/us/557/0557-01

Supreme Court of the United States · 2009-06-29

Original case on neochart.com

Case and law context

42 U.S.C. § 2000e-2

Role: applied; posture: civil; cross-motions for summary judgment, granted for employer and affirmed by CA2; certiorari by firefighters; Supreme Court reverses and holds plaintiffs entitled to summary judgment on disparate treatment; result: claimant-won; claim: (a)(1),(k),(l),(h),(j)

Instances and excluded annotation blocks

Annotation blocks, including explicitly excluded context
CaseElementHolding and scopeVariantExact source quotations
/us/557/0557-01 — Supreme Court of the United States · 2009Adverse employment action affecting compensation, terms, conditions, privileges, or statussatisfied
Counted merits instance
applied / merits

basis: conceded; claim: (a)(1),(k),(l),(h),(j); party: plaintiff 17 white firefighters and 1 Hispanic firefighter who passed the examinations (petitioners); count: (a)(1) disparate-treatment claim for the refusal to certify the examination results; subject: party=plaintiff 17 white firefighters and 1 Hispanic firefighter who passed the examinations (petitioners); count=(a)(1) disparate-treatment claim for the refusal to certify the examination results

Loss of promotion eligibility (not a certain promotion) is treated as the adverse action without discussion.
failure-to-promote/promotion-exam-results-discarded
The plaintiffs — who are the petitioners here — are 17 white firefighters and 1 Hispanic firefighter who passed the examinations but were denied a chance at promotions when the CSB refused to certify the test results.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

The results would determine which firefighters would be considered for promotions during the next two years, and the order in which they would be considered.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

/us/557/0557-01 — Supreme Court of the United States · 2009Discriminatory causation ("because of" protected trait)satisfied
Counted merits instance
applied / merits

basis: law; claim: (a)(1),(k),(l),(h),(j); party: plaintiff 17 white firefighters and 1 Hispanic firefighter who passed the examinations (petitioners); count: (a)(1) disparate-treatment claim for the refusal to certify the examination results; subject: party=plaintiff 17 white firefighters and 1 Hispanic firefighter who passed the examinations (petitioners); count=(a)(1) disparate-treatment claim for the refusal to certify the examination results

Benign objective (avoiding disparate-impact liability) does not negate intent: acting on the racial distribution of outcomes is itself "because of race". No McDonnell Douglas inference needed; the motive is undisputed on the record.
express-race-based-decision/results-discarded-because-of-racial-distribution
When the examination results showed that white candidates had outperformed minority candidates, the mayor and other local politicians opened a public debate that turned rancorous.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

As the rule of three operated, this meant that the top 10 candidates were eligible for an immediate promotion to lieutenant. All 10 were white.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

With one member recused, the CSB deadlocked 2 to 2, resulting in a decision not to certify the results.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

All the evidence demonstrates that the City chose not to certify the examination results because of the statistical disparity based on race— i. e., how minority candidates had performed when compared to white candidates.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Without some other justification, this express, race-based decisionmaking violates Title VIPs command that employers cannot take adverse employment actions because of an individual’s race.
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Evidence kind: rule; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Whatever the City’s ultimate aim — however well intentioned or benevolent it might have seemed — the City made its employment decision because of race. The City rejected the test results solely because the higher scoring candidates were white.
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Evidence kind: held; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

/us/557/0557-01 — Supreme Court of the United States · 2009Covered entity: employer, employment agency, or labor organizationsatisfied
Counted merits instance
applied / merits

basis: conceded; claim: (a)(1),(k),(l),(h),(j); party: defendant City of New Haven and the officials who opposed certification (respondents); subject: party=defendant City of New Haven and the officials who opposed certification (respondents)

public-employer/municipal-fire-department
When the City of New Haven undertook to fill vacant lieutenant and captain positions in its fire department (Department), the promotion and hiring process was governed by the City charter, in addition to federal and state law.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

/us/557/0557-01 — Supreme Court of the United States · 2009Particular employment practice causing a disparate impact on a protected groupsatisfied
Excluded from merits counts
applied / hypothetical

basis: conceded; claim: (a)(1),(k),(l),(h),(j); party: non-party minority candidates who would have held a disparate-impact claim against the City had the results been certified; defendant City of New Haven and the officials who opposed certification (respondents); count: (k) disparate-impact claim that would have followed certification; never brought; theory: strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative); subject: party=non-party minority candidates who would have held a disparate-impact claim against the City had the results been certified; defendant City of New Haven and the officials who opposed certification (respondents); count=(k) disparate-impact claim that would have followed certification; never brought; theory=strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative)

statistical-disparity/exam-pass-rate-below-four-fifths
On the captain exam, the pass rate for white candidates was 64 percent but was 37.5 percent for both black and Hispanic candidates.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

