as a supplement to the careful framework
established by our unanimous decisions in McDonnell
Douglas Corp. v. Green, 411 U.S. 792 (1973), and Texas
Dept. of Community Affairs v. Burdine, 450 U.S. 248
(1981), for use in cases such as this one where the employer
has created uncertainty as to causation by knowingly giving
Page 262
substantial weight to an impermissible criterion. I write
separately to explain why I believe such a departure from
the McDonnell Douglas standard is justified in the circumstances
presented by this and like cases, and to express my
views as to when and how the strong medicine of requiring
the employer to bear the burden of persuasion on the issue of
causation should be administered.
I
Title VII provides in pertinent part: "It shall be an unlawful
employment practice for an employer . . . to fail
or refuse to hire or to discharge any individual, or otherwise
to discriminate against any individual with respect to his
compensation, terms, conditions, or privileges of employment,
because of such individual's race, color, religion, sex,
or national origin." 42 U.S.C. § 2000e-2(a) (emphasis
added). The legislative history of Title VII bears out what
its plain language suggests: a substantive violation of the
statute only occurs when consideration of an illegitimate criterion
is the "but-for" cause of an adverse employment action.
The legislative history makes it clear that Congress
was attempting to eradicate discriminatory actions in the employment
setting, not mere discriminatory thoughts. Critics
of the bill that became Title VII labeled it a "thought control
bill," and argued that it created a "punishable crime that does
not require an illegal external act as a basis for judgment."
100 Cong. Rec. 7254 (1964) (remarks of Sen. Ervin). Senator
Case, whose views the plurality finds so persuasive elsewhere,
responded:
"The man must do or fail to do something in regard to
employment. There must be some specific external act,
more than a mental act. Only if he does the act because
of the grounds stated in the bill would there be any legal
consequences." Ibid.
Thus, I disagree with the plurality's dictum that the words
"because of" do not mean "but-for" causation; manifestly they
Page 263
do. See Sheet Metal Workers v. EEOC, 478 U.S. 421, 499
(1986) (WHITE, J., dissenting) ("[T]he general policy under
Title VII is to limit relief for racial discrimination in employment
practices to actual victims of the discrimination"). We
should not, and need not, deviate from that policy today.
The question for decision in this case is what allocation of
the burden of persuasion on the issue of causation best conforms
with the intent of Congress and the purposes behind
Title VII.
The evidence of congressional intent as to which party
should bear the burden of proof on the issue of causation is
considerably less clear. No doubt, as a general matter, Congress
assumed that the plaintiff in a Title VII action would
bear the burden of proof on the elements critical to his or
her case. As the dissent points out, post, at 287, n. 3, the
interpretative memorandum submitted by sponsors of Title
VII indicates that "the plaintiff, as in any civil case, would
have the burden of proving that discrimination had occurred."
110 Cong. Rec. 7214 (1964) (emphasis added).
But in the area of tort liability, from whence the dissent's
"but-for" standard of causation is derived, see post, at 282,
the law has long recognized that in certain "civil cases" leaving
the burden of persuasion on the plaintiff to prove "but-for"
causation would be both unfair and destructive of the
deterrent purposes embodied in the concept of duty of care.
Thus, in multiple causation cases, where a breach of duty has
been established, the common law of torts has long shifted
the burden of proof to multiple defendants to prove that their
negligent actions were not the "but-for" cause of the plaintiff's
injury. See e. g., Summers v. Tice, 33 Cal.2d 80,
84-87, 199 P.2d 1, 3-4 (1948). The same rule has been applied
where the effect of a defendant's tortious conduct combines
with a force of unknown or innocent origin to produce
the harm to the plaintiff. See Kingston v. Chicago &
N.W.R. Co., 191 Wis. 610, 616, 211 N.W. 913, 915 (1927)
("Granting that the union of that fire [caused by defendant's
Page 264
negligence] with another of natural origin, or with another of
much greater proportions, is available as a defense, the burden
is on the defendant to show that . . . the fire set by him
was not the proximate cause of the damage"). See also 2 J.
Wigmore, Select Cases on the Law of Torts § 153, p. 865
(1912) ("When two or more persons by their acts are possibly
the sole cause of a harm, or when two or more acts of the
same person are possibly the sole cause, and the plaintiff has
introduced evidence that one of the two persons, or one of the
same person's two acts, is culpable, then the defendant has
the burden of proving that the other person, or his other act,
was the sole cause of the harm").
While requiring that the plaintiff in a tort suit or a Title
VII action prove that the defendant's "breach of duty" was
the "but-for" cause of an injury does not generally hamper
effective enforcement of the policies behind those causes of
action,
"at other times the [but-for] test demands the impossible.
It challenges the imagination of the trier to probe
into a purely fanciful and unknowable state of affairs.
He is invited to make an estimate concerning facts that
concededly never existed. The very uncertainty as to
what might have happened opens the door wide for conjecture.
But when conjecture is demanded it can be
given a direction that is consistent with the policy
considerations that underlie the controversy." Malone,
Ruminations on Cause-In-Fact, 9 Stan. L. Rev. 60, 67
(1956).
Like the common law of torts, the statutory employment
"tort" created by Title VII has two basic purposes. The first
is to deter conduct which has been identified as contrary
to public policy and harmful to society as a whole. As we
have noted in the past, the award of backpay to a Title VII
plaintiff provides "the spur or catalyst which causes employers
and unions to self-examine and to self-evaluate their employment
practices and to endeavor to eliminate, so far as
Page 265
possible, the last vestiges" of discrimination in employment.
Albemarle Paper Co. v. Moody, 422 U.S. 405, 417-418
(1975) (citation omitted). The second goal of Title VII is
"to make persons whole for injuries suffered on account of unlawful
employment discrimination." Id., at 418.
Both these goals are reflected in the elements of a disparate
treatment action. There is no doubt that Congress considered
reliance on gender or race in making employment decisions
an evil in itself. As Senator Clark put it, "[t]he bill
simply eliminates consideration of color [or other forbidden
criteria] from the decision to hire or promote." 110 Cong.
Rec. 7218 (1964). See also id., at 13088 (remarks of Sen.
Humphrey) ("What the bill does . . . is simply to make it
an illegal practice to use race as a factor in denying employment").
Reliance on such factors is exactly what the
threat of Title VII liability was meant to deter. While the
main concern of the statute was with employment opportunity,
Congress was certainly not blind to the stigmatic harm
which comes from being evaluated by a process which treats
one as an inferior by reason of one's race or sex. This
Court's decisions under the Equal Protection Clause have
long recognized that whatever the final outcome of a decisional
process, the inclusion of race or sex as a consideration
within it harms both society and the individual. See Richmond
v. J. A. Croson Co., 488 U.S. 469 (1989). At the
same time, Congress clearly conditioned legal liability on a
determination that the consideration of an illegitimate factor
caused a tangible employment injury of some kind.
Where an individual disparate treatment plaintiff has
shown by a preponderance of the evidence that an illegitimate
criterion was a substantial factor in an adverse employment
decision, the deterrent purpose of the statute has
clearly been triggered. More importantly, as an evidentiary
matter, a reasonable factfinder could conclude that absent
further explanation, the employer's discriminatory motivation
"caused" the employment decision. The employer has
Page 266
not yet been shown to be a violator, but neither is it entitled
to the same presumption of good faith concerning its employment
decisions which is accorded employers facing only circumstantial
evidence of discrimination. Both the policies behind
the statute, and the evidentiary principles developed in
the analogous area of causation in the law of torts, suggest
that at this point the employer may be required to convince
the factfinder that, despite the smoke, there is no fire.
