Elsa Gulino, Mayling Ralph and Peter Wilds, on Behalf of Themselves and All Others Similarly Situated, Nia Greene v. New York State Education Department, Defendant-Cross-Defendant-Appellee, Board of Education of the New York City School District of the City of New York, Defendant-Cross-Claimant-Appellee. Docket No. 03-9062-Cv, 460 F.3d 361, 2d Cir. (2006)
Elsa Gulino, Mayling Ralph and Peter Wilds, on Behalf of Themselves and All Others Similarly Situated, Nia Greene v. New York State Education Department, Defendant-Cross-Defendant-Appellee, Board of Education of the New York City School District of the City of New York, Defendant-Cross-Claimant-Appellee. Docket No. 03-9062-Cv, 460 F.3d 361, 2d Cir. (2006)
3d 361
Although this Court has long navigated "the complex realm of [employment]
testing and test validation," Guardians Ass'n v. Civil Serv. Comm'n of New
York, 630 F.2d 79, 82 (2d Cir.1980), once again, we find ourselves in uncharted
territory. This case asks us to decide whether the general knowledge test
component of New York State's public school teacher certification program is
racially discriminatory in violation of Title VII of the Civil Rights Act of 1964,
as amended, 42 U.S.C. 2000e-2000e-17. Furthermore, where, as here, the
plaintiffs are public employees, the delicate issues of federalism and state
police powers come into play in answering the threshold question of which of
the defendants, if any, can be considered an "employer" for the purposes of
Title VII analysis.
We hold that the district court initially erred in holding that SED is subject to
Title VII liability, but we affirm the district court's holding that BOE is subject
to Title VII liability as appellants' employer. As to the merits of appellants' Title
VII claim, we find both legal and factual errors in the district court's holding in
favor of appellees. We are not convinced, however, that the judgment in favor
of appellants is warranted as a matter of law. Consequently, we vacate the
district court's judgment and remand for further proceedings in accordance with
this opinion.
4* A
5
New York's Constitution imposes upon the State a duty to "provide for the
maintenance and support of a system of free common schools, wherein all the
children of this state may be educated." N.Y. CONST. ART. XI, 1. This
means that it is incumbent upon the State to provide, at a minimum, a "sound
basic education" for the State's children. See Bd. of Educ., Levittown Union
Free Sch. Dist. v. Nyquist, 57 N.Y.2d 27, 48, 453 N.Y.S.2d 643, 439 N.E.2d
359 (1982); see also Campaign for Fiscal Equity, Inc. v. New York, 100 N.Y.2d
893, 905, 769 N.Y.S.2d 106, 801 N.E.2d 326 (2003) ("[A] sound basic
education conveys not merely skills, but skills fashioned to meet a practical
goal: meaningful civic participation in contemporary society."). To carry out
this command, the State has given the Commissioner of Education broad
authority to "prescribe . . . regulations governing the examination and
certification of teachers employed in all public schools of the state." N.Y.
EDUC. LAW 3004.1; see also id. 3001, 3002, 3005. Because the State
government is, at bottom, responsible for a school's failure to provide a "sound
basic education," 1 oversight of the education system at the State level is to be
expected.
6
However, this need for oversight must be balanced against the long-standing
principle in New York State that public schools be controlled largely by local
school boards. "[Article XI of the New York Constitution] enshrined in the
Constitution a state-local partnership in which `people with a community of
interest and a tradition of acting together to govern themselves' make the `basic
decisions [of] . . . operating their own schools.'" Paynter v. New York, 100
N.Y.2d 434, 442, 765 N.Y.S.2d 819, 797 N.E.2d 1225 (2003) (quoting
Levittown, 57 N.Y.2d at 46, 453 N.Y.S.2d 643, 439 N.E.2d 359). Thus, in each
school district, the people of the district make "the basic decisions on funding
and operating their own schools." Levittown, 57 N.Y.2d at 46, 453 N.Y.S.2d
643, 439 N.E.2d 359 (internal quotation marks omitted); see also N.Y. Civil
Liberties Union v. New York, 4 N.Y.3d 175, 181, 791 N.Y.S.2d 507, 824
N.E.2d 947 (2005) (quoting Paynter, 100 N.Y.2d at 442, 765 N.Y.S.2d 819,
797 N.E.2d 1225).2
To insure this emphasis on local control, the New York legislature has, by
statute, confided many of the public schools' operating decisions to the
discretion of local school boards. For example, school boards approve yearly
operating budgets,3 set tax rates, and collect taxes to fund public school
budgets.4 See N.Y. REAL PROP. TAX LAW 1302-1342; see also, e.g.,
N.Y. EDUC. LAW 1608,1716, 1804,1906, 2503, 2554, 2601-a. School
boards across the State negotiate labor agreements with unions representing
district teachers and other school district employees, see N.Y. CIV. SERV.
LAW 200,201.11; N.Y. EDUC. LAW 3011. This is also the case in New
York City, where BOE and the United Federation of Teachers enter into
collectively bargained agreements governing the employment of the City's
public school teachers. See, e.g., Steven Greenhouse, In Contract Deal, Pay to
Rise 10%, City Union Says, N.Y. TIMES, July 14, 2006, at A6; see also, e.g.,
Agreement Between The Board of Education of the City School District of the
City of New York and United Federation of Teachers, Local 2, American
Federation of Teachers, AFL-CIO, available at
http://www.uft.org/member/contracts/teachers_contract/. Local school boards
have also been given broad authorizations to purchase, maintain, and sell
property on behalf of a school; to provide transportation to and from schools; to
select and provide text books and other learning materials; and generally, "[t]o
have in all respects the superintendence, management and control of the
educational affairs of the district." N.Y. EDUC. LAW 1604.30; see also
generally 1604, 1709. "Although the New York State Department of
Education has substantial responsibility for education in the State, the local
school districts maintain significant control over the administration of local
school district affairs." Kramer v. Union Free Sch. Dist. No. 15, 395 U.S. 621,
623, 89 S.Ct. 1886, 23 L.Ed.2d 583 (1969).
8
Most relevant to this appeal is that local school boards have been given the
authority to "employ . . . as many legally qualified teachers as the schools of
the district require" and "to determine the rate of compensation of each
teacher." N.Y. EDUC. LAW 1604.8; see also id. 1709.16; 3012.1(a)
(prescribing the teacher tenure process to be followed in certain school
districts). This means that local school boards are also vested with the authority
to enter into contracts with teachers that set forth "the details of the agreement
between the parties, and particularly the length of the term of employment, the
amount of compensation and the time when such compensation shall be due
and payable." Id. 3011.1. Thus, while some discretion has been taken from
local school boards e.g., the requirement that the teacher be "legally
qualified" and that full-time teachers be given an opportunity for tenure
most of the day-to-day management of the affairs of public schools rests
entirely with local school boards.5 Nowhere in the State has the principle of
"giving citizens direct and meaningful control over the schools," Levittown, 57
N.Y.2d at 46, 453 N.Y.S.2d 643, 439 N.E.2d 359, been more meaningfully
practiced than in the City of New York, where, until 1991, the establishment of
teacher credentialing requirements fell largely on the BOE, see N.Y. EDUC.