On the lieutenant exam, the pass rate for white candidates was 58.1 percent; for black candidates, 31.6 percent; and for Hispanic candidates, 20 percent.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

The pass rates of minorities, which were approximately one-half the pass rates for white candidates, fall well below the 80-percent standard set by the EEOC to implement the disparate-impact provision of Title VII.
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Evidence kind: rule; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

The racial adverse impact here was significant, and petitioners do not dispute that the City was faced with a prima facie case of disparate-impact liability.
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Evidence kind: held; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

/us/557/0557-01 — Supreme Court of the United States · 2009Less discriminatory alternative employment practice that the employer refuses to adopt (§ 2000e-2(k)(1)(A)(ii))not
Excluded from merits counts
applied / hypothetical

basis: no-evidence; claim: (a)(1),(k),(l),(h),(j); party: non-party minority candidates who would have held a disparate-impact claim against the City had the results been certified; defendant City of New Haven and the officials who opposed certification (respondents); count: (k) disparate-impact claim that would have followed certification; never brought; theory: strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative); subject: party=non-party minority candidates who would have held a disparate-impact claim against the City had the results been certified; defendant City of New Haven and the officials who opposed certification (respondents); count=(k) disparate-impact claim that would have followed certification; never brought; theory=strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative)

alternative-practice/reweighting-banding-assessment-center
But respondents have produced no evidence to show that the 60/40 weighting was indeed arbitrary.
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Evidence kind: fact; polarity: cuts-against; absent flag: 1; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Had the City reviewed the exam results and then adopted banding to make the minority test scores appear higher, it would have violated Title VIPs prohibition of adjusting test results on the basis of race.
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Evidence kind: fact; polarity: cuts-against; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

But Hornick’s brief mention of alternative testing methods, standing alone, does not raise a genuine issue of material fact that assessment centers were available to the City at the time of the examinations and that they would have produced less adverse impact.
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Evidence kind: fact; polarity: cuts-against; absent flag: 1; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Even if the employer meets that burden, however, a plaintiff may still succeed by showing that the employer refuses to adopt an available alternative employment practice that has less disparate impact and serves the employer’s legitimate needs.
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Evidence kind: rule; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Respondents also lacked a strong basis in evidence of an equally valid, less discriminatory testing alternative that the City, by certifying the examination results, would necessarily have refused to adopt.
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Evidence kind: held; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

/us/557/0557-01 — Supreme Court of the United States · 2009Job-related for the position in question and consistent with business necessity (§ 2000e-2(k)(1)(A)(i))satisfied
Excluded from merits counts
applied / hypothetical

basis: law; claim: (a)(1),(k),(l),(h),(j); party: non-party minority candidates who would have held a disparate-impact claim against the City had the results been certified; defendant City of New Haven and the officials who opposed certification (respondents); count: (k) disparate-impact claim that would have followed certification; never brought; theory: strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative); subject: party=non-party minority candidates who would have held a disparate-impact claim against the City had the results been certified; defendant City of New Haven and the officials who opposed certification (respondents); count=(k) disparate-impact claim that would have followed certification; never brought; theory=strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative)

"satisfied" = the employer's business-necessity showing would have succeeded, which is why the defense to the treatment claim FAILS. The missing validation report is the one gap in the showing; the Court charges it to the City, which never asked for it.
business-necessity/job-related-exam-professionally-developed-from-job-analysis
In order to fit the examinations to the New Haven Department, IOS began the test-design process by performing job analyses to identify the tasks, knowledge, skills, and abilities that are essential for the lieutenant and captain positions.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

IOS devised the written examinations, which were the focus of the CSB’s inquiry, after painstaking analyses of the captain and lieutenant positions — analyses in which IOS made sure that minorities were overrepresented.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Although the City’s contract with IOS contemplated that IOS would prepare a technical report consistent with EEOC guidelines for examination-validity studies, the City made no request for its report.
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Evidence kind: fact; polarity: cuts-against; absent flag: 1; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

An employer may defend against liability by demonstrating that the practice is “job related for the position in question and consistent with business necessity.”
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Evidence kind: rule; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

There is no genuine dispute that the examinations were job related and consistent with business necessity.
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Evidence kind: held; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

/us/557/0557-01 — Supreme Court of the United States · 2009Impermissible motivating factor in mixed-motive cases (§ 2000e-2(m))not_reached
Excluded from merits counts
applied / merits

claim: (a)(1),(k),(l),(h),(j)

Unspecified variantNo source quotation recorded for this block.
/us/557/0557-01 — Supreme Court of the United States · 2009Pretext for discrimination (McDonnell Douglas step 3)not_reached
Excluded from merits counts
applied / merits

claim: (a)(1),(k),(l),(h),(j)