We have given recognition to these principles in our cases
which have discussed the "remedial phase" of class action disparate
treatment cases. Once the class has established that
discrimination against a protected group was essentially the
employer's "standard practice," there has been harm to the
group and injunctive relief is appropriate. But as to the individual
members of the class, the liability phase of the litigation
is not complete. See Dillon v. Coles, 746 F.2d 998,
1004 (CA3 1984) ("It is misleading to speak of the additional
proof required by an individual class member for relief as
being a part of the damage phase, that evidence is actually
an element of the liability portion of the case") (footnote omitted).
Because the class has already demonstrated that, as a
rule, illegitimate factors were considered in the employer's
decisions, the burden shifts to the employer "to demonstrate
that the individual applicant was denied an employment
opportunity for legitimate reasons." Teamsters v. United
States, 431 U.S. 324, 362 (1977). See also Franks v. Bowman
Transportation Co., 424 U.S. 747, 772 (1976).
The individual members of a class action disparate treatment
case stand in much the same position as Ann Hopkins
here. There has been a strong showing that the employer
has done exactly what Title VII forbids, but the connection
between the employer's illegitimate motivation and any injury
to the individual plaintiff is unclear. At this point
calling upon the employer to show that despite consideration
of illegitimate factors the individual plaintiff would not have
been hired or promoted in any event hardly seems "unfair" or
Page 267
contrary to the substantive command of the statute. In fact,
an individual plaintiff who has shown that an illegitimate factor
played a substantial role in the decision in his or her case
has proved more than the class member in a Teamsters type
action. The latter receives the benefit of a burden shift to
the defendant based on the likelihood that an illegitimate criterion
was a factor in the individual employment decision.
There is a tension between the Franks and Teamsters line
of decisions and the individual disparate treatment cases
cited by the dissent. See post, at 286-289. Logically, under
the dissent's view, each member of a disparate treatment
class action would have to show "but-for" causation as to his
or her individual employment decision, since it is not an element
of the pattern or practice proof of the entire class and
it is statutorily mandated that the plaintiff bear the burden
of proof on this issue throughout the litigation. While the
Court has properly drawn a distinction between the elements
of a class action claim and an individual disparate treatment
claim, see Cooper v. Federal Reserve Bank of Richmond,
467 U.S. 867, 873-878 (1984), and I do not suggest the wholesale
transposition of rules from one setting to the other, our decisions
in Teamsters and Franks do indicate a recognition that
presumptions shifting the burden of persuasion based on evidentiary
probabilities and the policies behind the statute are
not alien to our Title VII jurisprudence.
Moreover, placing the burden on the defendant in this case
to prove that the same decision would have been justified by
legitimate reasons is consistent with our interpretation of the
constitutional guarantee of equal protection. Like a disparate
treatment plaintiff, one who asserts that governmental
action violates the Equal Protection Clause must show that
he or she is "the victim of intentional discrimination." Burdine,
450 U.S., at 256. Compare post, at 286, 289 (KENNEDY,
J., dissenting), with Washington v. Davis, 426 U.S. 229,
240 (1976). In Alexander v. Louisiana, 405 U.S. 625
(1972), we dealt with a criminal defendant's allegation that
Page 268
members of his race had been invidiously excluded from the
grand jury which indicted him in violation of the Equal Protection
Clause. In addition to the statistical evidence presented
by petitioner in that case, we noted that the State's
"selection procedures themselves were not racially neutral."
Id., at 630. Once the consideration of race in the decisional
process had been established, we held that "the burden of
proof shifts to the State to rebut the presumption of unconstitutional
action by showing that permissible racially neutral
selection criteria and procedures have produced the monochromatic
result." Id., at 632.
We adhered to similar principles in Arlington Heights v.
Metropolitan Housing Development Corp., 429 U.S. 252
(1977), a case which, like this one, presented the problems of
motivation and causation in the context of a multimember decisionmaking
body authorized to consider a wide range of factors
in arriving at its decisions. In Arlington Heights a
group of minority plaintiffs claimed that a municipal governing
body's refusal to rezone a plot of land to allow for the
construction of low-income integrated housing was racially
motivated. On the issue of causation, we indicated that the
plaintiff was not required
"to prove that the challenged action rested solely on
racially discriminatory purposes. Rarely can it be said
that a legislature or administrative body operating under
a broad mandate made a decision motivated solely by
a single concern, or even that a particular purpose was
the `dominant' or `primary' one. In fact, it is because
legislators and administrators are properly concerned
with balancing numerous competing considerations that
courts refrain from reviewing the merits of their decisions,
absent a showing of arbitrariness or irrationality.
But racial discrimination is not just another competing
consideration. When there is a proof that a discriminatory
purpose has been a motivating factor in the decision,
Page 269
this judicial deference is no longer justified." Id.,
at 265-266 (citation omitted).
If the strong presumption of regularity and rationality of
legislative decisionmaking must give way in the face of evidence
that race has played a significant part in a legislative
decision, I simply cannot believe that Congress intended
Title VII to accord more deference to a private employer
in the face of evidence that its decisional process has been
substantially infected by discrimination. Indeed, where a
public employee brings a "disparate treatment" claim under
42 U.S.C. § 1983 and the Equal Protection Clause the employee
is entitled to the favorable evidentiary framework of
Arlington Heights. See, e. g., Hervey v. Little Rock, 787 F.2d 1223,
1233-1234 (CA8 1986) (applying Arlington Heights
to public employee's claim of sex discrimination in promotion
decision); Lee v. Russell County Bd. of Education, 684 F.2d 769,
773-774 (CA11 1982) (applying Arlington Heights to
public employees' claims of race discrimination in discharge
case). Under the dissent's reading of Title VII, Congress'
extension of the coverage of the statute to public employers
in 1972 has placed these employees under a less favorable
evidentiary regime. In my view, nothing in the language,
history, or purpose of Title VII prohibits adoption of an
evidentiary rule which places the burden of persuasion on
the defendant to demonstrate that legitimate concerns would
have justified an adverse employment action where the plaintiff
has convinced the factfinder that a forbidden factor
played a substantial role in the employment decision. Even
the dissenting judge below "[had] no quarrel with [the] principle"
that "a party with one permissible motive and one
unlawful one may prevail only by affirmatively proving that
it would have acted as it did even if the forbidden motive
were absent." 263 U.S.App.D.C. 321, 341, 825 F.2d 458,
478 (1987) (Williams, J. dissenting).
Page 270
II
The dissent's summary of our individual disparate treatment
cases to date is fair and accurate, and amply demonstrates
that the rule we adopt today is at least a change
in direction from some of our prior precedents. See post,
at 286-289. We have indeed emphasized in the past that
in an individual disparate treatment action the plaintiff
bears the burden of persuasion throughout the litigation.
Nor have we confined the word "pretext" to the narrow definition
which the plurality attempts to pin on it today. See
ante, at 244-247. McDonnell Douglas and Burdine clearly
contemplated that a disparate treatment plaintiff could show
that the employer's proffered explanation for an event was
not "the true reason" either because it never motivated the
employer in its employment decisions or because it did not do
so in a particular case. McDonnell Douglas and Burdine assumed
that the plaintiff would bear the burden of persuasion
as to both these attacks, and we clearly depart from that
framework today. Such a departure requires justification,
and its outlines should be carefully drawn.
