NOTICE: This opinion is subject to
formal revision before publication in the preliminary print of the
United States Reports. Readers are requested to notify the
Reporter of Decisions, Supreme Court of the United States,
Washington, D. C. 20543, of any typographical or other formal
errors, in order that corrections may be made before the
preliminary print goes to press.
SUPREME COURT OF THE UNITED STATES
_________________
No. 11–556
_________________
MAETTA VANCE, PETITIONER v. BALL STATE
UNIVERSITY
on writ of certiorari to the united states
court of appeals for the seventh circuit
[June 24, 2013]
Justice Alito
delivered the opinion of the Court.
In this case, we decide
a question left open in Burlington Industries, Inc. v. Ellerth, 524
U. S. 742 (1998) , and Far- agher v. Boca Raton, 524 U. S. 775
(1998) , namely, who qualifies as a “supervisor” in a
case in which an employee asserts a Title VII claim for workplace
harassment?
Under Title VII, an
employer’s liability for such harassment may depend on the
status of the harasser. If the harassing employee is the
victim’s co-worker, the employer is liable only if it was
negligent in controlling working conditions. In cases in which the
harasser is a “super- visor,” however, different rules
apply. If the supervisor’s harassment culminates in a
tangible employment action, the employer is strictly liable. But if
no tangible employment action is taken, the employer may escape
liability by establishing, as an affirmative defense, that (1) the
employer exercised reasonable care to prevent and correct any
harassing behavior and (2) that the plaintiff unreasonably failed
to take advantage of the preventive or corrective opportunities
that the employer provided. Id., at 807; Ellerth, supra, at 765.
Under this framework, therefore, it matters whether a harasser is a
“supervisor” or simply a co-worker.
We hold that an
employee is a “supervisor” for purposes of vicarious
liability under Title VII if he or she is empowered by the employer
to take tangible employment actions against the victim, and we
therefore affirm the judgment of the Seventh Circuit.
I
Maetta Vance, an
African-American woman, began working for Ball State University
(BSU) in 1989 as a sub- stitute server in the University Banquet
and Catering division of Dining Services. In 1991, BSU promoted
Vance to a part-time catering assistant position, and in 2007 she
applied and was selected for a position as a full-time catering
assistant.
Over the course of her
employment with BSU, Vance lodged numerous complaints of racial
discrimination and retaliation, but most of those incidents are not
at issue here. For present purposes, the only relevant incidents
concern Vance’s interactions with a fellow BSU employee,
Saundra Davis.
During the time in
question, Davis, a white woman, was employed as a catering
specialist in the Banquet and Catering division. The parties
vigorously dispute the precise nature and scope of Davis’
duties, but they agree that Davis did not have the power to hire,
fire, demote, promote, transfer, or discipline Vance. See No.
1:06–cv–1452–SEB–JMS, 2008 WL 4247836, *12
(SD Ind., Sept. 10, 2008) (“Vance makes no allegations that
Ms. Davis possessed any such power”); Brief for Petitioner
9–11 (describing Davis’ authority over Vance); Brief
for Respondent 39 (“[A]ll agree that Davis lacked the author-
ity to take tangible employments [sic] actions against
petitioner”).
In late 2005 and early
2006, Vance filed internal complaints with BSU and charges with the
Equal Employment Opportunity Commission (EEOC), alleging racial
harassment and discrimination, and many of these complaints and
charges pertained to Davis. 646 F. 3d 461, 467 (CA7 2011).
Vance complained that Davis “gave her a hard time at work by
glaring at her, slamming pots and pans around her, and intimidating
her.” Ibid. She alleged that she was “left alone in the
kitchen with Davis, who smiled at her”; that Davis
“blocked” her on an elevator and “stood there
with her cart smiling”; and that Davis often gave her
“weird” looks. Ibid. (internal quotation marks
omitted).
Vance’s workplace
strife persisted despite BSU’s attempts to address the
problem. As a result, Vance filed this lawsuit in 2006 in the
United States District Court for the Southern District of Indiana,
claiming, among other things, that she had been subjected to a
racially hostile work environment in violation of Title VII. In her
complaint, she alleged that Davis was her supervisor and that BSU
was liable for Davis’ creation of a racially hostile work
environment. Complaint in No.
1:06–cv–01452–SEB–TAB (SD Ind., Oct. 3,
2006), Dkt. No. 1, pp. 5–6.
Both parties moved for
summary judgment, and the District Court entered summary judgment
in favor of BSU. 2008 WL 4247836, at *1. The court explained that
BSU could not be held vicariously liable for Davis’ alleged
racial harassment because Davis could not “ ‘hire,
fire, demote, promote, transfer, or discipline’ ”
Vance and, as a result, was not Vance’s supervisor under the
Seventh Circuit’s interpretation of that concept. See id., at
*12 (quoting Hall v. Bodine Elect. Co., 276 F. 3d 345, 355
(CA7 2002)). The court further held that BSU could not be liable in
negligence because it responded reasonably to the incidents of
which it was aware. 2008 WL 4247836, *15.