LAW 2569-a to 2569-f (1990) (repealed by L.1990, c. 650, 1, eff. Jan. 1,
1991).
B
9
For many years, the BOE was solely responsible for prescribing the
credentialing requirements for City teachers. The minimum requirements were
a four-year college degree, as well as passage of both a written and an oral
examination administered by the City's own Board of Examiners. Once these
minimum requirements were met, the candidate was granted a "temporary per
diem certificate" (also referred to as an "initial certificate") allowing him or her
to teach for one year. At the end of that year, the teacher could either apply for
a renewal of the temporary per diem certificate, which would extend the license
for one more year, or the teacher could try for a permanent city teaching
license.
10
11
Although the City of New York was free to devise its own teacher credentialing
programs, its autonomy was limited to some degree because New York City
teachers have always had to meet certain state minimum qualifications. A
former human resources director for the BOE, Marie DeCanio, testified at trial
that, although an "actual [State] certificate was not required[,] . . . comparable
background and experience was required" of City certified teachers. Tr. Trans.
at 193.
12
In 1984, the State began requiring that all teachers (except those in New York
City and Buffalo) take and pass the Core Battery in order to obtain an initial
certificate. Passage of that test soon became a de facto requirement for City
teachers as well because State Education law required that the BOE "adopt
regulations for the licensure of teachers in the city that [were] substantially
equivalent or not less than those required by the state," Tr. Trans. at 1725, and
the BOE felt that it could not devise a test on its own that would satisfy the
"substantially equivalent" mandate. Those teachers who had passed the first
Board of Examiners' test would not have to take the Core Battery. However,
there were many teachers with temporary certificates teaching in the City
school system, and those teachers could not be permanently certified without
passing the Core Battery. Because the City risked decertification of thousands
of teachers, SED gave City teachers a five-year period in which to pass the
Core Battery. During this period, City teachers could continue to teach with
If a teacher did not pass the Core Battery within the five-year period, the
teacher's provisional license was revoked. However, a teacher could still obtain
a substitute teaching license, and many of the City's teachers who were decertified at the end of the five-year period remained in their positions as
substitutes. Concerned about a sudden glut of full time "substitute" teachers, the
State passed a bill that allowed for a test, given by the City's Board of
Examiners and only open to substitute teachers in New York City, which would
allow the substitutes to obtain an initial certificate without passing the Core
Battery. This test, called a "closed examination" because it was closed to all but
those who had worked for at least two years as a substitute teacher in the City
school system, consisted of only an oral examination. Ms. DeCanio testified
that the closed examination "was really a test that was to get people who are
working as sub[stitute]s to have an easier method into the system as the initial
certificate, and then they would have to complete their [permanent license]
requirements after that." Tr. at 239.
C
14
In 1987, SED Commissioner, Thomas Sobol, convened a task force to study the
State's public schools and make recommendations to improve the system. In
March 1988, the Commissioner's Task Force On The Teaching Profession
published, "The New York Report: A Blueprint for Learning and Teaching,"
("Task Force Report"), which made numerous recommendations for improving
the public school system. A large portion of the Task Force Report, titled
"Teacher Preparation and Licensure," was dedicated to a discussion of ways to
improve the quality of teaching that would be "in keeping with the needs of
today's students or teachers." Task Force Report at 614. Specifically, that
Report focused on concerns that teachers could be teaching in schools before
they obtained their permanent teaching licenses, which could mean that
students were being "taught by someone who lacks the necessary subject
knowledge or teaching skills." Id.
15
Two related recommendations in the Task Force Report are relevant to this
appeal. First, it recommended that teacher licensing should be done on a
"statewide . . . system which will seek to guarantee that before teachers are
allowed to work independently in a classroom, they will be thoroughly
prepared for that important responsibility." Id. Thus, it was suggested that
certification of teachers in New York City and Buffalo follow the same
standards as the rest of the State. Second, in order to implement such a system,
the Task Force recommended a "sequence leading to professional teacher
licensure" that would include a "test of liberal arts knowledge." Id. The Task
Force anticipated this test as one of the licensing requirements because of its
members' collective belief that "liberal learning is essential to the education of a
prospective teacher." Id.
16
D
17
The LAST was developed jointly by SED and National Evaluation Systems
("NES"), a company with considerable experience developing statewide teacher
licensing tests. While the Core Battery tested a range of knowledge, skills and
abilities that were deemed necessary to being a competent teacher,7 the LAST
is used to test only an applicant's knowledge of liberal arts and sciences. It is
important to note, however, that the LAST is but one component of the New
York State Teacher Certification Examinations ("NYSTCE"). The other
requirements for certification include separate assessments of pedagogy and
more specific content tests. Currently, those seeking permanent full-time
employment as classroom teachers in New York State must now pass the LAST
as one of the minimum requirements for attaining an initial certificate.
(Converting an initial certificate into a permanent "professional certificate"
involves a host of additional requirements not directly relevant to this appeal.)
18
20
The district court denied defendants' motions, finding that both SED and BOE
are subject to Title VII liability. See Gulino v. Bd. of Educ. of the City Sch. Dist.
of New York, 236 F.Supp.2d 314 (S.D.N.Y. 2002) ("Gulino I"), modified, 2002
WL 31887733 (S.D.N.Y. Dec.26, 2002). In concluding that SED is potentially
liable, the court stated that, in the absence of a direct employment relationship,
there are three tests for determining whether a particular defendant is an
employer in the Title VII context.8 See id. at 331-32. The district court found
that because SED plays a significant role in the management of local school
districts, it is subject to liability under the first of the three tests the so-called
"interference" test. See id. at 333. Having reached that decision, the district
court declined to discuss the applicability of the other two tests. Id. at 332. The
district court also found BOE to be subject to Title VII liability because,
although BOE was "merely following the mandates of state law as articulated in
the relevant statutes and regulations," id. at 333, Title VII precludes any
employer from using discriminatory state law as a defense to liability, id. at
The trial began in December 2002, spanned five months, filled over 3,600
pages of transcript, and included the testimony of 40 witnesses. The district
court, applying traditional Title VII burden-shifting analysis, found in favor of
the defendants. Gulino v. Bd. of Educ. of the City Sch. Dist. of New York, No.