First, McDonnell Douglas itself dealt with a situation
where the plaintiff presented no direct evidence that the employer
had relied on a forbidden factor under Title VII in
making an employment decision. The prima facie case established
there was not difficult to prove, and was based only
on the statistical probability that when a number of potential
causes for an employment decision are eliminated an inference
arises that an illegitimate factor was in fact the motivation
behind the decision. See Teamsters, 431 U.S., at 358,
n. 44 ("[T]he McDonnell Douglas formula does not require
direct proof of discrimination"). In the face of this inferential
proof, the employer's burden was deemed to be only one
of production; the employer must articulate a legitimate reason
for the adverse employment action. See Furnco Construction
Corp. v. Waters, 438 U.S. 567, 577 (1978). The
plaintiff must then be given an "opportunity to demonstrate
Page 271
by competent evidence that the presumptively valid reasons
for his rejection were in fact a coverup for a racially discriminatory
decision." McDonnell Douglas,
411 U.S., at 805. Our decision in Texas Dept. of Community Affairs v.
Burdine, 450 U.S. 248 (1981), also involved the "narrow
question" whether, after a plaintiff had carried the "not onerous"
burden of establishing the prima facie case under McDonnell
Douglas, the burden of persuasion should be shifted
to the employer to prove that a legitimate reason for the
adverse employment action existed. 450 U.S., at 250. As
the discussion of Teamsters and Arlington Heights indicates,
I do not think that the employer is entitled to the same presumption
of good faith where there is direct evidence that it
has placed substantial reliance on factors whose consideration
is forbidden by Title VII.
The only individual disparate treatment case cited by the
dissent which involved the kind of direct evidence of discriminatory
animus with which we are confronted here is
United States Postal Service Bd. of Governors v. Aikens,
460 U.S. 711, 713-714, n. 2 (1983). The question presented to
the Court in that case involved only a challenge to the elements
of the prima facie case under McDonnell Douglas and
Burdine, see Pet. for Cert. in United States Postal Service
Bd. of Governors v. Aikens, O. T. 1981, No. 81-1044, and the
question we confront today was neither briefed nor argued to
the Court. As should be apparent, the entire purpose of the
McDonnell Douglas prima facie case is to compensate for the
fact that direct evidence of intentional discrimination is hard
to come by. That the employer's burden in rebutting such
an inferential case of discrimination is only one of production
does not mean that the scales should be weighted in the
same manner where there is direct evidence of intentional
discrimination. Indeed, in one Age Discrimination in Employment
Act case, the Court seemed to indicate that "the
McDonnell Douglas test is inapplicable where the plaintiff
presents direct evidence of discrimination." Trans World
Page 272
Airlines, Inc. v. Thurston, 469 U.S. 111, 121 (1985). See
also East Texas Motor Freight System, Inc. v. Rodriguez,
431 U.S. 395, 403-404, n. 9 (1977).
Second, the facts of this case, and a growing number like
it decided by the Courts of Appeals, convince me that the evidentiary
standard I propose is necessary to make real the
promise of McDonnell Douglas that "[i]n the implementation
of [employment] decisions, it is abundantly clear that Title
VII tolerates no . . . discrimination, subtle or otherwise."
411 U.S., at 801. In this case, the District Court found that
a number of the evaluations of Ann Hopkins submitted by
partners in the firm overtly referred to her failure to conform
to certain gender stereotypes as a factor militating against
her election to the partnership. 618 F. Supp. 1109, 1116-1117
(DC 1985). The District Court further found that these
evaluations were given "great weight" by the decisionmakers
at Price Waterhouse. Id., at 1118. In addition, the District
Court found that the partner responsible for informing Hopkins
of the factors which caused her candidacy to be placed
on hold, indicated that her "professional" problems would
be solved if she would "walk more femininely, talk more femininely,
wear make-up, have her hair styled, and wear jewelry."
Id., at 1117 (footnote omitted). As the Court of
Appeals characterized it, Ann Hopkins proved that Price
Waterhouse "permitt[ed] stereotypical attitudes towards
women to play a significant, though unquantifiable, role in its
decision not to invite her to become a partner."
263 U.S. App. D.C., at 324, 825 F.2d, at 461.
At this point Ann Hopkins had taken her proof as far as
it could go. She had proved discriminatory input into the
decisional process, and had proved that participants in the
process considered her failure to conform to the stereotypes
credited by a number of the decisionmakers had been a substantial
factor in the decision. It is as if Ann Hopkins were
sitting in the hall outside the room where partnership decisions
were being made. As the partners filed in to consider
Page 273
her candidacy, she heard several of them make sexist remarks
in discussing her suitability for partnership. As the
decisionmakers exited the room, she was told by one of those
privy to the decisionmaking process that her gender was a
major reason for the rejection of her partnership bid. If, as
we noted in Teamsters, "[p]resumptions shifting the burden
of proof are often created to reflect judicial evaluations of
probabilities and to conform with a party's superior access
to the proof," 431 U.S., at 359, n. 45, one would be hard
pressed to think of a situation where it would be more appropriate
to require the defendant to show that its decision
would have been justified by wholly legitimate concerns.
Moreover, there is mounting evidence in the decisions of
the lower courts that respondent here is not alone in her inability
to pinpoint discrimination as the precise cause of her
injury, despite having shown that it played a significant role
in the decisional process. Many of these courts, which deal
with the evidentiary issues in Title VII cases on a regular
basis, have concluded that placing the risk of nonpersuasion
on the defendant in a situation where uncertainty as to causation
has been created by its consideration of an illegitimate
criterion makes sense as a rule of evidence and furthers the
substantive command of Title VII. See, e. g., Bell v. Birmingham
Linen Service, 715 F.2d 1552, 1556 (CA11 1983)
(Tjoflat, J.) ("It would be illogical, indeed ironic, to hold a
Title VII plaintiff presenting direct evidence of a defendant's
intent to discriminate to a more stringent burden of proof, or
to allow a defendant to meet that direct proof by merely
articulating, but not proving, legitimate, nondiscriminatory
reasons for its action"). Particularly in the context of the
professional world, where decisions are often made by collegial
bodies on the basis of largely subjective criteria, requiring
the plaintiff to prove that any one factor was the definitive
cause of the decisionmakers' action may be tantamount
to declaring Title VII inapplicable to such decisions. See,
e. g., Fields v. Clark University, 817 F.2d 931, 935-937
Page 274
(CA1 1987) (where plaintiff produced "strong evidence" that
sexist attitudes infected faculty tenure decision, burden properly
shifted to defendant to show that it would have reached
the same decision absent discrimination); Thompkins v. Morris
Brown College, 752 F.2d 558, 563 (CA11 1985) (direct
evidence of discriminatory animus in decision to discharge
college professor shifted burden of persuasion to defendant).
Finally, I am convinced that a rule shifting the burden to
the defendant where the plaintiff has shown that an illegitimate
criterion was a "substantial factor" in the employment
decision will not conflict with other congressional policies embodied
in Title VII. Title VII expressly provides that an
employer need not give preferential treatment to employees
or applicants of any race, color, religion, sex, or national origin
in order to maintain a work force in balance with the general
population. See 42 U.S.C. § 2000e-2(j). The interpretive
memorandum, whose authoritative force is noted by
the plurality, see ante, at 243, n. 8, specifically provides:
"There is no requirement in title VII that an employer maintain
a racial balance in his work force. On the contrary, any
deliberate attempt to maintain a racial balance, whatever
such a balance may be, would involve a violation of title VII
because maintaining such a balance would require an employer
to hire or refuse to hire on the basis of race." 110
Cong. Rec. 7213 (1964).
