Professional Documents
Culture Documents
No. 92-1696
March 4, 1993
UNITED STATES COURT OF APPEALS
FOR THE FIRST CIRCUIT
____________________
No. 92-1696
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION,
Plaintiff, Appellant,
v.
COMMONWEALTH OF MASSACHUSETTS, ET AL.,
Defendants, Appellees.
____________________
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF MASSACHUSETTS
[Hon. Edward F. Harrington, U.S. District Judge]
___________________
____________________
Before
Higginbotham,
Higginbotham,
requires
Massachusetts
condition of
appeal
is
continued employment.
whether
Discrimination
in
such
Employment
amended, 29 U.S.C.
The issue
requirement
Act
(ADEA),
on this
violates
the
Age
81
602,
as
Stat.
I.
In
1977,
Massachusetts
enacted
Chapter
32
of
One component
employees
medical
of
of Chapter 32,
the
Commonwealth
seventy years of
examination
as
its
age or older
condition
political
to pass
of
an
continued
employment.1
____________________
1Section 90F provides in its entirety:
Any member in service classified in Group 1, or any
other person who would be classified in Group 1
except for the fact that he is not a member, shall
Group
employees
including
laborers,
clerical,
ch. 32,
all others
3(2)(g)
"[o]fficials
administrative
mechanics and
Mass. Gen. L.
enacted
are
and
and
general
employees
technical
workers,
not otherwise
(1992).
Under the
no later than
classified."
regulations
of seventy,
of which
he or
she is a
In
be entitled
order
if he
to remain
or she
retired at
in employment
the age
after the
of
age of
a medical
examination by
a physician
designated by
the board.
continue
in service.
or her birth.
the
application is
If
If
granted, the
the application
840,
the month
11.01-11.02
(1992).
____________________
service after he has attained age seventy and upon
retirement such member or other person shall receive
a superannuation retirement allowance equal to that
which he would have been entitled had he retired at
age seventy.
Mass. Gen. L. ch. 32,
90F.
-33
Barnstable
of the
90F.
In 1988
a town
in
Massachusetts,
continue
to pass
medical examination
examination
employees
and was
allowed
town.
She
to continue
to retire
in
order to
her
since
employment.
90F has
No
been in
effect.
On September
Commission
BCRA.
(EEOC) brought
The
EEOC alleged
suit
against
that the
Massachusetts and
requirements
Massachusetts
state and
local employees
an annual
medical examination as
of the
Age
623(a).
Discrimination in
of
aged seventy
the
90F that
or older
a condition
of
Act (ADEA),
29
-44
Following
judgment.
The
discovery, all
EEOC
argued
discriminatory
on
established
justification
determining
who would
examination
its
as
Massachusetts'
face
it
for
condition
answer in
its
argued
its
and
be required
twofold: first,
in
parties moved
motion
that
age
to take
as
90F
was
had
not
factor
in
and pass
continued
motion for
that
that
defendants
using
of
for summary
4(a)
a medical
employment.
summary judgment
of the
ADEA
was
was
not
90F did not violate the ADEA because concerns over the fitness of
employees, rather than age, was the basis of the statute.
On
defendants'
motion.
April
17,
motions for
1992,
summary
district
court
judgment, denying
the
to the
EEOC's
court, the
Supreme Court
the state.
held in
Gregory v.
__________
preempt
granted
the
of the state.
In the
Congress
intends to
view of the
it clear and
manifest that
assess
it intended to "limit
the fitness
of their
employer-states' ability to
employees."
Moreover, the
court
-55
continued, the
age
or
older to
undergo an
annual
to the
court concluded,
medical examination
government as
seventy years of
well as by
"is a
being of
society at
those
large."
violative of, the ADEA, and for the court to hold otherwise would
EEOC now
summary judgment.
summary judgment
directing the
favor.
appeal.
The
appeals
court's grant
of
favor
district court
EEOC makes three
First,
the district
of
appellees
to enter
and
we
remand
summary judgment
in its
main arguments in
that
support of
its
on
its
face.
Second,
the EEOC
maintains that
90F does
age,
90F.
and not
Finally,
II.
Rule
provides that
the
56(c) of
the
summary judgment
pleadings,
depositions,
Federal Rules
of Civil
"shall be rendered
answers
to
Procedure
forthwith if
interrogatories,
and
-66
admissions on file,
is entitled to a judgment as
Civ. P. 56(c).
judgment dispositions.
F.2d
43, 44-45
affidavits, if any,
We exercise plenary
show
and that
a matter of law."
review of summary
(1st Cir.
1990).
The facts
of this
case, as
recounted above,
issue of whether
So, we turn
first to the
Congress has
under the
Supremacy Clause
Federal
preemption
express
and implied.
293,
law
of Article VI
recognizes
two
state legislation
of the
types
Constitution.
of
preemption,
532 (1991); see also Wood v. General Motors Corp., 865 F.2d 395
_________ _____________________________
(1st Cir. 1988).
in
legislation that
the
text of
legislation in
statement,
the area.