The Seventh Circuit
affirmed. 646 F. 3d 461. It explained that, under its settled
precedent, supervisor status requires “ ‘the power
to hire, fire, demote, promote, transfer, or discipline an
employee.’ ” Id., at 470 (quoting Hall, supra, at
355). The court concluded that Davis was not Vance’s
supervisor and thus that Vance could not recover from BSU unless
she could prove negligence. Finding that BSU was not negligent with
respect to Davis’ conduct, the court affirmed. 646
F. 3d, at 470–473.
II
A
Title VII of the
Civil Rights Act of 1964 makes it “an unlawful employment
practice for an employer . . . 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). This provision
obviously prohibits discrimination with respect to employment
decisions that have direct economic consequences, such as
termination, demotion, and pay cuts. But not long after Title VII
was enacted, the lower courts held that Title VII also reaches the
creation or perpetuation of a discriminatory work environment.
In the leading case of
Rogers v. EEOC, 454 F. 2d 234 (1971), the Fifth Circuit
recognized a cause of action based on this theory. See Meritor
Savings Bank, FSB v. Vinson, 477 U. S. 57 –66 (1986)
(describing development of hostile environment claims based on
race). The Rogers court reasoned that “the phrase
‘terms, conditions, or privileges of employment’ in
[Title VII] is an expansive concept which sweeps within its
protective ambit the practice of creating a working environment
heavily charged with ethnic or racial discrimination.” 454
F. 2d, at 238. The court observed that “[o]ne can
readily envision working environments so heavily polluted with
discrimination as to destroy completely the emotional and psy-
chological stability of minority group workers.” Ibid.
Following this decision, the lower courts generally held that an
employer was liable for a racially hostile work environ- ment if
the employer was negligent, i.e., if the employer knew or
reasonably should have known about the harassment but failed to
take remedial action. See Ellerth, 524 U. S., at 768–769
(Thomas, J., dissenting) (citing cases).
When the issue
eventually reached this Court, we agreed that Title VII prohibits
the creation of a hostile work environment. See Meritor, supra, at
64–67. In such cases, we have held, the plaintiff must show
that the work environment was so pervaded by discrimination that
the terms and conditions of employment were altered. See, e.g.,
Harris v. Forklift Systems, Inc., 510 U. S. 17, 21 (1993)
.
B
Consistent with
Rogers, we have held that an employer is directly liable for an
employee’s unlawful harassment if the employer was negligent
with respect to the offensive behavior. Faragher, 524 U. S.,
at 789. Courts have generally applied this rule to evaluate
employer liability when a co-worker harasses the plaintiff. [
1 ]
In Ellerth and
Faragher, however, we held that different rules apply where the
harassing employee is the plain- tiff’s
“supervisor.” In those instances, an employer may be
vicariously liable for its employees’ creation of a hostile
work environment. And in identifying the situations in which such
vicarious liability is appropriate, we looked to the Restatement of
Agency for guidance. See, e.g., Meri-
tor, supra, at 72; Ellerth, supra, at 755.
Under the Restatement,
“masters” are generally not liable for the torts of
their “servants” when the torts are committed outside
the scope of the servants’ employment. See 1 Restatement
(Second) of Agency §219(2), p. 481 (1957) (Restatement). And
because racial and sexual harassment are unlikely to fall within
the scope of a servant’s duties, application of this rule
would generally preclude employer liability for employee
harassment. See Faragher, supra, at 793–796; Ellerth, supra,
at 757. But in Ellerth and Faragher, we held that a provision of
the Restatement provided the basis for an exception. Section
219(2)(d) of that Restatement recognizes an exception to the
general rule just noted for situations in which the servant was
“aided in accomplishing the tort by the existence of the
agency relation.” [
2 ]
Restatement 481; see Far- agher, supra, at 802–803; Ellerth,
supra, at 760–763.
Adapting this concept
to the Title VII context, Ellerth and Faragher identified two
situations in which the aided-in-the-accomplishment rule warrants
employer liability even in the absence of negligence, and both of
these situations involve harassment by a “supervisor”
as opposed to a co-worker. First, the Court held that an employer
is vicariously liable “when a supervisor takes a tangible
employment action,” Ellerth, supra, at 762; Faragher, supra,
at 790—i.e., “a significant change in employment
status, such as hiring, firing, failing to promote, reassignment
with significantly different responsibilities, or a decision
causing a significant change in benefits.” Ellerth, 524 U.
S., at 761. We explained the reason for this rule as follows:
“When a supervisor makes a tangible employment decision,
there is assurance the injury could not have been inflicted absent
the agency relation. . . . A tangible employment decision
requires an official act of the enterprise, a company act. The
decision in most cases is documented in official company records,
and may be subject to review by higher level supervisors.”
Id., at 761–762. In those circumstances, we said, it is
appropriate to hold the employer strictly liable. See Faragher,
supra, at 807; Ellerth, supra, at 765.