Last Term, in Watson v. Fort Worth Bank & Trust,
487 U.S. 977 (1988), the Court unanimously concluded that the
disparate impact analysis first enunciated in Griggs v. Duke
Power Co., 401 U.S. 424 (1971), should be extended to subjective
or discretionary selection processes. At the same
time a plurality of the Court indicated concern that the focus
on bare statistics in the disparate impact setting could force
employers to adopt "inappropriate prophylactic measures" in
violation of § 2000e-2(j). The plurality went on to emphasize
that in a disparate impact case, the plaintiff may not simply
Page 275
point to a statistical disparity in the employer's work force.
Instead, the plaintiff must identify a particular employment
practice and "must offer statistical evidence of a kind and
degree sufficient to show that the practice in question has
caused the exclusion of applicants for jobs or promotions because
of their membership in a protected group."
487 U.S., at 994. The plurality indicated that "the ultimate burden
of proving that discrimination against a protected group has
been caused by a specific employment practice remains with
the plaintiff at all times." Id., at 997.
I believe there are significant differences between shifting
the burden of persuasion to the employer in a case resting
purely on statistical proof as in the disparate impact setting
and shifting the burden of persuasion in a case like this one,
where an employee has demonstrated by direct evidence that
an illegitimate factor played a substantial role in a particular
employment decision. First, the explicit consideration of
race, color, religion, sex, or national origin in making employment
decisions "was the most obvious evil Congress had in
mind when it enacted Title VII." Teamsters,
431 U.S., at 335, n. 15. While the prima facie case under McDonnell
Douglas and the statistical showing of imbalance involved in
a disparate impact case may both be indicators of discrimination
or its "functional equivalent," they are not, in and of
themselves, the evils Congress sought to eradicate from the
employment setting. Second, shifting the burden of persuasion
to the employer in a situation like this one creates no
incentive to preferential treatment in violation of § 2000e-(2)(j).
To avoid bearing the burden of justifying its decision,
the employer need not seek racial or sexual balance in its
work force; rather, all it need do is avoid substantial reliance
on forbidden criteria in making its employment decisions.
While the danger of forcing employers to engage in unwarranted
preferential treatment is thus less dramatic in
this setting than in the situation the Court faced in Watson,
it is far from wholly illusory. Based on its misreading of
Page 276
the words "because of" in the statute, see ante, at 240-242,
the plurality appears to conclude that if a decisional process is
"tainted" by awareness of sex or race in any way, the employer
has violated the statute, and Title VII thus commands
that the burden shift to the employer to justify its decision.
Ante, at 250-252. The plurality thus effectively reads the
causation requirement out of the statute, and then replaces it
with an "affirmative defense." Ante, at 244-247.
In my view, in order to justify shifting the burden on the
issue of causation to the defendant, a disparate treatment
plaintiff must show by direct evidence that an illegitimate
criterion was a substantial factor in the decision. As the
Court of Appeals noted below: "While most circuits have not
confronted the question squarely, the consensus among those
that have is that once a Title VII plaintiff has demonstrated
by direct evidence that discriminatory animus played a significant
or substantial role in the employment decision, the
burden shifts to the employer to show that the decision would
have been the same absent discrimination."
263 U.S.App.D.C., at 333-344, 825 F.2d, at 470-471. Requiring that the
plaintiff demonstrate that an illegitimate factor played a substantial
role in the employment decision identifies those employment
situations where the deterrent purpose of Title VII
is most clearly implicated. As an evidentiary matter, where
a plaintiff has made this type of strong showing of illicit motivation,
the factfinder is entitled to presume that the employer's
discriminatory animus made a difference to the outcome,
absent proof to the contrary from the employer. Where a
disparate treatment plaintiff has made such a showing, the
burden then rests with the employer to convince the trier of
fact that it is more likely than not that the decision would
have been the same absent consideration of the illegitimate
factor. The employer need not isolate the sole cause for the
decision; rather it must demonstrate that with the illegitimate
factor removed from the calculus, sufficient business
reasons would have induced it to take the same employment
Page 277
action. This evidentiary scheme essentially requires the employer
to place the employee in the same position he or she
would have occupied absent discrimination. Cf. Mt. Healthy
City Bd. of Ed. v. Doyle, 429 U.S. 274, 286 (1977). If the
employer fails to carry this burden, the factfinder is justified
in concluding that the decision was made "because of" consideration
of the illegitimate factor and the substantive standard
for liability under the statute is satisfied.
Thus, stray remarks in the workplace, while perhaps probative
of sexual harassment, see Meritor Savings Bank v.
Vinson, 477 U.S. 57, 63-69 (1986), cannot justify requiring
the employer to prove that its hiring or promotion decisions
were based on legitimate criteria. Nor can statements by
nondecisionmakers, or statements by decisionmakers unrelated
to the decisional process itself, suffice to satisfy the
plaintiff's burden in this regard. In addition, in my view testimony
such as Dr. Fiske's in this case, standing alone, would
not justify shifting the burden of persuasion to the employer.
Race and gender always "play a role" in an employment decision
in the benign sense that these are human characteristics
of which decisionmakers are aware and about which they may
comment in a perfectly neutral and nondiscriminatory fashion.
For example, in the context of this case, a mere reference
to "a lady candidate" might show that gender "played a
role" in the decision, but by no means could support a rational
factfinder's inference that the decision was made "because of"
sex. What is required is what Ann Hopkins showed here:
direct evidence that decisionmakers placed substantial negative
reliance on an illegitimate criterion in reaching their
decision.
It should be obvious that the threshold standard I would
adopt for shifting the burden of persuasion to the defendant
differs substantially from that proposed by the plurality, the
plurality's suggestion to the contrary notwithstanding. See
ante, at 250, n. 13. The plurality proceeds from the premise
that the words "because of" in the statute do not embody any
Page 278
causal requirement at all. Under my approach, the plaintiff
must produce evidence sufficient to show that an illegitimate
criterion was a substantial factor in the particular employment
decision such that a reasonable factfinder could draw an
inference that the decision was made "because of" the plaintiff's
protected status. Only then would the burden of proof
shift to the defendant to prove that the decision would have
been justified by other, wholly legitimate considerations.
See also ante, at 259-260 (WHITE, J., concurring in judgment).
In sum, because of the concerns outlined above, and because
I believe that the deterrent purpose of Title VII is
disserved by a rule which places the burden of proof on plaintiffs
on the issue of causation in all circumstances, I would
retain but supplement the framework we established in McDonnell
Douglas and subsequent cases. The structure of
the presentation of evidence in an individual disparate treatment
case should conform to the general outlines we established
in McDonnell Douglas and Burdine. First, the plaintiff
must establish the McDonnell Douglas prima facie case
by showing membership in a protected group, qualification
for the job, rejection for the position, and that after rejection
the employer continued to seek applicants of complainant's
general qualifications. McDonnell Douglas,
411 U.S., at 802. The plaintiff should also present any direct evidence of
discriminatory animus in the decisional process. The defendant
should then present its case, including its evidence as
to legitimate, nondiscriminatory reasons for the employment
decision. As the dissent notes, under this framework, the
employer "has every incentive to convince the trier of fact
that the decision was lawful." Post, at 292, citing Burdine,
450 U.S., at 258. Once all the evidence has been received,
the court should determine whether the McDonnell Douglas
or Price Waterhouse framework properly applies to the evidence
before it. If the plaintiff has failed to satisfy the Price
Waterhouse threshold, the case should be decided under the
principles enunciated in McDonnell Douglas and Burdine,
Page 279
with the plaintiff bearing the burden of persuasion on the
ultimate issue whether the employment action was taken because
of discrimination. In my view, such a system is both
fair and workable, and it calibrates the evidentiary requirements
demanded of the parties to the goals behind the statute
itself.