96-8414, slip. op. at 34 (S.D.N.Y. Sept. 4, 2003) ("Gulino II'"). The court first
held that plaintiffs had presented sufficient statistical evidence of disparate
impact to make out a prima facie violation of Title VII. Id. at 10-13. Defendants
then presented evidence purporting to show that the examinations had been
developed and tested to ensure that they were related to the skills and
knowledge necessary for public school teachers. At the close of evidence, the
court found that the Core Battery was job related and thus, that "the State's
certification decisions based on that test was [sic] both valid and reliable." Id. at
15.
22
As to the LAST, the court found that defendants had failed to establish the
"formal validity" of the LAST. Id. at 32; see Guardians, 630 F.2d at 95-105.
Notwithstanding that finding, however, the district court employing a
standard it thought was required by the United States Supreme Court in Watson
v. Fort Worth Bank & Trust, 487 U.S. 977, 998, 108 S.Ct. 2777, 101 L.Ed.2d
827 (1988) held that the LAST is job related "because of the coincidence of
three factors: (1) the importance given to the ability to write an essay by those
education professionals surveyed by NES; (2) the weight of the essay writing
portion of the test; and (3) the fact that the majority of plaintiffs would have
passed the LAST but for the essay writing portion." Id. (citations omitted).
Having found that the LAST is job related, the district court entered judgment
in favor of defendants. Id.
23
Appellants claim that the district court applied the wrong disparate impact
standard, that the district court's factual conclusions regarding the weight of the
essay portion of the LAST are clearly erroneous, and that the defendants
"misused" the tests in making employment decisions as to "in service"
teachers.9 In defense of their victory below, both appellees renew their
arguments that Title VII does not apply to them. We address appellees' claims
first.
III
24
25
Where a statute "`uses terms that have accumulated settled meaning under . . .
the common law, a court must infer, unless the statute otherwise dictates, that
Congress means to incorporate the established meaning of these terms.'"
Comty. for Creative Non-Violence v. Reid, 490 U.S. 730, 739-40, 109 S.Ct.
2166, 104 L.Ed.2d 811 (1989) (quoting NLRB v. Amax Coal Co., 453 U.S. 322,
329, 101 S.Ct. 2789, 69 L.Ed.2d 672 (1981)). In particular, the Supreme Court
has stressed that, "when Congress has used the term `employee' without
defining it, ... Congress intended to describe the conventional master-servant
relationship as understood by common-law agency doctrine." Reid, 490 U.S. at
739-40, 109 S.Ct. 2166; see Clackamas Gastroenterology Assocs., P.C. v.
Wells, 538 U.S. 440, 444-45, 123 S.Ct. 1673, 155 L.Ed.2d 615 (2003)
(applying federal common-law of agency to definition of "employee" under
ADA); Darden, 503 U.S. at 323, 112 S.Ct. 1344 (ERISA); Reid, 490 U.S. at
743, 109 S.Ct. 2166 (Copyright Act of 1976).
26
In attempting to give guidance in that regard, the Supreme Court culled the
following non-exhaustive, thirteen-factor list of considerations from federal
case law and the Restatement (Second) of Agency:
27
the hiring party's right to control the manner and means by which the product is
accomplished .... [;] the skill required; the source of the instrumentalities and
tools; the location of the work; the duration of the relationship between the
parties; whether the hiring party has the right to assign additional projects to the
hired party; the extent of the hired party's discretion over when and how long to
work; the method of payment; the hired party's role in hiring and paying
assistants; whether the work is part of the regular business of the hiring party;
whether the hiring party is in business; the provision of employee benefits; and
the tax treatment of the hired party.
28
Reid, 490 U.S. at 751-52, 109 S.Ct. 2166. Although "[n]o one of these factors is
determinative," Reid, 490 U.S. at 752, 109 S.Ct. 2166, "the common-law
element of control is the principal guidepost that should be followed,"
Clackamas, 538 U.S. at 448, 123 S.Ct. 1673;12 see also Eisenberg v. Advance
Relocation & Storage, Inc., 237 F.3d 111, 114 (2d Cir.2000); Frankel v. Bally,
Inc., 987 F.2d 86, 90 (2d Cir.1993) (citing Spirides v. Reinhardt, 613 F.2d 826,
831 (D.C.Cir.1979)). This Circuit has repeatedly looked to the "Reid factors" in
analyzing employment relationships under Title VII. See, e.g., Eisenberg, 237
F.3d at 114; O'Connor v. Davis, 126 F.3d 112, 115 (2d Cir.1997).
29
30
The district court, in holding that SED is subject to Title VII liability, neglected
the common law-based analysis entirely. Instead, as noted above, the district
court found that
31
Gulino I, 236 F.Supp.2d at 331-32 (citations omitted). The court settled on the
first of the three teststhe "interference" testand found that SED's extensive
involvement in the affairs of local school districts brought SED within the
ambit of the interference test. As discussed more fully below, we disagree with
the district court's holding as to the applicability of the interference test, 18 and
we reverse. Because we reverse on that issue, we must also address the two
other putative tests for employer liability that the district court did not discuss.
Having considered the other theories, however, we find that SED is not an
employer under any view of Title VII, and we dismiss the Title VII claims
against the State defendant.
B
33
The "interference" theory of employer liability was first enunciated by the D.C.
Circuit in Sibley Memorial Hospital v. Wilson, 488 F.2d 1338 (D.C.Cir.1973),13
but the district court likened the present case to a more recent application of the
theorythe Ninth Circuit's decision in Association of Mexican-American
Educators v. California, 231 F.3d 572 (9th Cir.2000) (en banc) ("AMAE"). In
AMAE, the Ninth Circuit endorsed the test from Sibley, holding that the state of
California was subject to Title VII liability because, even though the state was
not an employer in the traditional sense, it "interferes" with the employment
relationship between public school teachers and the schools that hire them. Id.
at 580.
34
35
Judge Motley also briefly mentioned the Second Circuit's own foray into the
hazy realm of the interference test: Spirt v. Teachers Ins. and Annuity Ass'n,
691 F.2d 1054 (2d Cir.1982), vacated and remanded on other grounds, 463
U.S. 1223, 103 S.Ct. 3565, 77 L.Ed.2d 1406 (1983). In that case, defendant
TIAA managed a pension fund to which certain employees of Long Island
University were required to contribute. The fund made higher retirement
payments to male retirees based on the actuarial assumption that women
typically live longer than men and would thus draw retirement benefits for a
longer period of time. The defendant argued, inter alia, that it should not be
held liable under Title VII because it was not the plaintiff's employer. The
Court, in finding that the defendant could be liable under Title VII, held that
there can be an "indirect" employment relationship where one party
"significantly affects access of any individual to employment opportunities." Id.
at 1063. Thus, this Court concluded, the defendant's policy of maintaining "sexdistinct mortality tables," id. at 1062, had a disparate impact on female
employees, and defendant, as delegee of one of the employer's traditional
employment functions, could be held liable under Title VII, id. at 1063.