Second, Ellerth and
Faragher held that, even when a supervisor’s harassment does
not culminate in a tangible employment action, the employer can be
vicariously liable for the supervisor’s creation of a hostile
work environment if the employer is unable to establish an
affirmative defense. [
3 ] We
began by noting that “a supervisor’s power and
authority invests his or her harassing conduct with a particular
threatening character, and in this sense, a supervisor always is
aided by the agency relation.” El- lerth, supra, at 763; see
Faragher, 524 U. S., at 803–805. But it would go too
far, we found, to make employers strictly liable whenever a
“supervisor” engages in harassment that does not result
in a tangible employment action, and we therefore held that in such
cases the employer may raise an affirmative defense. Specifically,
an employer can mitigate or avoid liability by showing (1) that it
exercised reasonable care to prevent and promptly correct any
harassing behavior and (2) that the plaintiff unreasonably failed
to take advantage of any preventive or corrective opportunities
that were provided. Faragher, supra, at 807; Ellerth, 524
U. S., at 765. This compromise, we ex- plained,
“accommodate[s] the agency principles of vicarious liability
for harm caused by misuse of supervisory authority, as well as
Title VII’s equally basic policies of encouraging forethought
by employers and saving action by objecting employees.” Id.,
at 764.
The dissenting Members
of the Court in Ellerth and Faragher would not have created a
special rule for cases involving harassment by
“supervisors.” Instead, they would have held that an
employer is liable for any employee’s creation of a hostile
work environment “if, and only if, the plaintiff proves that
the employer was negligent in permitting the [offending] conduct to
occur.” Ellerth, supra, at 767 (Thomas, J., dissenting);
Faragher, supra, at 810 (same).
C
Under Ellerth and
Faragher, it is obviously important whether an alleged harasser is
a “supervisor” or merely a co-worker, and the lower
courts have disagreed about the meaning of the concept of a
supervisor in this context. Some courts, including the Seventh
Circuit below, have held that an employee is not a supervisor
unless he or she has the power to hire, fire, demote, promote,
transfer, or discipline the victim. E.g., 646 F. 3d, at 470;
Noviello v. Boston, 398 F. 3d 76, 96 (CA1 2005); Weyers v.
Lear Operations Corp., 359 F. 3d 1049, 1057 (CA8 2004). Other
courts have substantially followed the more open-ended approach
advocated by the EEOC’s Enforcement Guidance, which ties
supervisor status to the ability to exercise significant direction
over another’s daily work. See, e.g., Mack v. Otis Elevator
Co., 326 F. 3d 116, 126–127 (CA2 2003); Whitten v.
Fred’s, Inc., 601 F. 3d 231, 245–247 (CA4 2010);
EEOC, Enforcement Guidance: Vicarious Employer Liability for
Unlawful Harassment by Supervisors (1999), 1999 WL 33305874, *3
(hereinafter EEOC Guidance).
We granted certiorari
to resolve this conflict. 567 U. S. ___ (2012).
III
We hold that an
employer may be vicariously liable for an employee’s unlawful
harassment only when the employer has empowered that employee to
take tangible employment actions against the victim, i.e., to
effect a “sig- nificant change in employment status, such as
hiring, firing, failing to promote, reassignment with significantly
different responsibilities, or a decision causing a significant
change in benefits.” Ellerth, supra, at 761. We reject the
nebulous definition of a “supervisor” advocated in the
EEOC Guidance [
4 ] and
substantially adopted by several courts of appeals.
Petitioner’s reliance on colloquial uses
of the term “supervisor” is
misplaced, and her contention that our cases require the
EEOC’s abstract definition is simply wrong.
As we will explain, the
framework set out in Ellerth and Faragher presupposes a clear
distinction between supervisors and co-workers. Those decisions
contemplate a unitary category of supervisors, i.e., those
employees with the authority to make tangible employment decisions.
There is no hint in either decision that the Court had in mind two
categories of supervisors: first, those who have such authority
and, second, those who, although lacking this power, nevertheless
have the ability to direct a co-worker’s labor to some
ill-defined degree. On the contrary, the Ellerth/Faragher framework
is one under which supervisory status can usually be readily
determined, generally by written documentation. The approach
recommended by the EEOC Guidance, by contrast, would make the
determination of supervisor status depend on a highly case-specific
evaluation of numerous factors.
The Ellerth/Faragher
framework represents what the Court saw as a workable compromise
between the aided-in-the-accomplishment theory of vicarious
liability and the legitimate interests of employers. The Seventh
Circuit’s understanding of the concept of a
“supervisor,” with which we agree, is easily workable;
it can be applied without undue difficulty at both the summary
judgment stage and at trial. The alternative, in many cases, would
frustrate judges and confound jurors.
A
Petitioner contends
that her expansive understanding of the concept of a
“supervisor” is supported by the meaning of the word in
general usage and in other legal contexts, see Brief for Petitioner
25–28, but this argument is both incorrect on its own terms
and, in any event, misguided.