I agree with the dissent, see post, at 293, n. 4, that the
evidentiary framework I propose should be available to all
disparate treatment plaintiffs where an illegitimate consideration
played a substantial role in an adverse employment
decision. The Court's allocation of the burden of proof
in Johnson v. Transportation Agency, Santa Clara County,
480 U.S. 616, 626-627 (1987), rested squarely on "the analytical
framework set forth in McDonnell Douglas," id., at 626,
which we alter today. It would be odd to say the least if the
evidentiary rules applicable to Title VII actions were themselves
dependent on the gender or the skin color of the litigants.
But see ante, at 239, n. 3.
In this case, I agree with the plurality that petitioner
should be called upon to show that the outcome would have
been the same if respondent's professional merit had been its
only concern. On remand, the District Court should determine
whether Price Waterhouse has shown by a preponderance
of the evidence that if gender had not been part of the
process, its employment decision concerning Ann Hopkins
would nonetheless have been the same.
JUSTICE KENNEDY, with whom THE CHIEF JUSTICE and
JUSTICE SCALIA join, dissenting.
Today the Court manipulates existing and complex rules
for employment discrimination cases in a way certain to result
in confusion. Continued adherence to the evidentiary
scheme established in McDonnell Douglas Corp. v. Green,
411 U.S. 792 (1973), and Texas Dept. of Community Affairs
v. Burdine, 450 U.S. 248 (1981), is a wiser course than creation
of more disarray in an area of the law already difficult
for the bench and bar, and so I must dissent.
Page 280
Before turning to my reasons for disagreement with the
Court's disposition of the case, it is important to review the
actual holding of today's decision. I read the opinions as
establishing that in a limited number of cases Title VII plaintiffs,
by presenting direct and substantial evidence of discriminatory
animus, may shift the burden of persuasion to
the defendant to show that an adverse employment decision
would have been supported by legitimate reasons. The shift
in the burden of persuasion occurs only where a plaintiff
proves by direct evidence that an unlawful motive was a substantial
factor actually relied upon in making the decision.
Ante, at 276-277 (opinion of O'CONNOR, J.); ante, at 259-260
(opinion of WHITE, J.). As the opinions make plain, the evidentiary
scheme created today is not for every case in which
a plaintiff produces evidence of stray remarks in the workplace.
Ante, at 251 (opinion of BRENNAN, J.); ante, at 277
(opinion of O'CONNOR, J.).
Where the plaintiff makes the requisite showing, the burden
that shifts to the employer is to show that legitimate
employment considerations would have justified the decision
without reference to any impermissible motive. Ante, at
260-261 (opinion of WHITE, J.); ante, at 278 (opinion of
O'CONNOR, J.). The employer's proof on the point is to be
presented and reviewed just as with any other evidentiary
question: the Court does not accept the plurality's suggestion
that an employer's evidence need be "objective" or otherwise
out of the ordinary. Ante, at 261 (opinion of WHITE, J.).
In sum, the Court alters the evidentiary framework of
McDonnell Douglas and Burdine for a closely defined set
of cases. Although JUSTICE O'CONNOR advances some
thoughtful arguments for this change, I remain convinced
that it is unnecessary and unwise. More troubling is the plurality's
rationale for today's decision, which includes a number
of unfortunate pronouncements on both causation and
methods of proof in employment discrimination cases. To
demonstrate the defects in the plurality's reasoning, it is necessary
Page 281
to discuss, first, the standard of causation in Title VII
cases, and, second, the burden of proof.
I
The plurality describes this as a case about the standard of
causation under Title VII, ante, at 237, but I respectfully
suggest that the description is misleading. Much of the plurality's
rhetoric is spent denouncing a "but-for" standard
of causation. The theory of Title VII liability the plurality
adopts, however, essentially incorporates the but-for standard.
The importance of today's decision is not the standard
of causation it employs, but its shift to the defendant of the
burden of proof. The plurality's causation analysis is misdirected,
for it is clear that, whoever bears the burden of proof
on the issue, Title VII liability requires a finding of but-for
causation. See also ante, at 261, and n. (opinion of WHITE,
J.); ante, at 262-263 (opinion of O'CONNOR, J.).
The words of Title VII are not obscure. The part of the
statute relevant to this case provides:
"It shall be an unlawful employment practice for an
employer â€â€
"(1) to fail or refuse to hire or to discharge any individual,
or otherwise to discriminate against any individual
with respect to his compensation, terms, conditions,
or privileges of employment, because of such individual's
race, color, religion, sex, or national origin."
42 U.S.C. § 2000e-2(a)(1) (emphasis added).
By any normal understanding, the phrase "because of" conveys
the idea that the motive in question made a difference
to the outcome. We use the words this way in everyday
speech. And assuming, as the plurality does, that we ought
to consider the interpretive memorandum prepared by the
statute's drafters, we find that this is what the words meant
to them as well. "To discriminate is to make a distinction, to
make a difference in treatment or favor." 110 Cong. Rec.
7213 (1964). Congress could not have chosen a clearer way
Page 282
to indicate that proof of liability under Title VII requires
a showing that race, color, religion, sex, or national origin
caused the decision at issue.
Our decisions confirm that Title VII is not concerned with
the mere presence of impermissible motives; it is directed to
employment decisions that result from those motives. The
verbal formulae we have used in our precedents are synonymous
with but-for causation. Thus we have said that providing
different insurance coverage to male and female employees
violates the statute by treating the employee "`in a
manner which but-for that person's sex would be different.'"
Newport News Shipbuilding & Dry Dock Co. v. EEOC,
462 U.S. 669, 683 (1983), quoting Los Angeles Dept. of Water
and Power v. Manhart, 435 U.S. 702, 711 (1978). We have
described the relevant question as whether the employment
decision was "based on" a discriminatory criterion, Teamsters
v. United States, 431 U.S. 324, 358 (1977), or whether
the particular employment decision at issue was "made on the
basis of" an impermissible factor, Cooper v. Federal Reserve
Bank of Richmond, 467 U.S. 867, 875 (1984).
What we term "but-for" cause is the least rigorous standard
that is consistent with the approach to causation our
precedents describe. If a motive is not a but-for cause of
an event, then by definition it did not make a difference to
the outcome. The event would have occurred just the same
without it. Common-law approaches to causation often require
proof of but-for cause as a starting point toward proof
of legal cause. The law may require more than but-for
cause, for instance proximate cause, before imposing liability.
Any standard less than but-for, however, simply represents
a decision to impose liability without causation. As
Dean Prosser puts it, "[a]n act or omission is not regarded
as a cause of an event if the particular event would have
occurred without it." W. Keeton, D. Dobbs, R. Keeton, &
D. Owen, Prosser and Keeton on Law of Torts 265 (5th ed.
1984).
Page 283
One of the principal reasons the plurality decision may sow
confusion is that it claims Title VII liability is unrelated to
but-for causation, yet it adopts a but-for standard once it has
placed the burden of proof as to causation upon the employer.
This approach conflates the question whether causation must
be shown with the question of how it is to be shown. Because
the plurality's theory of Title VII causation is ultimately
consistent with a but-for standard, it might be said
that my disagreement with the plurality's comments on but-for
cause is simply academic. See ante, at 259 (opinion of
WHITE, J.). But since those comments seem to influence the
decision, I turn now to that part of the plurality's analysis.