36
In concluding that SED is subject to Title VII liability, the district court found
that the state's involvement in setting baseline requirements for public schools
including curriculum standards, graduation requirements, and, here,
minimum requirements for a teaching licensewas sufficient to bring SED
within the scope of the interference test. We disagree. In our view, the district
court's application of the interference test was wrong for three reasons. First,
this Circuit has never adopted a broad reading of the Sibley interference test,
and we decline to do so now. The district court's application of the interference
test contravenes the plain language of Title VII and strays from basic tenets of
statutory interpretation. Second, the district court's wholesale adherence to
AMAE was misplaced because the linchpin of the AMAE majority's analysis
i.e., that the State of California has plenary control over the operations of its
schoolshas no corollary in this case. Third, this Circuit's decision in Spirt
does not support the conclusion that the State should be held liable for the
disparate impact of the certification tests.
1. Sibley and the Interference Test
37
The language of Title VII clearly delineates a liability regime: "It shall be an
unlawful employment practice for an employer . . . to fail or refuse to hire or to
discharge any individual [on the basis of membership in a protected class]." 42
U.S.C. 2000e-2(a)(1) (emphasis added). An expansive definition of
"employer" contravenes Supreme Court precedent and fundamental canons of
statutory interpretation. As Judge Gould's dissent in AMAE aptly states, "A
natural reading of [42 U.S.C. 2000e-2(a)(1)] suggests that the `individual' it
Beginning with Sibley, however, a number of courts have held that liability
under Title VII encompasses not only employers in the traditional sense, but
also those who interfere with an individual's access to employment
opportunities. See Sibley Mem. Hosp., 488 F.2d at 1341; see also, e.g., AMAE,
231 F.3d at 581; Zaklama v. Mt. Sinai Med. Ctr., 842 F.2d 291, 294 (11th
Cir.1988); Doe ex rel. Doe v. St. Joseph's Hosp., 788 F.2d 411, 422 (7th
Cir.1986) overruled in part, Alexander v. Rush N. Shore Med. Ctr., 101 F.3d
487, 488 (7th Cir.1996); Armbruster v. Quinn, 711 F.2d 1332, 1336 (6th
Cir.1983) abrogated in part on other grounds, Arbaugh v. Y & H Corp., ___
U.S. ___, 126 S.Ct. 1235, 163 L.Ed.2d 1097 (2006); Shehadeh v. Chesapeake
& Potomac Tel. Co., 595 F.2d 711, 722 (D.C.Cir.1978). The Sibley court
premised this expansion on its belief that, because "one of Congress' main goals
was to provide equal access to the job market," Sibley, 488 F.2d at 1341
(internal quotations omitted), Congress must have impliedly extended liability
not only to direct employers but also to those who interfere with a direct
employment relationship. We disagree with the Sibley court's expansive
approach to interpreting the straightforward language of the statute.
39
Sibley's central reason for creating "interference" liability under Title VII was
that 8 Congress intended a comprehensive solution to employment
discrimination and that such a comprehensive solution must entail an expansive
view of potentially liable parties. As evidence of this intent, the Sibley court
cited the sections of Title VII that extend "interference" liability to employment
agencies and labor unions based upon a "highly visible nexus with the creation
and continuance of direct employment relationships between third parties."14 Id.
at 1342. The court concluded that, because the defendant's "daily operations
are of such a character as to have such a nexus," liability was properly extended
to that defendant. Id.
40
This reading of Title VII, however, ignores the very language that Congress
employed. Congress did not mention labor unions or employment agencies as
examples of additional potentially liable parties under Title VII. Nor did
Congress extend Title VII liability in a general way; rather, it limited the
statute's additional liability to labor unions and employment agencies. Cf.
O'Melveny & Myers v. F.D.I.C., 512 U.S. 79, 86, 114 S.Ct. 2048, 129 L.Ed.2d
67 (1994) (holding that federal statutory scheme detailing what claims could be
made against the FDIC when it is acting as receiver necessarily excluded
claims not mentioned in the statute). Congress obviously considered a range of
The Sibley court's view of Title VII might also raise additional constitutional
concerns. The Supreme Court has warned that a Congressional intent "to alter
the usual constitutional balance between the States and the Federal
Government" must be "unmistakably clear in the language of the statute."
Gregory v. Ashcroft, 501 U.S. 452, 460-61, 111 S.Ct. 2395, 115 L.Ed.2d 410
(1991) (internal quotations omitted). This requirement safeguards the
sovereignty retained by the states in our federal system because it requires
Congress to state clearly when and to what it extent "it intends to pre-empt the
historic powers of the States." Gregory, 501 U.S. at 461, 111 S.Ct. 2395
(citations omitted). The rule has been employed in a wide range of cases in
which federal courts are asked to define the reach of Congressional enactments
that threaten to upset the delicate balance of federalism. See, e.g., Pa. Dep't of
Corr. v. Yeskey, 524 U.S. 206, 209, 118 S.Ct. 1952, 141 L.Ed.2d 215 (1998)
(whether ADA applies to state prisons); BFP v. Resolution Trust Corp., 511
U.S. 531, 544, 114 S.Ct. 1757, 128 L.Ed.2d 556 (1994) (whether Bankruptcy
Code displaced state laws relating to title in real estate); Gregory, 501 U.S. at
456, 461, 111 S.Ct. 2395 (whether ADEA applies to state law establishing
mandatory retirement age for Missouri judges); Hayden v. Pataki, 449 F.3d
305, 323-24 (2d Cir.2006) (en banc) (whether Voting Rights Act applies to state
prisoner disenfranchisement laws).
42
"Providing public schools ranks at the very apex of the function of a State,"
Wisconsin v. Yoder, 406 U.S. 205, 213, 92 S.Ct. 1526, 32 L.Ed.2d 15 (1972).
The Supreme Court has acknowledged that "[p]ublic education, like the police
function, `fulfills a most fundamental obligation of government to its
constituency,'" Ambach v. Norwick, 441 U.S. 68, 76, 99 S.Ct. 1589, 60 L.Ed.2d
49 (1979) (quoting Foley v. Connelie, 435 U.S. 291, 297, 98 S.Ct. 1067, 55
L.Ed.2d 287 (1978)), and that "public school teachers may be regarded as
performing a task `that go[es] to the heart of representative government,'"
Ambach, 441 U.S. at 75-76, 99 S.Ct. 1589 (quoting Sugarman v. Dougall, 413
U.S. 634, 647, 93 S.Ct. 2842, 37 L.Ed.2d 853 (1973)). Thus, there is little doubt
that New York acts pursuant to its traditional police powers in performing a
core state functionregulating the quality of public school teachers.15
Fortunately, we need not explore the legitimacy of Sibley's view of Title VII
and the constitutional concerns raised by the clear statement rule, for we are
convinced that the statute does not apply to the State (and thus SED) in the
context presented. We see no justification for embracing Sibley's reading of
Title VII and its use of the interference test.