In general usage, the
term “supervisor” lacks a sufficiently specific meaning
to be helpful for present purposes. Petitioner is certainly right
that the term is often used to refer to a person who has the
authority to direct another’s work. See, e.g., 17 Oxford
English Dictionary 245 (2d ed. 1989) (defining the term as applying
to “one who inspects and directs the work of others”).
But the term is also often closely tied to the authority to take
what Ellerth and Faragher referred to as a “tangible
employment action.” See, e.g., Webster’s Third New
International Dictionary 2296, def. 1(a) (1976) (“a person
having authority dele- gated by an employer to hire, transfer,
suspend, recall, promote, assign, or discharge another employee or
to rec- ommend such action”).
A comparison of the
definitions provided by two colloquial business authorities
illustrates the term’s imprecision in general usage. One says
that “[s]upervisors are usually authorized to recommend
and/or effect hiring, disciplining, promoting, punishing,
rewarding, and other associated activities regarding the employees
in their departments.” [
5 ] Another says exactly the opposite: “A supervisor
generally does not have the power to hire or fire employees or to
promote them.” [
6 ]
Compare Ellerth, 524 U. S., at 762 (“Tangible employment
actions fall within the special province of the
supervisor”).
If we look beyond
general usage to the meaning of the term in other legal contexts,
we find much the same situation. Sometimes the term is reserved for
those in the upper echelons of the management hierarchy. See, e.g.,
25 U. S. C. §2021(18) (defining the
“supervisor” of a school within the jurisdiction of the
Bureau of Indian Affairs as
“the individual in the position of
ultimate authority at a Bureau school”). But sometimes the
term is used to refer to lower ranking individuals. See, e.g., 29
U. S. C. §152(11) (defining a supervisor to include
“any individual having authority . . . to hire,
transfer, suspend, lay off, recall, promote, discharge, assign,
reward, or discipline other employees, or responsibly to direct
them, or to adjust their grievances, or effectively to recommend
such action, if in connection with the foregoing the exercise of
such authority is not of a merely routine or clerical nature, but
requires the use of independent judgment”); 42
U. S. C. §1396n(j)(4)(A) (providing that an eligible
Medicaid beneficiary who receives care through an approved
self-directed services plan may “hire, fire, supervise, and
manage the individuals providing such services”).
Although the meaning of
the concept of a supervisor varies from one legal context to
another, the law often contemplates that the ability to supervise
includes the ability to take tangible employment actions. [
7 ] See, e.g., 5 CFR
§§9701.511(a)(2), (3) (2012) (referring to a
supervisor’s authority to “hire, assign, and direct
employees . . . and [t]o lay off and retain employees, or
to suspend, re-
move, reduce in grade, band, or pay, or take
other disciplinary action against such employees or, with respect
to filling positions, to make selections for appointments from
properly ranked and certified candidates for promotion or from any
other appropriate source”); §9701.212(b)(4) (defining
“supervisory work” as that which “may involve
hiring or selecting employees, assigning work, managing
performance, recognizing and rewarding employees, and other
associated duties”).
In sum, the term
“supervisor” has varying meanings both in colloquial
usage and in the law. And for this reason, petitioner’s
argument, taken on its own terms, is unsuccessful.
More important,
petitioner is misguided in suggesting that we should approach the
question presented here as if “supervisor” were a
statutory term. “Supervisor” is not a term used by
Congress in Title VII. Rather, the term was adopted by this Court
in Ellerth and Faragher as a label for the class of employees whose
misconduct may give rise to vicarious employer liability.
Accordingly, the way to understand the meaning of the term
“supervisor” for present purposes is to consider the
interpretation that best fits within the highly structured
framework that those cases adopted.
B
In considering
Ellerth and Faragher, we are met at the outset with
petitioner’s contention that at least some of the alleged
harassers in those cases, whom we treated as supervisors, lacked
the authority that the Seventh Circuit’s definition demands.
This argument misreads our decisions.
In Ellerth, it was
clear that the alleged harasser was a supervisor under any
definition of the term: He hired his victim, and he promoted her
(subject only to the minis- terial approval of his supervisor, who
merely signed the paperwork). 524 U. S., at 747. Ellerth was a
case from the Seventh Circuit, and at the time of its decision in
that case, that court had already adopted its current definition of
a supervisor. See Volk v. Coler, 845 F. 2d 1422, 1436 (1988).
See also Parkins v. Civil Constructors of Ill., Inc., 163
F. 3d 1027, 1033, n. 1 (CA7 1998) (discussing Circuit
case law). Although the en banc Seventh Circuit in Ellerth issued
eight separate opinions, there was no disagreement about the
harasser’s status as a supervisor. Jansen v. Packaging Corp.
of America, 123 F. 3d 490 (1997) (per curiam). Likewise, when
the case reached this Court, no question about the harasser’s
status was raised.