The plurality begins by noting the quite unremarkable fact
that Title VII is written in the present tense. Ante, at 240-241.
It is unlawful "to fail" or "to refuse" to provide employment
benefits on the basis of sex, not "to have failed" or
"to have refused" to have done so. The plurality claims that
the present tense excludes a but-for inquiry as the relevant
standard because but-for causation is necessarily concerned
with a hypothetical inquiry into how a past event would have
occurred absent the contested motivation. This observation,
however, tells us nothing of particular relevance to Title VII
or the cause of action it creates. I am unaware of any federal
prohibitory statute that is written in the past tense.
Every liability determination, including the novel one constructed
by the plurality, necessarily is concerned with the
examination of a past event.[fn1] The plurality's analysis of
verb tense serves only to divert attention from the causation
requirement that is made part of the statute by the "because
Page 284
of" phrase. That phrase, I respectfully submit, embodies a
rather simple concept that the plurality labors to ignore.[fn2]
We are told next that but-for cause is not required, since
the words "because of" do not mean "solely because of."
Ante, at 241. No one contends, however, that sex must be
the sole cause of a decision before there is a Title VII violation.
This is a separate question from whether consideration
of sex must be a cause of the decision. Under the accepted
approach to causation that I have discussed, sex is a cause for
the employment decision whenever, either by itself or in
combination with other factors, it made a difference to the
decision. Discrimination need not be the sole cause in order
for liability to arise, but merely a necessary element of the
set of factors that caused the decision, i. e., a but-for cause.
See McDonald v. Santa Fe Trail Transportation Co.,
427 U.S. 273, 282, n. 10 (1976). The plurality seems to say that
since we know the words "because of" do not mean "solely because
of," they must not mean "because of" at all. This does
not follow, as a matter of either semantics or logic.
The plurality's reliance on the "bona fide occupational
qualification" (BFOQ) provisions of Title VII, 42 U.S.C. § 2000e-2(e),
is particularly inapt. The BFOQ provisions
allow an employer, in certain cases, to make an employment
decision of which it is conceded that sex is the cause. That
sex may be the legitimate cause of an employment decision
where gender is a BFOQ is consistent with the opposite command
Page 285
that a decision caused by sex in any other case justifies
the imposition of Title VII liability. This principle does not
support, however, the novel assertion that a violation has occurred
where sex made no difference to the outcome.
The most confusing aspect of the plurality's analysis of causation
and liability is its internal inconsistency. The plurality
begins by saying: "When . . . an employer considers both
gender and legitimate factors at the time of making a decision,
that decision was `because of' sex and the other, legitimate
considerations  even if we may say later, in the context
of litigation, that the decision would have been the same if
gender had not been taken into account." Ante, at 241. Yet
it goes on to state that "an employer shall not be liable if it
can prove that, even if it had not taken gender into account,
it would have come to the same decision." Ante, at 242.
Given the language of the statute, these statements cannot
both be true. Title VII unambiguously states that an employer
who makes decisions "because of" sex has violated the
statute. The plurality's first statement therefore appears to
indicate that an employer who considers illegitimate reasons
when making a decision is a violator. But the opinion then
tells us that the employer who shows that the same decision
would have been made absent consideration of sex is not a violator.
If the second statement is to be reconciled with the
language of Title VII, it must be that a decision that would
have been the same absent consideration of sex was not made
"because of" sex. In other words, there is no violation of the
statute absent but-for causation. The plurality's description
of the "same decision" test it adopts supports this view. The
opinion states that "[a] court that finds for a plaintiff under
this standard has effectively concluded that an illegitimate
motive was a `but-for' cause of the employment decision,"
ante, at 249, and that this "is not an imposition of liability
`where sex made no difference to the outcome,'" ante, at 246,
n. 11.
Page 286
The plurality attempts to reconcile its internal inconsistency
on the causation issue by describing the employer's
showing as an "affirmative defense." This is nothing more
than a label, and one not found in the language or legislative
history of Title VII. Section 703(a)(1) is the statutory basis
of the cause of action, and the Court is obligated to explain
how its disparate-treatment decisions are consistent with the
terms of § 703(a)(1), not with general themes of legislative
history or with other parts of the statute that are plainly inapposite.
While the test ultimately adopted by the plurality
may not be inconsistent with the terms of § 703(a)(1), see
infra, at 292, the same cannot be said of the plurality's reasoning
with respect to causation. As JUSTICE O'CONNOR describes
it, the plurality "reads the causation requirement out
of the statute, and then replaces it with an `affirmative defense.'"
Ante, at 276. Labels aside, the import of today's
decision is not that Title VII liability can arise without but-for
causation, but that in certain cases it is not the plaintiff
who must prove the presence of causation, but the defendant
who must prove its absence.
II
We established the order of proof for individual Title VII
disparate-treatment cases in McDonnell Douglas Corp. v.
Green, 411 U.S. 792 (1973), and reaffirmed this allocation in
Texas Dept. of Community Affairs v. Burdine, 450 U.S. 248
(1981). Under Burdine, once the plaintiff presents a prima
facie case, an inference of discrimination arises. The employer
must rebut the inference by articulating a legitimate
nondiscriminatory reason for its action. The final burden
of persuasion, however, belongs to the plaintiff. Burdine
makes clear that the "ultimate burden of persuading the trier
of fact that the defendant intentionally discriminated against
the plaintiff remains at all times with the plaintiff." Id., at
253. See also Board of Trustees of Keene State College v.
Page 287
Sweeney, 439 U.S. 24, 29 (1978) (STEVENS, J., dissenting).[fn3]
I would adhere to this established evidentiary framework,
which provides the appropriate standard for this and other
individual disparate-treatment cases. Today's creation of a
new set of rules for "mixed-motives" cases is not mandated
by the statute itself. The Court's attempt at refinement
provides limited practical benefits at the cost of confusion and
complexity, with the attendant risk that the trier of fact will
misapprehend the controlling legal principles and reach an incorrect
decision.
In view of the plurality's treatment of Burdine and our
other disparate-treatment cases, it is important first to state
why those cases are dispositive here. The plurality tries to
reconcile its approach with Burdine by announcing that it applies
only to a "pretext" case, which it defines as a case in
which the plaintiff attempts to prove that the employer's
proffered explanation is itself false. Ante, at 245-247, and
n. 11. This ignores the language of Burdine, which states
that a plaintiff may succeed in meeting her ultimate burden of
persuasion "either directly by persuading the court that a discriminatory
reason more likely motivated the employer or indirectly
by showing that the employer's proffered explanation
is unworthy of credence." 450 U.S., at 256 (emphasis
added). Under the first of these two alternative methods, a
plaintiff meets her burden if she can "persuade the court that
the employment decision more likely than not was motivated
by a discriminatory reason." United States Postal Service
Bd. of Governors v. Aikens, 460 U.S. 711, 717-718 (1983)
Page 288
(BLACKMUN, J., concurring). The plurality makes no attempt
to address this aspect of our cases.