43
44
Even if we endorsed Sibley, we still could not affirm the district court's
wholesale application of AMAE because of key factual differences between this
case and AMAE. The relationship between the State of New York and
individual local school districts is very different than the state/local relationship
outlined by the Ninth Circuit in AMAE. While the New York Constitution does
impose ultimate liability on the State for providing a "sound basic education,"
the equally important tradition of local control of public schools suggests a
measure of autonomy not present in California. Local school districts in the
State of New York are not merely "agencies" of the State, and neither the Board
of Regents nor the Commissioner of Education exercise plenary control over
public schools. Rather, as we have already discussed above, the legislature of
New York has specifically delegated much of the public schools' day-to-day
operationsincluding, most importantly here, employment decisionsto the
local school districts. While some public school policies come from SED, New
York does not have the same "top down" approach to management of the public
schools that motivated the Ninth Circuit's decision in AMAE. Thus, even if this
Circuit were to follow the legal framework of AMAE, the factual differences
between the cases preclude reliance on that decision.16
45
46
Finally, we think that our decision in Spirt, limited in scope as it is, does not
support the decision below. In Spirt, we enunciated a narrow rule based upon a
unique factual posture: we held that, where an employer has delegated one of
its core duties to a third partyin that case, Long Island University delegated
responsibility for the administration of a retirement plan to TIAAthat third
party can incur liability under Title VII. In so holding, this Court reasoned that
48
U.S. at 740, 109 S.Ct. 2166; Clackamas Gastroenterology Assocs., 538 U.S. at
444, 123 S.Ct. 1673, and a broad application of the interference test is plainly
inconsistent with traditional principles of agency law.
49
50
51
52
53
appellants do not claim that the BOE is an "agent" of the State. Instead,
appellants claim that the State exercises a level of control over the BOE such
that the State must be considered an employer under this agency theory. But
this is, of course, merely a rehashing of the "interference" and "single
employer" tests, and, in any event, it gets the "agency" liability analysis
backwards. That is, Title VII liability applies to employers or their agents, and
the State is clearly not an agent of BOE. Thus, we find that the so-called
"instrumentality" test, to the extent that it is a separate theory of liability, does
not apply here.
5. Applying The Common Law of Agency
54
This leaves us where the district court should have startedat the common law
of agency. As detailed earlier, the Supreme Court has given us guidelines for
discerning the existence of an employment relationship: traditional indicators of
employment under the common law of agency. Under this approach, the State
is plainly not plaintiffs' employer for the purposes of Title VII liability.20
55
As an initial matter, plaintiffs fail to meet the threshold showing that SED hired
and compensated them. See O'Connor, 126 F.3d at 115-16; Pietras, 180 F.3d at
473. While SED and the Regents set the baseline qualifications for fully
licensed public school teachers, it is BOE who hired, promoted, demoted, and
fired teachers in New York City. In fact, as detailed above, employment
decisions have been delegated to local school boards by statute in New York.
See supra at 6-7. The issues of the teachers' tenure, pay, and benefits are
decided by BOE. Finally, while BOE receives some state funds, a portion of
which may go to paying teachers, such an indirect source of funds cannot be
the basis for Title VII liability.
56
Even assuming arguendo that plaintiffs could meet that threshold requirement,
they would still need to show a traditional master-servant relationship under the
multi-factored test from Reid, 490 U.S. at 751-52, 109 S.Ct. 2166. That
standard focuses largely on the extent to which the alleged master has "control"
over the day-to-day activities of the alleged "servant." The Reid factors
countenance a relationship where the level of control is direct, obvious, and
concrete, not merely indirect or abstract. For example, under the Reid test, an
employment relationship would exist between a partner and an associate of a
law firm but not between the National Association of Securities Dealers and a
stock broker. Plaintiffs in this case could not establish a master-servant
relationship under the Reid test. SED does have some control over New York
City school teacherse.g., it controls basic curriculum and credentialing
requirementsbut SED does not exercise the workaday supervision necessary
to an employment relationship.
57
Thus, we find that the narrow holding of Spirt does not apply in this case, and
we also hold that there is no theory of agency that supports the district court's
holding that SED is subject to Title VII liability. Consequently, we vacate that
portion of the district court's November 22, 2002 judgment and order that all
claims against SED be dismissed.21
C
58
Not surprisingly, the district court also found that BOE is an employer subject
to Title VII liability. BOE argued in the district court that it should not be held
liable for an employment practice required by state law. The court held that
"Title VII preempts any state laws in conflict with it," Gulino I, 236 F.Supp.2d
at 335 (citations omitted), and that, even though BOE was "merely following
the mandates of state law," id. at 333, in using the LAST to certify teachers, it
was nevertheless subject to Title VII liability, see id. at 335. BOE does not
appear to challenge this finding of the district court; however, we note the
district court was correct in holding that the mandates of state law are no
defense to Title VII liability. As this court has previously held, "Title VII
explicitly relieves employers from any duty to observe a state hiring provision
`which purports to require or permit' any discriminatory employment practice."
Guardians, 630 F.2d at 105 (quoting 42 U.S.C. 2000e-7 (1976)). On appeal,
BOE appears to change its tack. Instead of arguing lack of discretion, BOE
asserts that Title VII does not apply because BOE's use of certification tests for
licensing "is a capacity separate and distinct from that of employer under Title
VII." BOE Br. at 13. That is, BOE argues that, because it is merely engaged in
the licensing of teachers, Title VII does not apply.22
59
To support its claim, BOE relies almost exclusively on two cases: National
Organization of Women v. Waterfront Commission of New York Harbor, 468
F.Supp. 317 (S.D.N.Y.1979) and Lavender-Cabellero v. NYC Department of
Consumer Affairs, 458 F.Supp. 213 (S.D.N.Y.1978). BOE argues that these
cases exempt the City from all Title VII liability for its licensing activities.
Neither case, however, supports BOE's claim. Both cases involve organizations
that were merely licensing entities, unlike BOE which acts as plaintiffs'
"employer" in the word's ordinary meaning. In National Organization of
Women, the Title VII challenge to the activities of the Waterfront Commission
failed not only because the Commission was merely a licensing organization,
but also because the Commission was created with consent of Congress to
manage certain aspects of labor at the New York and New Jersey ports "[t]o
loosen the stranglehold on port activities that criminals, racketeers and
hoodlums had acquired." Nat'l Org. of Women, 468 F.Supp. at 319 (internal
quotations omitted). The district court in that case found that Congress, in
passing the bill authorizing the interstate Commission, did not intend to
diminish the states' ability to fight crime and corruption by creating new
avenues of Title VII liability. Id. at 321. The decision in Lavender-Cabellero is
also inapposite to the case at bar. In Lavender-Cabellero, plaintiff challenged
the City of New York's system for issuing licenses to process servers.