The same is true with
respect to Faragher. In that case, Faragher, a female lifeguard,
sued her employer, the city of Boca Raton, for sexual harassment
based on the conduct of two other lifeguards, Bill Terry and David
Silverman, and we held that the city was vicariously liable for
Terry’s and Silverman’s harassment. Although it is
clear that Terry had authority to take tangible employment actions
affecting the victim, [
8 ] see
524 U. S., at 781 (explaining that Terry could hire new
lifeguards, supervise their work assignments, counsel, and
discipline them), Silverman
may have wielded less authority, ibid. (noting
that Silverman was “responsible for making the
lifeguards’ daily assignments, and for supervising their work
and fitness training”). Nevertheless, the city never disputed
Far- agher’s characterization of both men as her
“supervisors.” See App., O. T. 1997, No. 97–282,
p. 40 (First Amended Complaint ¶¶6–7); id., at
79 (Answer to First Amended Complaint ¶¶6–7)
(admitting that both harassers had “supervisory
responsibilities” over the plaintiff). [
9 ]
In light of the
parties’ undisputed characterization of the alleged
harassers, this Court simply was not presented with the question of
the degree of authority that an employee must have in order to be
classified as a supervisor. [
10 ] The parties did not focus on the issue in their
briefs, although the victim in Faragher appears to have agreed that
supervisors are employees empowered to take tangible employment
actions. See Brief for Petitioner, O. T. 1997, No. 97–282, p.
24 (“Supervisors typically exercise broad discretionary
powers over their subordinates, determining many of the terms and
conditions of their employment, including their raises and
prospects for pro- motion and controlling or greatly influencing
whether they are to be dismissed”).
For these reasons, we
have no difficulty rejecting petition- er’s argument that the
question before us in the present case was effectively settled in
her favor by our treatment of the alleged harassers in Ellerth and
Faragher. [
11 ]
The dissent
acknowledges that our prior cases do “not squarely resolve
whether an employee without power to take tangible employment
actions may nonetheless qualify as a supervisor,” but accuses
us of ignoring the “all-too-plain reality” that
employees with authority to control their subordinates’ daily
work are aided by that authority in perpetuating a discriminatory
work environment. Post, at 8 (opinion of Ginsburg, J.). As Ellerth
recognized, however, “most workplace tortfeasors are aided in
accomplishing their tortious objective by the existence of the
agency relation,” and consequently “something
more” is required in order to warrant vicarious liability.
524 U. S., at 760. The ability to direct another
employee’s tasks is simply not sufficient. Employees with
such powers are certainly capable of creating intolerable work
environments, see post, at 9–11 (discussing examples), but so
are many other co-workers. Negligence provides the better framework
for evaluating an employer’s liability when a harassing
employee lacks the power to take tangible employment actions.
C
Although our holdings
in Faragher and Ellerth do not resolve the question now before us,
we believe that the answer to that question is implicit in the
characteristics of the framework that we adopted.
To begin, there is no
hint in either Ellerth or Faragher that the Court contemplated
anything other than a unitary category of supervisors, namely,
those possessing the authority to effect a tangible change in a
victim’s terms or conditions of employment. The
Ellerth/Faragher framework draws a sharp line between co-workers
and supervisors. Co-workers, the Court noted, “can inflict
psychologi- cal injuries” by creating a hostile work
environment, but they “cannot dock another’s pay, nor
can one co-worker demote another.” Ellerth, 524 U. S.,
at 762. Only a supervisor has the power to cause “direct
economic harm” by taking a tangible employment action. Ibid.
“Tangible employment actions fall within the special province
of the supervisor. The supervisor has been empowered by the company
as a distinct class of agent to make economic decisions affecting
other employees under his or her control. . . .
Tangible employment actions are the means by which the supervisor
brings the official power of the enterprise to bear on
subordinates.” Ibid. (emphasis added). The strong implication
of this passage is that the authority to take tangible employment
actions is the defining characteristic of a supervisor, not simply
a characteristic of a subset of an ill-defined class of employees
who qualify as supervisors.
The way in which we
framed the question presented in Ellerth supports this
understanding. As noted, the Ellerth/Faragher framework sets out
two circumstances in which an employer may be vicariously liable
for a supervisor’s harassment. The first situation (which
results in strict liability) exists when a supervisor actually
takes a tangible employment action based on, for example, a
subordinate’s refusal to accede to sexual demands. The second
situation (which results in vicarious liability if the employer
cannot make out the requisite affirmative defense) is present when
no such tangible action is taken. Both Ellerth and Faragher fell
into the second category, and in Ellerth, the Court couched the
question at issue in the following terms: “whether an
employer has vicarious liability when a supervisor creates a
hostile work en- vironment by making explicit threats to alter a
subor- dinate’s terms or conditions of employment, based on
sex, but does not fulfill the threat.” 524 U. S., at
754. This statement plainly ties the second situation to a
supervisor’s authority to inflict direct economic injury. It
is because a supervisor has that authority—and its potential
use hangs as a threat over the victim—that vicarious
liability (subject to the affirmative defense) is justified.