Unspecified variantNo source quotation recorded for this block.
/us/557/0557-01 — Supreme Court of the United States · 2009Protected trait: race, color, religion, sex (including pregnancy/abortion), or national originsatisfied
Counted merits instance
applied / merits

basis: conceded; claim: (a)(1),(k),(l),(h),(j); party: plaintiff 17 white firefighters and 1 Hispanic firefighter who passed the examinations (petitioners); subject: party=plaintiff 17 white firefighters and 1 Hispanic firefighter who passed the examinations (petitioners)

race/white-and-hispanic-majority-plaintiffs
Certain white and Hispanic firefighters who likely would have been promoted based on their good test performance sued the City and some of its officials.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

/us/557/0557-01 — Supreme Court of the United States · 2009Strong-basis-in-evidence defense for race-conscious action taken to avoid disparate-impact liability (Ricci v. DeStefano)not
Counted merits instance
applied / merits

basis: no-evidence; claim: (a)(1),(k),(l),(h),(j); party: defendant City of New Haven and the officials who opposed certification (respondents); count: (a)(1) disparate-treatment claim for the refusal to certify the examination results; theory: strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative); subject: party=defendant City of New Haven and the officials who opposed certification (respondents); count=(a)(1) disparate-treatment claim for the refusal to certify the examination results; theory=strong-basis-in-evidence inquiry inside defense x-disparate-impact-compliance: would the City have been liable on impact-suit (step 1 = impact, step 2 = impact.business-necessity, step 3 = impact.alternative)

Judge-made justification reconciling (a)(1) with (k): good-faith fear is not enough, actual violation is not required. Fails here because only the prima facie disparity existed; both business-necessity and less-discriminatory-alternative pointed the employer's way. Two rulings in one block: the standard itself (strong basis in evidence) is announced as a matter of law, then applied on the summary-judgment record ("no support", "no genuine dispute"); the basis records the application.
strong-basis-in-evidence/statistical-disparity-alone
The City and the officials defended their actions, arguing that if they had certified the results, they could have faced liability under Title VII for adopting a practice that had a disparate impact on the minority firefighters.
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Ude stated that under federal law, “a statistical demonstration of disparate impact,” standing alone, “constitutes a sufficiently serious claim of racial discrimination to serve as a predicate for employer-initiated, voluntar[y] remedies — even . . . race-conscious remedies.”
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Evidence kind: fact; polarity: supports; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

We hold only that, under Title VII, before an employer can engage in intentional discrimination for the asserted purpose of avoiding or remedying an unintentional disparate impact, the employer must have a strong basis in evidence to believe it will be subject to disparate-impact liability if it fails to take the race-conscious, discriminatory action.
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Evidence kind: rule; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

The problem for respondents is that a prima facie case of disparate-impact liability — essentially, a threshold showing of a significant statistical disparity, Connecticut v. Teal, 457 U. S. 440, 446 (1982), and nothing more — is far from a strong basis in evidence that the City would have been liable under Title VII had it certified the results.
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Evidence kind: rule; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Even if respondents were motivated as a subjective matter by a desire to avoid committing disparate-impact discrimination, the record makes clear there is no support for the conclusion that respondents had an objective, strong basis in evidence to find the tests inadequate, with some consequent disparate-impact liability in violation of Title VII.
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Evidence kind: held; polarity: not recorded; absent flag: 0; quoted-rule flag: 0 (1 = tagged; 0 = not tagged)

Court interpretations recorded from this case

interpretation

Without some other justification, this express, race-based decisionmaking violates Title VIPs command that employers cannot take adverse employment actions because of an individual’s race.

/us/557/0557-01 — Supreme Court of the United States · 2009

Without some other justification, this express, race-based decisionmaking violates Title VIPs command that employers cannot take adverse employment actions because of an individual’s race.
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Ultimate causation/intent requirement under § 2000e-2(a): the protected trait was a determinative cause of the adverse employment action.

hypothetical

The pass rates of minorities, which were approximately one-half the pass rates for white candidates, fall well below the 80-percent standard set by the EEOC to implement the disparate-impact provision of Title VII.

/us/557/0557-01 — Supreme Court of the United States · 2009

The pass rates of minorities, which were approximately one-half the pass rates for white candidates, fall well below the 80-percent standard set by the EEOC to implement the disparate-impact provision of Title VII.
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Prima facie disparate impact under Griggs and § 2000e-2(k)(1)(A)(i): plaintiff identifies a specific employment practice that causes a significant disproportionate adverse impact on a protected group. RICCI_SCOPE: Ricci quotes in this block describe a hypothetical disparate-impact claim considered within the defense to intentional discrimination; they do not record adjudication of an actual subsection (k) claim against this employer.

hypothetical

An employer may defend against liability by demonstrating that the practice is “job related for the position in question and consistent with business necessity.”