Our opinions make plain that Burdine applies to all individual
disparate-treatment cases, whether the plaintiff offers
direct proof that discrimination motivated the employer's
actions or chooses the indirect method of showing that the
employer's proffered justification is false, that is to say, a
pretext. See Aikens, supra, at 714, n. 3 ("As in any lawsuit,
the plaintiff may prove his case by direct or circumstantial
evidence"). The plurality is mistaken in suggesting that the
plaintiff in a so-called "mixed-motives" case will be disadvantaged
by having to "squeeze her proof into Burdine's
framework." Ante, at 247. As we acknowledged in McDonnell
Douglas, "[t]he facts necessarily will vary in Title
VII cases," and the specification of the prima facie case set
forth there "is not necessarily applicable in every respect to
differing factual situations." 411 U.S., at 802, n. 13. The
framework was "never intended to be rigid, mechanized, or
ritualistic." Aikens, supra, at 715. Burdine compels the
employer to come forward with its explanation of the decision
and permits the plaintiff to offer evidence under either of the
logical methods for proof of discrimination. This is hardly a
framework that confines the plaintiff; still less is it a justification
for saying that the ultimate burden of proof must be on
the employer in a mixed-motives case. Burdine provides an
orderly and adequate way to place both inferential and direct
proof before the factfinder for a determination whether intentional
discrimination has caused the employment decision.
Regardless of the character of the evidence presented, we
have consistently held that the ultimate burden "remains at
all times with the plaintiff." Burdine, supra, at 253.
Aikens illustrates the point. There, the evidence showed
that the plaintiff, a black man, was far more qualified than
any of the white applicants promoted ahead of him. More
important, the testimony showed that "the person responsible
for the promotion decisions at issue had made numerous
Page 289
derogatory comments about blacks in general and Aikens in
particular." 460 U.S., at 713-714, n. 2. Yet the Court in
Aikens reiterated that the case was to be tried under the
proof scheme of Burdine. JUSTICE BRENNAN and JUSTICE
BLACKMUN concurred to stress that the plaintiff could prevail
under the Burdine scheme in either of two ways, one of
which was directly to persuade the court that the employment
decision was motivated by discrimination.
460 U.S., at 718. Aikens leaves no doubt that the so-called "pretext"
framework of Burdine has been considered to provide a flexible
means of addressing all individual disparate-treatment
claims.
Downplaying the novelty of its opinion, the plurality claims
to have followed a "well-worn path" from our prior cases.
The path may be well worn, but it is in the wrong forest.
The plurality again relies on Title VII's BFOQ provisions,
under which an employer bears the burden of justifying the
use of a sex-based employment qualification. See Dothard
v. Rawlinson, 433 U.S. 321, 332-337 (1977). In the BFOQ
context this is a sensible, indeed necessary, allocation of the
burden, for there by definition sex is the but-for cause of
the employment decision and the only question remaining is
how the employer can justify it. The same is true of the
plurality's citations to Pregnancy Discrimination Act cases,
ante, at 248. In such cases there is no question that pregnancy
was the cause of the disputed action. The Pregnancy
Discrimination Act and BFOQ cases tell us nothing about the
case where the employer claims not that a sex-based decision
was justified, but that the decision was not sex-based at all.
Closer analogies to the plurality's new approach are found
in Mt. Healthy City Bd. of Ed. v. Doyle, 429 U.S. 274 (1977),
and NRLB v. Transportation Management Corp., 462 U.S. 393
(1983), but these cases were decided in different contexts.
Mt. Healthy was a First Amendment case involving the firing
of a teacher, and Transportation Management involved review
of the NLRB's interpretation of the National Labor Relations
Page 290
Act. The Transportation Management decision was
based on the deference that the Court traditionally accords
NLRB interpretations of the statutes it administers. See
462 U.S., at 402-403. Neither case therefore tells us why
the established Burdine framework should not continue to
govern the order of proof under Title VII.
In contrast to the plurality, JUSTICE O'CONNOR acknowledges
that the approach adopted today is a "departure from
the McDonnell Douglas standard." Ante, at 262. Although
her reasons for supporting this departure are not without
force, they are not dispositive. As JUSTICE O'CONNOR
states, the most that can be said with respect to the Title VII
itself is that "nothing in the language, history, or purpose
of Title VII prohibits adoption" of the new approach. Ante,
at 269 (emphasis added). JUSTICE O'CONNOR also relies on
analogies from the common law of torts, other types of Title
VII litigation, and our equal protection cases. These analogies
demonstrate that shifts in the burden of proof are not
unprecedented in the law of torts or employment discrimination.
Nonetheless, I believe continued adherence to the
Burdine framework is more consistent with the statutory
mandate. Congress' manifest concern with preventing imposition
of liability in cases where discriminatory animus did
not actually cause an adverse action, see ante, at 262 (opinion
of O'CONNOR, J.), suggests to me that an affirmative showing
of causation should be required. And the most relevant portion
of the legislative history supports just this view. See
n. 3, supra. The limited benefits that are likely to be produced
by today's innovation come at the sacrifice of clarity
and practical application.
The potential benefits of the new approach, in my view, are
overstated. First, the Court makes clear that the Price
Waterhouse scheme is applicable only in those cases where
the plaintiff has produced direct and substantial proof that an
impermissible motive was relied upon in making the decision
at issue. The burden shift properly will be found to apply in
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only a limited number of employment discrimination cases.
The application of the new scheme, furthermore, will make a
difference only in a smaller subset of cases. The practical
importance of the burden of proof is the "risk of nonpersuasion,"
and the new system will make a difference only where
the evidence is so evenly balanced that the factfinder cannot
say that either side's explanation of the case is "more likely"
true. This category will not include cases in which the allocation
of the burden of proof will be dispositive because of a
complete lack of evidence on the causation issue. Cf. Summers
v. Tice, 33 Cal.2d 80, 199 P.2d 1 (1948) (allocation
of burden dispositive because no evidence of which of two
negligently fired shots hit plaintiff). Rather, Price Waterhouse
will apply only to cases in which there is substantial
evidence of reliance on an impermissible motive, as well
as evidence from the employer that legitimate reasons supported
its action.
Although the Price Waterhouse system is not for every
case, almost every plaintiff is certain to ask for a Price
Waterhouse instruction, perhaps on the basis of "stray remarks"
or other evidence of discriminatory animus. Trial
and appellate courts will therefore be saddled with the task
of developing standards for determining when to apply the
burden shift. One of their new tasks will be the generation
of a jurisprudence of the meaning of "substantial factor."
Courts will also be required to make the often subtle
and difficult distinction between "direct" and "indirect" or
"circumstantial" evidence. Lower courts long have had difficulty
applying McDonnell Douglas and Burdine. Addition
of a second burden-shifting mechanism, the application of
which itself depends on assessment of credibility and a determination
whether evidence is sufficiently direct and substantial,
is not likely to lend clarity to the process. The presence
of an existing burden-shifting mechanism distinguishes the
individual disparate-treatment case from the tort, class-action
discrimination, and equal protection cases on which
Page 292
JUSTICE O'CONNOR relies. The distinction makes JUSTICE
WHITE'S assertions that one "need look only to" Mt. Healthy
and Transportation Management to resolve this case, and
that our Title VII cases in this area are "inapposite," ante, at
258-260, at best hard to understand.
Confusion in the application of dual burden-shifting mechanisms
will be most acute in cases brought under 42 U.S.C. § 1981
or the Age Discrimination in Employment Act (ADEA),
where courts borrow the Title VII order of proof for the conduct
of jury trials. See, e. g., Note, The Age Discrimination
in Employment Act of 1967 and Trial by Jury: Proposals for
Change, 73 Va. L. Rev. 601 (1987) (noting high reversal rate
caused by use of Title VII burden shifting in a jury setting).
Perhaps such cases in the future will require a bifurcated
trial, with the jury retiring first to make the credibility findings
necessary to determine whether the plaintiff has proved
that an impermissible factor played a substantial part in the
decision, and later hearing evidence on the "same decision" or
"pretext" issues. Alternatively, perhaps the trial judge will
have the unenviable task of formulating a single instruction
for the jury on all of the various burdens potentially involved
in the case.