Finally, the
Ellerth/Faragher Court sought a framework that would be workable
and would appropriately take into account the legitimate interests
of employers and employees. The Court looked to principles of
agency law for guidance, but the Court concluded that the
“malleable terminology” of the aided-in-the-commission
principle counseled against the wholesale incorporation of that
principle into Title VII case law. Ellerth, 524 U. S., at 763.
Instead, the Court also considered the objectives of Title VII,
including “the limitation of employer liability in certain
circumstances.” Id., at 764.
The interpretation of
the concept of a supervisor that we adopt today is one that can be
readily applied. In a great many cases, it will be known even
before litigation is commenced whether an alleged harasser was a
supervi- sor, and in others, the alleged harasser’s status
will become clear to both sides after discovery. And once this is
known, the parties will be in a position to assess the strength of
a case and to explore the possibility of resolving the dispute.
Where this does not occur, supervisor status will generally be
capable of resolution at summary judgment. By contrast, under the
approach advocated by petitioner and the EEOC, supervisor status
would very often be murky—as this case well illustrates. [
12 ]
According to
petitioner, the record shows that Davis, her alleged harasser,
wielded enough authority to qualify as a supervisor. Petitioner
points in particular to Davis’ job description, which gave
her leadership responsibilities, and to evidence that Davis at
times led or directed Vance and other employees in the kitchen. See
Brief for Petitioner 42–43 (citing record); Reply Brief
22–23 (same). The United States, on the other hand, while
applying the same open-ended test for supervisory status, reaches
the opposite conclusion. At least on the present record, the United
States tells us, Davis fails to qualify as a supervisor. Her job
description, in the Government’s view, is not dispositive,
and the Government adds that it would not be enough for petitioner
to show that Davis “occasionally took the lead in the
kitchen.” Brief for United States as Amicus Curiae 31
(U. S. Brief).
This disagreement is
hardly surprising since the EEOC’s definition of a
supervisor, which both petitioner and the United States defend, is
a study in ambiguity. In its Enforcement Guidance, the EEOC takes
the position that an employee, in order to be classified as a
supervisor, must wield authority “ ‘of sufficient
magnitude so as to as- sist the harasser explicitly or implicitly
in carrying out the harassment.’ ” Id., at 27
(quoting App. to Pet. for Cert. 89a (EEOC Guidance)). But any
authority over the work of another employee provides at least some
assistance, see Ellerth, supra, at 763, and that is not what the
United States interprets the Guidance to mean. Rather, it informs
us, the authority must exceed both an ill-defined temporal
requirement (it must be more than “occa- siona[l]”) and
an ill-defined substantive requirement (“an employee who
directs ‘only a limited number of tasks or assignments’
for another employee . . . would not have sufficient
authority to qualify as a supervisor.” U. S. Brief 28
(quoting App. to Pet. for Cert. 92a (EEOC Guidance));
U. S. Brief 31.
We read the EEOC
Guidance as saying that the number (and perhaps the importance) of
the tasks in question is a factor to be considered in determining
whether an employee qualifies as a supervisor. And if this is a
correct interpretation of the EEOC’s position, what we are
left with is a proposed standard of remarkable ambiguity.
The vagueness of this
standard was highlighted at oral argument when the attorney
representing the United States was asked to apply that standard to
the situation in Faragher, where the alleged harasser supposedly
threatened to assign the plaintiff to clean the toilets in the
lifeguard station for a year if she did not date him. 524
U. S., at 780. Since cleaning the toilets is just one task,
albeit an unpleasant one, the authority to assign that job would
not seem to meet the more-than-a-limited-number-of-tasks
requirement in the EEOC Guidance. Nevertheless, the Government
attorney’s first response was that the authority to make this
assignment would be enough. Tr. of Oral Arg. 23. He later qualified
that answer by saying that it would be necessary to “know how
much of the day’s work [was] encompassed by cleaning the
toilets.” Id., at 23–24. He did not explain what
percentage of the day’s work (50%, 25%, 10%?) would
suffice.
The Government
attorney’s inability to provide a de- finitive answer to this
question was the inevitable con- sequence of the vague standard
that the Government asks us to adopt. Key components of that
standard—“sufficient” authority, authority to
assign more than a “limited number of tasks,” and
authority that is exercised more than
“occasionally”—have no clear meaning. Applying
these standards would present daunting problems for the lower
federal courts and for juries.
Under the definition of
“supervisor” that we adopt today, the question of
supervisor status, when contested, can very often be resolved as a
matter of law before trial. The elimination of this issue from the
trial will focus the efforts of the parties, who will be able to
present their cases in a way that conforms to the framework that
the jury will apply. The plaintiff will know whether he or she must
prove that the employer was negligent or whether the employer will
have the burden of proving the elements of the Ellerth/Faragher
affirmative defense. Perhaps even more important, the work of the
jury, which is inevitably complicated in employment discrimination
cases, will be simplified. The jurors can be given preliminary
instructions that allow them to understand, as the evidence comes
in, how each item of proof fits into the framework that they will
ultimately be required to apply. And even where the issue of
supervisor status cannot be eliminated from the trial (because
there are genuine factual disputes about an alleged
harasser’s authority to take tangible employment actions),
this preliminary question is rela- tively straightforward.