Lavender-Cabellero, 458 F.Supp. at 214. The district court found that the City
was merely licensing process servers and not employing them, much as, for
example, a state medical board might license, but not employ, doctors. Id. at
215.
60
While we acknowledge the difficult situation that this creates for the BOE,
Title VII requires this result. BOE is not merely a licensing agency; the cases
on which BOE relies involve organizations whose raison d'etre is licensing.
While SED's interest is in assuring the quality of teachers, it does not hire them.
The purpose of BOE, on the other hand, is the education of students in the New
York City public schools, and BOE hires and compensates teachers as a means
of accomplishing that objective. Consequently, we affirm the district court's
decision that BOE is an "employer" subject to liability under Title VII.
IV
61
What then of the merits of appellants' claim that the district court erred in
finding that the LAST is job related and does not violate Title VII? "We review
the district court's findings of fact for clear error and its conclusions of law de
novo." Wilson v. Nomura Sec. Int'l, Inc., 361 F.3d 86, 89 (2d Cir.2004). After
careful review, we find that the district court's decision was premised on both
legal and factual error, and we vacate the decision and remand for further
proceedings consistent with this opinion.
62
quotation marks omitted). Thus, a plaintiff need not show that an employer
intended to discriminate to state a claim under Title VII. Rather, "[a] prima
facie violation of [Title VII] may be established by statistical evidence showing
that an employment practice has the effect of denying the members of one race
equal access to employment opportunities." New York City Trans. Auth. v.
Beazer, 440 U.S. 568, 584, 99 S.Ct. 1355, 59 L.Ed.2d 587 (1979); see 42
U.S.C. 2000e-2(k).
63
64
The district court found that plaintiffs had made a prima facie showing of
disparate impact. Gulino II, No. 96-8414, slip op. at 14. Appellees do not
challenge this finding. The district court also found, however, that appellees had
shown that both the Core Battery and the LAST were job related, and based on
that finding, the district court entered judgment in favor of defendants. Id. at 21,
32, 34. Appellants now challenge only the district court's finding that the LAST
66
67
There are two sources of expertise upon which the courts often rely in deciding
whether a test has been properly validated. First, a court can look to the
testimony of experts in the field of test validation. At trial, both plaintiffs and
defendants introduced testimony of experts in the field of educational testing.
The district court's extensive findings of fact show that the court relied heavily
on these opinions in assessing the job relatedness of the challenged certification
tests. Second, despite the usefulness of expert testimony, courts also need
clearly established guideposts against which the reliability of the expert
testimony can be evaluated. Perhaps the most important source of guidance is
the Equal Employment Opportunity Commission's "Uniform Guidelines on
Employee Selection Procedures" ("EEOC Guidelines" or the "Guidelines"). See
29 C.F.R. 1607.1-1607.18 (2006). The EEOC Guidelines are intended "to
provide a framework for determining the proper use of tests and other selection
procedures." Id. at 1607.1(B). Although it has been stressed repeatedly that
courts are by no means bound by the EEOC Guidelines, courts rely on them
because following the Guidelines promotes consistency in the enforcement of
anti-discrimination law. That is, the Guidelines represent "the administrative
interpretation of the Act by the enforcing agency" and are thus "entitled to great
deference." Griggs, 401 U.S. at 433-34, 91 S.Ct. 849. But the EEOC Guidelines
are not only the administrative agency's interpretation of Title VII's
requirements for test validation, they also represent the opinion of experts in
the fieldi.e., the EEOC. Because of that, courts have relied on the EEOC
Guidelines since the standards for disparate impact analysis were announced in
Griggs. Thus, although we approach the Guidelines with the appropriate
mixture of "deference and wariness," Guardians, 630 F.2d at 91, thirty-five
years of using these Guidelines makes them the primary yardstick by which we
measure defendants' attempt to validate the LAST.
68
The EEOC Guidelines draw a sharp distinction between tests that measure
"content"i.e., the "knowledges, skills or abilities" required by a joband
tests that purport to measure "constructs"i.e., the "inferences about mental
processes or traits, such as `intelligence, aptitude, personality, commonsense,
judgment, leadership and spatial ability.'" Id. at 91-92 (quoting 29 C.F.R.
1607.14(C)). This distinction, however, goes beyond mere semantics; it has
important legal consequences because content validation is generally much
easier to achieve than construct validation.23 The result is that "[t]his contentconstruct distinction ... frequently determines who wins the lawsuit." Id. at 92.
69
The problem with a sharp distinction is that "knowledges, skills or abilities" can
look very much like "constructs." See Id. at 93 (citing research on the hazy
distinction between content and constructs). Consistent with a practical
approach to test validation, one should not draw too bright a line between
content and construct; rather, content and construct represent a continuum that
"starts with precise capacities and extends to increasingly abstract ones." Id. at
93. A test will not automatically be subjected to the rigors of construct
validation merely because the examination purports to test abstract qualities.
Instead, we have stressed that courts should take a "functional approach that
focuses on the nature of the job" in analyzing the defendants' test validation
procedures. Id. Where a test "attempts to measure general qualities such as
intelligence or commonsense, which are no more relevant to the job in question
than to any other job, then insistence on the rigorous standards of construct
validation is needed." Id. On the other hand, "as long as the abilities that the
test attempts to measure are no more abstract than necessary, that is, as long as
they are the most observable abilities of significance to the particular job in
question, content validation should be available." Id. Common experience tells
us that jobs require, and employers should be able to test, a range of abilities,
and we must adapt our inquiry to the realities of the testing process.
70
Guardians laid out a five-part test for use in analyzing the content validity of an
employment test:
71
(1) [T]he test-makers must have conducted a suitable job analysis[;] (2) they
must have used reasonable competence in constructing the test itself[;] (3) the
content of the test must be related to the content of the job . . . [;] (4) the content
of the test must be representative of the content of the job[; and] [there must] be
(5) a scoring system that usefully selects from among the applicants those who
can better perform the job.
72
Id. at 95 (footnote omitted). This approach has the advantage of tracking the
Guidelines standards while still allowing the courts to take a more functional
approach to the analysis. In particular, this test frees the courts from having to
draw sharp distinctions between "content" and "construct" or "knowledge" and
"ability." Id. at 93-94.
C
73
In concluding that the LAST is "job related," the district court declined to apply
the standard set forth in Guardians. Gulino II, 96-8414, slip op. at 32-33.
Instead the district court found that "the Supreme Court lowered the bar for
defendants in disparate impact suits" in Watson v. Fort Worth Bank & Trust,
and that, under this allegedly lower standard, the LAST was properly validated.