In
a federal statute
state statute.
The United
the
it
intends to
absence of
preempt state
such a
specific
by implication a
has identified
(emphasis
added).
Before
the
district court
to
the
are seventy
forced
90F
unlawful
with
an
argued, and
with
fail an annual
employer "to
the
discharge
or privileges
4(a)
statutes.
medical examination,
that
. or
it is
otherwise
respect to his
of employment because
623(a)(1).
on
ADEA providing
individual with
both
4(a) of
complying
to retire if they
for
of
years of age or
conflicts
EEOC
impossibility
Specifically, the
the
. .
of such
The
finding
district
that in
court
ADEA cases,
rejected
the
Congress must
EEOC's
argument,
expressly state
an
-88
intention in order
court
determined
the
between local
sovereignty.
recent Supreme
changed
and
the
federal
decision
standards for
resolving
government, deferring
to
effort to
Court has
that
manifest
if it
Congress should
make
preempt the
its
intention clear
and
historic powers
of the
Under
this
intends to
the court,
in
"in an
indicated
According to
Court
The
as
90F: "[I]t
appears ambiguous,
and even
by a
state
government which
requires annual
medical
at 2399.
narrow
made
and limited
by the
Supreme
the
district
court.
broad and
In
sweeping interpretation
Gregory, the
_______
United
States
-99
judges.2
Mo.
Const. art. V,
26.
The relevant
clause of the
ADEA provided:
630(f).
Due to
Missouri, it was
the method of
selection of
state
were employees
630(f).
to be protected by
the ADEA.
____________________
2Three years before the Supreme Court decided Gregory, the
_______
First Circuit adjudicated precisely the same issue. EEOC v.
_______
Massachusetts, 858 F.2d 52 (1st Cir. 1988). In that case,
_____________
the court had to determine the effect of the 1987 amendments
to the ADEA on a provision of the Massachusetts Constitution
which made age 70 the mandatory retirement age for all state
judges. The court affirmed the district court's
determination that the Act did not override the state
constitutional provision, finding that the state's judges
fell within the policy-making exception to employees
protected by the ADEA, 29 U.S.C.
630(f). The court even
relied on the same rationale of respect for principles of
sovereignty, as did the Court in Gregory: "Without question,
_______
the tenure of state judges is a question of exceeding
importance to each state, and a question traditionally left
to be answered by each state. Any federal encroachment on a
state's freedom of choice in this area, therefore, strikes
very close to the heart of state sovereignty." EEOC, 858
____
F.2d at 54.
-1010
construed as
It was unclear,
"policy-making level."
provisions
are
courts should
preemption.
state
sovereignty
interference
defining
ambiguous and
___
with
111
this
S.Ct.
decision
their constitutional
constitutional balance of
at
is at
where
issue,
determinations as to
2401.
of the
"Congressional
people
officers, would
federal and
officials on the
of
Missouri,
upset
the usual
state powers.
For
this
Id.
___
473
U.S. 234, 243, 105 S.Ct. 3142, 87 L.Ed.2d 171 (1985) (determining
whether
federal statute
of states
Court
ADEA did
concluded
that
the
not
preempt
the Missouri
the
district
court
the
misinterpreted
not with
care, but
-1111
the States
to determine the
important government
see also
________
Gregory,
_______
officials."
qualifications of
93 S.Ct.
3.
111 S.Ct.
F.2d 52
at
(1st Cir.
2842, 37 L.Ed.2d
their
Court
decisions which
involve
the Court in
decisions that
Gregory,
_______
deference
adjudicating "the
111 S.Ct.
2401.
The
unique nature
of state
of representative government.'"
Court
made it
a disdain for
clear that
its
preemption doctrine in
while
Gregory
_______
refused
to
find
the
state
the narrowness
of its
holding.
At
no point
did the
sovereignty.
-1212
are
that
Gregory
_______
would be
controlling
on
the federal
preemption
doctrine where there was not any ambiguity in the language of the
statute.
state
employees
Where
it is unambiguous that
an employee does
of
the exceptions, the Act states plainly and unequivocally that the
employee is included."
Id. at 2404.
___
The
court
district
erred,
not
only
in
its
applicability to the
ambiguities in
us
pause as to whether
meaning of
instant case.
4(a).
Here, there
are no
of
as
Massachusetts'
is
de
facto
ambiguous.