The alternative
approach advocated by petitioner and the United States would make
matters far more complicated and difficult. The complexity of the
standard they favor would impede the resolution of the issue before
trial. With the issue still open when trial commences, the parties
would be compelled to present evidence and argu- ment on supervisor
status, the affirmative defense, and the question of negligence,
and the jury would have to grapple with all those issues as well.
In addition, it would often be necessary for the jury to be
instructed about two very different paths of analysis, i.e., what
to do if the alleged harasser was found to be a supervisor and what
to do if the alleged harasser was found to be merely a
co-worker.
Courts and commentators
alike have opined on the need for reasonably clear jury
instructions in employment discrimination cases. [
13 ] And the danger of juror confusion is
particularly high where the jury is faced with instructions on
alternative theories of liability under which different parties
bear the burden of proof. [
14 ] By simplifying the process of determining who is a
supervisor (and by extension, which liability rules apply to a
given set of facts), the approach that we take will help to ensure
that juries return verdicts that reflect the application of the
correct legal rules to the facts.
Contrary to the
dissent’s suggestions, see post, at 14, 17, this approach
will not leave employees unprotected against harassment by
co-workers who possess the authority to inflict psychological
injury by assigning unpleasant tasks or by altering the work
environment in objectionable ways. In such cases, the victims will
be able to prevail simply by showing that the employer was
negligent in permitting this harassment to occur, and the jury
should be instructed that the nature and degree of authority
wielded by the harasser is an important factor to be con- sidered
in determining whether the employer was negligent. The nature and
degree of authority possessed by harassing employees varies
greatly, see post, 9–11 (offering examples), and as we
explained above, the test proposed by petitioner and the United
States is ill equipped to deal with the variety of situations that
will inevitably arise. This variety presents no problem for the
negligence standard, which is thought to provide adequate
protection for tort plaintiffs in many other situations. There is
no reason why this standard, if accompanied by proper instructions,
cannot provide the same service in the context at issue here.
D
The dissent argues
that the definition of a supervisor that we now adopt is out of
touch with the realities of the workplace, where individuals with
the power to assign daily tasks are often regarded by other
employees as supervisors. See post, at 5, 8–12. But in
reality it is the alternative that is out of touch. Particularly in
modern organizations that have abandoned a highly hierarchical
management structure, it is common for employees to have
overlapping authority with respect to the assignment of work tasks.
Members of a team may each have the responsibility for taking the
lead with respect to a particular aspect of the work and thus may
have the responsibility to direct each other in that area of
responsibility.
Finally, petitioner
argues that tying supervisor status to the authority to take
tangible employment actions will encourage employers to attempt to
insulate themselves from liability for workplace harassment by
empowering only a handful of individuals to take tangible
employment actions. But a broad definition of
“supervisor” is not necessary to guard against this
concern.
As an initial matter,
an employer will always be liable when its negligence leads to the
creation or continuation of a hostile work environment. And even if
an employer concentrates all decisionmaking authority in a few
individuals, it likely will not isolate itself from heightened
liability under Faragher and Ellerth. If an employer does attempt
to confine decisionmaking power to a small number of individuals,
those individuals will have a limited ability to exercise
independent discretion when making decisions and will likely rely
on other workers who actu- ally interact with the affected
employee. Cf. Rhodes v. Illinois Dept. of Transp., 359 F. 3d
498, 509 (CA7 2004) (Rovner, J., concurring in part and concurring
in judgment) (“Although they did not have the power to take
formal employment actions vis-à-vis [the victim], [the
harassers] necessarily must have had substantial input into those
decisions, as they would have been the people most familiar with
her work—certainly more familiar with it than the off-site
Department Administrative Services Manager”). Under those
circumstances, the employer may be held to have effectively
delegated the power to take tangible employment actions to the
employees on whose recommendations it relies. See Ellerth, 524
U. S., at 762.
IV
Importuning Congress,
post, at 21–22, the dissent suggests that the standard we
adopt today would cause the plaintiffs to lose in a handful of
cases involving shocking allegations of harassment, see post, at
9–12. However, the dissent does not mention why the
plaintiffs would lose in those cases. It is not clear in any of
those examples that the legal outcome hinges on the definition of
“supervisor.” For example, Clara Whitten ultimately did
not prevail on her discrimination claims—notwithstanding the
fact that the Fourth Circuit adopted the approach advocated by the
dissent, see Whitten v. Fred’s, Inc., 601 F. 3d 231,
243–247 (2010)—because the District Court subsequently
dismissed her claims for lack of jurisdiction. See Whitten v.