I do not believe the minor refinement in Title VII procedures
accomplished by today's holding can justify the difficulties
that will accompany it. Rather, I "remain confident that
the McDonnell Douglas framework permits the plaintiff meriting
relief to demonstrate intentional discrimination." Burdine,
450 U.S., at 258. Although the employer does not
bear the burden of persuasion under Burdine, it must offer
clear and reasonably specific reasons for the contested decision,
and has every incentive to persuade the trier of fact that
the decision was lawful. Ibid. Further, the suggestion that
the employer should bear the burden of persuasion due to superior
access to evidence has little force in the Title VII context,
where the liberal discovery rules available to all litigants
are supplemented by EEOC investigatory files. Ibid.
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In sum, the Burdine framework provides a "sensible, orderly
way to evaluate the evidence in light of common experience
as it bears on the critical question of discrimination," Aikens,
460 U.S., at 715, and it should continue to govern the order
of proof in Title VII disparate-treatment cases.[fn4]
III
The ultimate question in every individual disparate-treatment
case is whether discrimination caused the particular
decision at issue. Some of the plurality's comments with
respect to the District Court's findings in this case, however,
are potentially misleading. As the plurality notes, the District
Court based its liability determination on expert evidence
that some evaluations of respondent Hopkins were
based on unconscious sex stereotypes,[fn5] and on the fact that
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Price Waterhouse failed to disclaim reliance on these comments
when it conducted the partnership review. The District
Court also based liability on Price Waterhouse's failure
to "make partners sensitive to the dangers [of stereotyping],
to discourage comments tainted by sexism, or to investigate
comments to determine whether they were influenced by stereotypes."
618 F. Supp. 1109, 1119 (DC 1985).
Although the District Court's version of Title VII liability
is improper under any of today's opinions, I think it important
to stress that Title VII creates no independent cause of
action for sex stereotyping. Evidence of use by decisionmakers
of sex stereotypes is, of course, quite relevant to the
question of discriminatory intent. The ultimate question,
however, is whether discrimination caused the plaintiff's
harm. Our cases do not support the suggestion that failure
to "disclaim reliance" on stereotypical comments itself violates
Title VII. Neither do they support creation of a "duty
to sensitize." As the dissenting judge in the Court of Appeals
observed, acceptance of such theories would turn Title
VII "from a prohibition of discriminatory conduct into an engine
for rooting out sexist thoughts."
263 U.S.App.D.C. 321, 340, 825 F.2d 458, 477 (1987) (Williams, J., dissenting).
Employment discrimination claims require factfinders to
make difficult and sensitive decisions. Sometimes this may
mean that no finding of discrimination is justified even
though a qualified employee is passed over by a less than admirable
employer. In other cases, Title VII's protections
properly extend to plaintiffs who are by no means model employees.
As JUSTICE BRENNAN notes, ante, at 258, courts
do not sit to determine whether litigants are nice. In this
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case, Hopkins plainly presented a strong case both of her own
professional qualifications and of the presence of discrimination
in Price Waterhouse's partnership process. Had the
District Court found on this record that sex discrimination
caused the adverse decision, I doubt it would have been reversible
error. Cf. Aikens, supra, at 714, n. 2. That decision
was for the finder of fact, however, and the District
Court made plain that sex discrimination was not a but-for
cause of the decision to place Hopkins' partnership candidacy
on hold. Attempts to evade tough decisions by erecting
novel theories of liability or multitiered systems of shifting
burdens are misguided.
IV
The language of Title VII and our well-considered precedents
require this plaintiff to establish that the decision
to place her candidacy on hold was made "because of" sex.
Here the District Court found that the "comments of the individual
partners and the expert evidence of Dr. Fiske do not
prove an intentional discriminatory motive or purpose,"
618 F. Supp., at 1118, and that "[b]ecause plaintiff has considerable
problems dealing with staff and peers, the Court
cannot say that she would have been elected to partnership
if the Policy Board's decision had not been tainted by sexually
based evaluations," id., at 1120. Hopkins thus failed
to meet the requisite standard of proof after a full trial. I
would remand the case for entry of judgment in favor of Price
Waterhouse.
[fn1] Page 283
The plurality's description of its own standard is both hypothetical
and retrospective. The inquiry seeks to determine whether "if we asked the
employer at the moment of decision what its reasons were and if we received
a truthful response, one of those reasons would be that the applicant
or employee was a woman." Ante, at 250.
[fn2] Page 284
The plurality's discussion of overdetermined causes only highlights
the error of its insistence that but-for is not the substantive standard of
causation under Title VII. The opinion discusses the situation where two
physical forces move an object, and either force acting alone would have
moved the object. Ante, at 241. Translated to the context of Title VII,
this situation would arise where an employer took an adverse action in
reliance both on sex and on legitimate reasons, and either the illegitimate
or the legitimate reason standing alone would have produced the action. If
this state of affairs is proved to the factfinder, there will be no
liability under the plurality's own test, for the same decision would have
been made had the illegitimate reason never been considered.
[fn3] Page 287
The interpretive memorandum on which the plurality relies makes plain
that "the plaintiff, as in any civil case, would have the burden of proving
that discrimination had occurred." 110 Cong. Rec. 7214 (1964). Coupled
with its earlier definition of discrimination, the memorandum tells us
that the plaintiff bears the burden of showing that an impermissible motive
"made a difference" in the treatment of the plaintiff. This is none other
than the traditional requirement that the plaintiff show but-for cause.
[fn4] Page 293
The plurality states that it disregards the special context of
affirmative action. Ante, at 239, n. 3. It is not clear that this is
possible. Some courts have held that in a suit challenging an
affirmative-action plan, the question of the plan's validity need not be
reached unless the plaintiff shows that the plan was a but-for cause of the
adverse decision. See McQuillen v. Wisconsin Education Association Council,
830 F.2d 659, 665 (CA7 1987), cert. denied, 485 U.S. 914 (1988).
Presumably it will be easier for a plaintiff to show that consideration of
race or sex pursuant to an affirmative-action plan was a substantial factor
in a decision, and the court will need to move on to the question of a
plan's validity. Moreover, if the structure of the burdens of proof in Title
VII suits is to be consistent, as might be expected given the identical
statutory language involved, today's decision suggests that plaintiffs
should no longer bear the burden of showing that affirmative-action plans
are illegal. See Johnson v. Transportation Agency, Santa Clara County,
480 U.S. 616, 626-627 (1987).
[fn5] Page 293
The plaintiff who engages the services of Dr. Susan Fiske should have
no trouble showing that sex discrimination played a part in any decision.
Price Waterhouse chose not to object to Fiske's testimony, and at this
late stage we are constrained to accept it, but I think the plurality's
enthusiasm for Fiske's conclusions unwarranted. Fiske purported to discern
stereotyping in comments that were gender neutral  e. g., "overbearing
and abrasive"  without any knowledge of the comments' basis in reality
and without having met the speaker or subject. "To an expert of Dr.
Fiske's qualifications, it seems plain that no woman could be overbearing,
arrogant, or abrasive: any observations to that effect would necessarily
Page 294
be discounted as the product of stereotyping. If analysis like this is
to prevail in federal courts, no employer can base any adverse action as
to a woman on such attributes." 263 U.S.App.D.C. 321, 340, 825 F.2d 458,
477 (1987) (Williams, J., dissenting). Today's opinions cannot be read
as requiring factfinders to credit testimony based on this type of analysis.
See also ante, at 277 (opinion of O'CONNOR, J.).
Page 296