This conclusion was based upon "the coincidence of three factors: (1) the
importance given to the ability to write an essay by those education
professionals surveyed by NES; (2) the weight of the essay writing portion of
the test; and (3) the fact that the majority of plaintiffs would have passed the
LAST but for the essay writing portion." Id. (internal citations omitted). This
holding was in error. Watson never lowered the bar for defendants; thus,
Guardians is still the law in this Circuit. In addition, the court's factual
conclusion about the essay portion of the exam is clearly erroneous.
1. District Court's Legal Error
74
The district court's decision regarding the job relatedness of the LAST was
based on an erroneous reading of Watson and a misapprehension of the scope of
that precedent. The district court quoted the following passage from Watson in
arriving at its conclusion that Guardians is no longer the standard in this Circuit
for assessing job relatedness:
75
Our cases make it clear that employers are not required, even when defending
standardized or objective tests, to introduce formal "validation studies" showing
Watson, 487 U.S. at 998, 108 S.Ct. 2777 (quoting Beazer, 440 U.S. at 587 n.
31, 99 S.Ct. 1355). Relying on that passage, the court concluded that, even
though the LAST was not formally validated, it was obviously and manifestly
related to the legitimate goals of the education department. The district court
essentially read Watson as rejecting the need for any formal test validation in
Title VII cases.
77
The district court's legal conclusion regarding Watson raises two concerns.
First, it is not clear that the quoted portion of the Watson opinion purported to
overrule earlier Supreme Court cases that require employers to conduct
validation studies that are at least consistent with the EEOC Guidelines. We
think that Watson as a whole is more reasonably read as simply pointing out
that some tests measure abilities that are abstract, yet so clearly consistent with
legitimate business needs, that formal validation may be either functionally
impossible or inadequate as a measure of the test's job relatedness. The
examples from Beazer discussed in the quoted passage illustrates a subset of
disparate impact cases in which the job relatedness of an employment practice
is so patent that formal validation is unnecessary. Neither of those outlying
examples are relevant here.
78
Second, courts should not rely on this portion of Watson because that language
comes from a section of the Watson opinion that was joined by only four of the
eight participating justices.24 See Watson, 487 U.S. at 1000, 108 S.Ct. 2777
(Blackmun, J. concurring). While that portion of the opinion has persuasive
force, this Circuit remains bound by the validation requirements expressed in
earlier Supreme Court precedent, namely, Albemarle Paper and Griggs, and as
interpreted by Guardians. Further bolstering that conclusion is the fact that this
case is much more factually analogous to Albemarle Paper and Griggs than to
Watson. Albemarle Paper, Griggs, and Guardians addressed the use of
standardized tests in making employment decisions. Watson, on the other hand,
addressed the applicability of Title VII to subjective employment practices,
such as evaluations by superiors, in making employment decisions. The testingrelated cases delineate the appropriate standard for assessing job relatedness.25
In any event, because the BOE fails to point us to record evidence supporting
the district court's finding that the LAST was properly validated, we are
obliged to vacate the district court's judgment for clear factual error. As we
have already noted, the district court based its conclusion regarding job
relatedness on "the coincidence of three factors: (1) the importance given to the
ability to write an essay by those education professionals surveyed by the NES;
(2) the weight of the essay writing portion of the test; and (3) the fact that the
majority of plaintiffs would have passed the LAST but for the essay writing
portion." Gulino II, 96-8414, slip op. at 33 (internal citations omitted). It is with
respect to the last factor that the record is deficient.26
80
The NES data on test scores is broken down by content and by demographics.
The data in the record spans from March 1993 to July 1999. Some background
generalizations about scores and race bear mentioning. Between 1993 and
1999, the average pass rate for white test takers ranged from 91% to 94%,
while the average pass rate for African American candidates ranged from 51%
to 62%, and the average pass rates for Latino candidates ranged from 47% to
55%. All candidates tended to have the highest average scores on the section
titled "Artistic Expression and The Humanities," and all candidates tended to
have the lowest average score on the section titled "Written Analysis and
Expression"i.e., the "essay" section.
81
The district court's factual conclusions were clearly erroneous in several key
respects. First, in many of the years, African American and Latino candidates in
general averaged lower than passing scores on sections other than (and in
addition to) the essay section. Thus, in those years, many candidates
presumably would have failed the LAST even if they had achieved passing
scores on the essay section. Second, in some specific instances involving
individual plaintiffs in this case, the essay portion of the test appears not to
have determined the outcome as concluded by the district court. On several
tries, one of the named plaintiffs failed multiple sections of the exam, such that
a passing score on the Essay Section would not have been enough to pass the
LAST. On the other hand, two of the plaintiffs failed exams despite having
received a passing score on the Essay Section. Finally, the LAST employs a
compensatory scoring regime so that a candidate who scores below the passing
score on the essay section could still pass the exam by scoring higher on the
other sections. Thus, strictly speaking, it is impossible for the test as a whole to
be valid simply because one section is job related. That is, because higher
performance on one section may compensate for lower performance on another,
one particular section could never be the sole reason that a particular group
fails the exam. Thus, even under the district court's reading of Watson, on the
record presented to us, the job relatedness of one particular section cannot
establish the job relatedness of the entire test.
3. The Pervasive Lack of Documentation
82
The district court concluded that the LAST could not be properly validated
under the Guardians standard at least in part because of a "pervasive lack of
documentation." Gulino II, 96-8414, slip op. at 28. Were we to agree, it might
be appropriate to direct the entry of judgment on remand in favor of appellants.
In fact, however, we are not convinced, as a matter of law, that such judgment
is warranted in this case.
83
It was unquestionably proper for the district court to take into account the fact
that NES and SED had either destroyed, or failed to maintain, documents
relating to the extensive procedure allegedly employed to validate the LAST.
This lamentable failure on the part of NES and SED has considerably
complicated an already difficult case.27 But to the extent the district court
appears to have concluded that the failure to produce documents was
necessarily fatal to formal validation, we disagree.
84
85
86
Notes:
*
The Honorable Christopher F. Droney of the United States District Court for
the District of Connecticut, sitting by designation
**
It is instructive, though not determinative, that, for the 1996-97 school year, the
State's contribution to public school budgets amounted to only 39.9% of total
funds. Local school districts provided 56% of all funding, and the federal
government provided the remaining 4%See Campaign for Fiscal Equity, 100
N.Y.2d at 905, 769 N.Y.S.2d 106, 801 N.E.2d 326.
5
That legislation also eliminated the City's Board of Examiners and transferred
licensing responsibilities to the BOE
Because appellants do not challenge on appeal the district court's finding that
the Core Battery did not violate Title VII, there is no need to discuss that test's
development and implementation
Because we conclude that the district court's factual conclusions with respect to
the weight of the essay portion of the LAST were clearly erroneous, we need
not reach appellants' contention that the test was "misused." If appropriate, the
district court may need to address this argument on remand
10
11
Title VII provides a rather circular definition of "employee," stating that "[t]he
13
InSibley, a male private-duty nurse, who was placed with patients through a
hospital but who was paid directly by the patients, sued the hospital for
preventing him from being referred to female patients on numerous occasions.