/us/557/0557-01 — Supreme Court of the United States · 2009

An employer may defend against liability by demonstrating that the practice is “job related for the position in question and consistent with business necessity.”
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Employer's rebuttal burden under § 2000e-2(k)(1)(A)(i). Under § 2000e-2(k)(2), business necessity may not be used as a defense against a claim of intentional discrimination. RICCI_SCOPE: Ricci quotes in this block describe a hypothetical disparate-impact claim considered within the defense to intentional discrimination; they do not record adjudication of an actual subsection (k) claim against this employer.

hypothetical

Even if the employer meets that burden, however, a plaintiff may still succeed by showing that the employer refuses to adopt an available alternative employment practice that has less disparate impact and serves the employer’s legitimate needs.

/us/557/0557-01 — Supreme Court of the United States · 2009

Even if the employer meets that burden, however, a plaintiff may still succeed by showing that the employer refuses to adopt an available alternative employment practice that has less disparate impact and serves the employer’s legitimate needs.
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Plaintiff's surrebuttal under § 2000e-2(k)(1)(A)(ii): even if a practice is job-related and consistent with business necessity, liability attaches if the employer refuses to adopt a less discriminatory alternative. RICCI_SCOPE: Ricci quotes in this block describe a hypothetical disparate-impact claim considered within the defense to intentional discrimination; they do not record adjudication of an actual subsection (k) claim against this employer.

interpretation

We hold only that, under Title VII, before an employer can engage in intentional discrimination for the asserted purpose of avoiding or remedying an unintentional disparate impact, the employer must have a strong basis in evidence to believe it will be subject to disparate-impact liability if it fails to take the race-conscious, discriminatory action.

/us/557/0557-01 — Supreme Court of the United States · 2009

We hold only that, under Title VII, before an employer can engage in intentional discrimination for the asserted purpose of avoiding or remedying an unintentional disparate impact, the employer must have a strong basis in evidence to believe it will be subject to disparate-impact liability if it fails to take the race-conscious, discriminatory action.
Source: docroot/ir/caselaw/us_557.jsonl#/us/557/0557-01; Unicode character offsets [46788:47141] (end exclusive); SHA-256 260918fc09a3789f6fc5f393d32a8891037013cb975d044af335bcd3f84ab557.

Ricci v. DeStefano standard reconciling § 2000e-2(a) disparate treatment and § 2000e-2(k) disparate impact: good-faith fear of disparate-impact litigation or a raw statistical disparity alone is insufficient; the employer must show a strong basis in evidence of disparate-impact liability.

interpretation

The problem for respondents is that a prima facie case of disparate-impact liability — essentially, a threshold showing of a significant statistical disparity, Connecticut v. Teal, 457 U. S. 440, 446 (1982), and nothing more — is far from a strong basis in evidence that the City would have been liable under Title VII had it certified the results.

/us/557/0557-01 — Supreme Court of the United States · 2009

The problem for respondents is that a prima facie case of disparate-impact liability — essentially, a threshold showing of a significant statistical disparity, Connecticut v. Teal, 457 U. S. 440, 446 (1982), and nothing more — is far from a strong basis in evidence that the City would have been liable under Title VII had it certified the results.
Source: docroot/ir/caselaw/us_557.jsonl#/us/557/0557-01; Unicode character offsets [50531:50879] (end exclusive); SHA-256 260918fc09a3789f6fc5f393d32a8891037013cb975d044af335bcd3f84ab557.

Ricci v. DeStefano standard reconciling § 2000e-2(a) disparate treatment and § 2000e-2(k) disparate impact: good-faith fear of disparate-impact litigation or a raw statistical disparity alone is insufficient; the employer must show a strong basis in evidence of disparate-impact liability.

interpretation

We hold only that, under Title VII, before an employer can engage in intentional discrimination for the asserted purpose of avoiding or remedying an unintentional disparate impact, the employer must have a strong basis in evidence to believe it will be subject to disparate-impact liability if it fails to take the race-conscious, discriminatory action.

/us/557/0557-01 — Supreme Court of the United States · 2009

We hold only that, under Title VII, before an employer can engage in intentional discrimination for the asserted purpose of avoiding or remedying an unintentional disparate impact, the employer must have a strong basis in evidence to believe it will be subject to disparate-impact liability if it fails to take the race-conscious, discriminatory action.
Source: docroot/ir/caselaw/us_557.jsonl#/us/557/0557-01; Unicode character offsets [46788:47141] (end exclusive); SHA-256 260918fc09a3789f6fc5f393d32a8891037013cb975d044af335bcd3f84ab557.

Intentional race-based action (`because-of`) cannot be justified by business necessity (§ 2000e-2(k)(2)) and can be justified by avoiding disparate-impact liability (`x-disparate-impact-compliance`) only upon a strong basis in evidence. Ricci's strong-basis rule is a hypothetical disparate-impact defense nested inside an intentional-discrimination dispute; it does not turn the case into an adjudicated § 2000e-2(k) claim.