Fred’s, Inc., No. 8:08–0218–HMH–BHH, 2010
WL 2757005, *3 (D SC, July 12, 2010). And although the dissent
suggests that Donna Rhodes’ employer would have been liable
under the dissent’s definition of “supervisor,”
that is pure speculation: It is not clear that Rhodes suffered any
tangible employment action, see Rhodes v. Illinois Dept. of
Transp., 243 F. Supp. 2d 810, 817 (ND Ill. 2003), and no court
had occasion to determine whether the employer could have
established the affirmative defense (a prospect that is certainly
feasible given that there was evidence that the employer had an
“adequate anti-harassment policy in place,” that the
employer promptly addressed the incidents about which Rhodes
complained, and that “Rhodes failed to take advantage of the
preventative or corrective opportunities provided,” Rhodes v.
Illinois Dept. of Transp., 359 F. 3d, at 507). [
15 ] Finally, the dissent’s
reliance on Monika Starke’s case is perplexing given that the
EEOC ultimately did obtain relief (in the amount of $50,000) for
the harassment of Starke, [
16 ] see Order of Dismissal in No.
1:07–cv–0095–LRR (ND Iowa, Feb. 2, 2013), Dkt.
No. 380, Exh. 1, ¶1, notwithstanding the fact that the
court in that case applied the definition of
“supervisor” that we adopt today, see EEOC v. CRST Van
Expedited, Inc., 679 F. 3d 657, 684 (CA8 2012).
In any event, the
dissent is wrong in claiming that our holding would preclude
employer liability in other cases with facts similar to these.
Assuming that a harasser is not a supervisor, a plaintiff could
still prevail by showing that his or her employer was negligent in
failing to prevent harassment from taking place. Evidence that an
employer did not monitor the workplace, failed to respond to
complaints, failed to provide a system for registering complaints,
or effectively discouraged complaints from being filed would be
relevant. Thus, it is not true, as the dissent asserts, that our
holding “relieves scores of employers of
responsibility” for the behavior of workers they employ.
Post, at 14.
The standard we adopt
is not untested. It has been the law for quite some time in the
First, Seventh, and Eighth Circuits, see, e.g., Noviello v. Boston,
398 F. 3d 76, 96 (CA1 2005); Weyers v. Lear Operations Corp.,
359 F. 3d 1049, 1057 (CA8 2004); Parkins v. Civil Constructors
of Ill., Inc., 163 F. 3d 1027, 1033–1034, and n. 1
(CA7 1998)—i.e., in Arkansas, Illinois, Indiana, Iowa, Maine,
Massachusetts, Minnesota, Missouri, Nebraska, New Hampshire, North
Dakota, Rhode Island, South Dakota, and Wisconsin. We are aware of
no evidence that this rule has produced dire consequences in these
14 jurisdictions.
Despite its rhetoric,
the dissent acknowledges that Davis, the alleged harasser in this
case, would probably not qualify as a supervisor even under the
dissent’s preferred approach. See post, at 20 (“[T]here
is cause to anticipate that Davis would not qualify as
Vance’s supervisor”). On that point, we agree.
Petitioner did refer to Davis as a “supervisor” in some
of the complaints that she filed, App. 28; id., at 45, and
Davis’ job description does state that she supervises Kitchen
Assistants and Substitutes and “[l]ead[s] and
direct[s]” certain other employees, id., at 12–13. But
under the dissent’s preferred approach, supervisor status
hinges not on formal job titles or “paper descriptions”
but on “specific facts about the working relationship.”
Post, at 20–21 (internal quotation marks omitted).
Turning to the
“specific facts” of petitioner’s and Davis’
working relationship, there is simply no evidence that Davis
directed petitioner’s day-to-day activities. The record
indicates that Bill Kimes (the general manager of the Catering
Division) and the chef assigned petitioner’s daily tasks,
which were given to her on “prep lists.” No.
1:06–cv–1452–SEB–JMS, 2008 WL 4247836, *7
(SD Ind., Sept. 10, 2008); App. 430, 431. The fact that Davis
sometimes may have handed prep lists to petitioner, see id., at 74,
is insufficient to confer supervisor status, see App. to Pet. for
Cert. 92a (EEOC Guidance). And Kimes—not Davis—set
petitioner’s work schedule. See App. 431. See also id., at
212.
Because the dissent
concedes that our approach in this case deprives petitioner of none
of the protections that Ti- tle VII offers, the dissent’s
critique is based on nothing more than a hypothesis as to how our
approach might affect the outcomes of other cases—cases where
an employee who cannot take tangible employment actions, but who
does direct the victim’s daily work activities in a
meaningful way, creates an unlawful hostile environment, and yet
does not wield authority of such a degree and nature that the
employer can be deemed negligent with respect to the harassment. We
are skeptical that there are a great number of such cases. However,
we are confident that, in every case, the approach we take today
will be more easily administrable than the approach advocated by
the dissent.
* * *
We hold that an
employee is a “supervisor” for purposes of vicarious
liability under Title VII if he or she is empowered by the employer
to take tangible employment actions against the victim. Because
there is no evidence that BSU empowered Davis to take any tangible
employment actions against Vance, the judgment of the Seventh
Circuit is affirmed.
It is so ordered.