Sibley, 488 F.3d at 1339-40. The Court of Appeals held that, although the
plaintiff was directly employed by the patients, the hospital could be held
liable under Title VII because the hospital "control[led] the premises upon
which those services were to be rendered, including appellee's access to the
patient for purposes of the initiation of ... employment." Id. at 1342.
14
Indeed, Judge Motley noted, with regard to the Essay Section of the LAST, "It
should go without saying that New York City teachers should be able to
communicate effectively in both spoken and written English. Teachers who are
unable to write a coherent essay without a host of spelling and grammar errors
may pass on that deficiency to their students, both in commenting upon and
grading the work they turn in. Defendants' decision to exclude those who are
not in command of written English is in keeping with the legitimate educational
goal of teaching students to write and speak with fluency."Gulino II, No. 968414, slip op. at 33. Although we overturn Judge Motley's decision for other
reasons, we think her observation was eminently reasonable.
16
17
We also note that the sweep ofSibley itself was curtailed in Redd v. Summers,
232 F.3d 933 (D.C.Cir.2000), in which the D.C. Circuit seemed to limit Sibley
to situations where the alleged employer acts as "an intermediary between
[people offering services] and [potential employers]." Redd, 232 F.3d at 941.
18
See, e.g., Parker v. Columbia Pictures Indus., 204 F.3d 326 (2d Cir.2000); Da
Silva v. Kinsho Int'l Corp., 229 F.3d 358 (2d Cir. 2000); Sharkey v. Lasmo, 992
F.Supp. 321 (S.D.N.Y.1998); Balut v. Loral Elec. Sys., 988 F.Supp. 339
(S.D.N.Y.1997), aff'd, 166 F.3d 1199 (2d Cir.1998).
19
See, e.g., Arculeo v. On-Site Sales & Marketing, LLC, 425 F.3d 193 (2d
Cir.2005); see also, e.g., Zheng v. Liberty Apparel Co., 355 F.3d 61, 72 (2d
Cir.2003); Clinton's Ditch Coop. Co. v. NLRB, 778 F.2d 132, 137 (2d
Cir.1985).
20
21
licensing activity because the LAST is required for public school teachers and
not for private school teachers. While their arguments in this regard are unclear,
it appears that appellants cite this distinction as evidence of the "plenary
control" that the State has over its public schools. This argument is
unpersuasive for several reasons.
First, as noted above, the extent of the State's interference is irrelevant if the
State does not satisfy the common-law agency test for employer liability.
Second, New York does regulate many aspects of its private schools. See, e.g.,
N.Y. EDUC. LAW 305.22 (requiring the Commissioner of Education to issue
numbers to private and public school students alike for tracking purposes); N.Y.
COMP.CODES. R. & REGS. tit. 8 200 (establishing standards regulating
education of students with disabilities in private and public schools); id.
100.2(p) (requiring private high schools to register with the Board of Regents in
order to issue high school diplomas). Most importantly, New York law requires
that privately educated students (including home schooled students) receive
instruction that is from a "competent teacher" and that is "at least substantially
equivalent to the instruction given to minors of like age and attainments at the
public schools of the city or district where the minor resides." N.Y. EDUC.
LAW 3204.2; see Paladino v. Adelphi Univ., 89 A.D.2d 85, 454 N.Y.S.2d
868, 872 (App.Div.1982). Nonpublic educators must be licensed, subject to
yearly renewal, by SED "pursuant to the regulations of the Commissioner."
N.Y. EDUC. LAW 5004. These regulations require nonpublic schools to
submit "data concerning the education, training, experience and other
qualifications, including supporting documentation, of the administrative,
supervisory and instructional staff of the school." N.Y. COMP. CODES R. &
REGS. tit. 8, 126.6. The decision to certify, or not to certify, nonpublic school
teachers is made, by the Commissioner, "in the best interest of students." Id.
Finally, New York's decision to regulate public and private school teachers
differently is reflective of the State's differing obligations with respect to public
and private education. It is the State, and not the local school district, that is
required by the New York Constitution to guarantee a sound, basic public
education. Furthermore, the No Child Left Behind Act of 2001 required states
to ensure that public school teachers possess a certain level of training and
knowledge. See 20 U.S.C. 7801(23); 34 C.F.R. 200.56; N.Y.
COMP.CODES R. & REGS. tit. 8, 120.6. Naturally, these mandates require
state-level oversight of public school teachers. The fact of differing regulatory
schemes does not mean that the State is not acting pursuant to its inherent
police powers; if anything, it is evidence that the State is acting pursuant to its
police powers.
22
It appears that either BOE did not raise this argument below, or that BOE did
raise it and the district court did not address the argument in holding that BOE
is subject to Title VII liability. As an initial matter, we reiterate the "general
rule" that "federal appeals courts do not consider arguments raised for the first
time on appeal."In re Lynch, 430 F.3d 600, 605 (2d Cir.2005) (citing Singleton
v. Wulff, 428 U.S. 106, 120, 96 S.Ct. 2868, 49 L.Ed.2d 826 (1976)).
We would be able to say with certainty whether BOE had (or had not) raised
this below if BOE had included in the record on appeal the memorandum in
support of its summary judgment motion. Regrettably, the several thousand
page appendix contains no trace of the arguments made by BOE below. This
omission arguably violates federal appellate and local court rules, see FED.
R.APP. PROC. 30 & 2ND CIR. R. 30, certainly wastes judicial resources, see
Kushner v. Winterthur Swiss Ins. Co., 620 F.2d 404, 407 (3d Cir.1980), and is
ill-advised in a record-intensive case raising numerous important issues on
appeal, see Brown v. Artuz, 283 F.3d 492, 502 (2d Cir. 2002).
23
24
25
applied the Watson standard, and because the court did not clearly apply the
correct legal standard under Guardians, we remand for further fact-finding in
light of the clarified legal standard.
26
We are, of course, mindful that our esteemed departed colleague, the Honorable
Constance Baker Motley, brought unparalleled experience to the task of
evaluating discrimination claims. Thus, even after oral argument, we invited
appellees to point us to any evidence in the voluminous trial record, which
explored numerous issues, to support the few disputed factual findings at issue
on this appeal. Their inability to do so on one point related to the determinative
effect of the essay portion of the LAST compels us to vacate the judgment and
direct further proceedings
27
Given the regularity of legal challenges to these kinds of tests, this failure to
document the validation procedures is needlessly costly. In fact, the contract
between NES and SED required NES to keep documents regarding the
validation of the LAST, doubtlessly in anticipation of a case such as this. There
was no testimony as to why these documents were destroyed (or never kept) in
contravention of the contractual document retention policy