Such
reasoning,
In Gregory,
_______
rise to
Missouri's favor.
ambiguity which
the
Court resolved
in
the
standards
of
doctrine,
the conflict
something
the
To
congressional
recapitulate,
command,
state
"in
law
the
is
absence
of
preempted
an
if
express
that
law
conflicts
federal
physical
with
impossibility.
law
407 (1992).
when compliance
with
State
both
law
is
Massachusetts, 971 F.2d 818 (1st Cir. 1992); Pedraza v. Shell Oil
_____________
____________________
Co., 942 F.2d 48 (1st Cir. 1991). 3
___
Under
90F,
retirement boards
are required
to take
prohibits
employers
from
discrimination
to his compensation,
4(a)
against
any
terms, conditions,
For
S.Ct.
example,
1054, 75 L.Ed.2d
whether a Wyoming
in EEOC v. Wyoming,
________________
18 (1983), the
460 U.S.
226, 103
to
remain
Massachusetts
does
employed,
violated
here, Wyoming
the
argued
their employer in
ADEA.
that
Much
as
the statute
in
question did not violate the ADEA on its face because the statute
served
in assuring
the
physical preparedness
of Wyoming
game
wrote:
of its
reasonably
here Massachusetts
employees and
finds to
dismiss
be unfit.
But it
In other
still
assess
those employees
must do
so "in
the
whom it
a more
words, Massachusetts
-1515
may
is not
being asked
to
abandon
the
public policy
employees, just as
public
policy of
game wardens.
could not
to
of
determining the
fitness
Wyoming was
to abandon
determining the
Instead, pursuant
physical preparedness
to the ADEA,
just as
of its
the
of its
Wyoming
measure
the
Massachusetts
physical
preparedness
of
its
game
wardens,
of determining
the
fitness of
its
state
employees is
statutes
is
tested
and federal
being
a physical
impossibility,
statutes are
also in actual
conflict because
to
of the goals of
prevent
the
the ADEA.
arbitrary
and
destructive
-1616
discrimination
on
Criswell,
________
U.S. 400,
472
the
basis of
age.
409, 105
S.Ct.
2743, 86
L.Ed.2d 321
(1985); Trans World Air Lines v. Thurston, 469 U.S. 111, 120, 105
_________________________________
S.Ct.
613, 83
L.Ed.2d 523
(1985).
that the
The United
ADEA is of
retirement is at issue, as it
410.
In
the words
of the
States Supreme
particular force
is here.
when
Criswell, 472
________
Court, "[t]he
legislative
history of the 1978 Amendments to the ADEA makes quite clear that
the
policies and
especial force
Id.
substantive provisions
in the case of
of the Act
apply with
___
one
empirical
psychological
varies with
enacted in
fact is
repeatedly
and physiological
each individual."
large part to
emphasized:
degeneration
Id. at 409.
___
the process
caused
by
of
aging
Thus, the
ADEA was
based on
age to
significant
conception
that it
of and
use
requires
of age
as
point of
the statute
is to
special
treatment.
a criteria
Such
for decline
and
The
to abandon
-1717
Employers may
turn to age as a
convenient,
the ADEA
qualifications
eminently
of
state
90F is
employees
reasonable expression
"an Act
which
the
relating to the
was
of state
90F,
lawful
power
and
an
when enacted."
would
legislation to
be "to
balance
indulge in
of federal
proposition
relationship
that
and
the
too
late in
power to
state powers."
historic
between the
require states
judicial
No one
functions
public
of
employer and
disputes
the
regulating
the
public employees
But
Congress does
to regulate the
override the
it is also far
public employer\public
for
the defendants
solely
its interpretation
____________________
4Case law supports the application of other federal antidiscrimination statutes to state employment relationships.
See EEOC v. County of Allegheny, 705 F.2d 679, 682 (3d Cir.
___ ___________________________
1983); Rosenfeld v. Southern Pacific Co., 444 F.2d 1219,
_________________________________
1225 (9th Cir. 1971).
-1818
of
reach
appellees,
the other
defenses made
however, reassert
by
those
the Commonwealth.
defenses on
The
appeal and
we
III.
Appellees
argue
that, even
90F is still
if the
annual medical
to conflict with
4(a)
of the
prohibitory provisions of
4(f)(1) and
4(f)(2) of
the ADEA.
A.
occupational
operation
qualification
of
the
. . where age
reasonably
particular
necessary
business,
is a bona
to
the
or where the
______________
age.
They argue
that in
interpreting
90F,
our focus
of
continuing
requirement
employment,
itself.
but
Employees
rather,
on
the
over
seventy
examination
will
not
be
Water & Power v. Manhart, 435 U.S. 702, 98 S.Ct. 1370, 55 L.Ed.2d
________________________
657
argument.
Manhart
_______
involved
policy
of
the
Los
Angeles
a group.
A class made up
of
Plaintiffs
constituted
claimed
that
the
contribution
sex.
differential
The Department
answered that sex was not the factor on which the distinction was
being
drawn;
contention,
required
it
was
longevity.
Court
rejected
But the
this
would not be
The
The Court
true
the
characteristics
that
differentiate
the
average
class
-2020
representatives.
where
Id. at 708.
___
characteristics
may
Title
VII requires
the
Department's
specific
argument
that
In response
the
different
contributions exacted from men and women were based on the factor
of longevity rather than sex, the Court wrote:
employees aged
examination is based
Supreme
here appellees
seventy
argue that
or older
on fitness rather
pass
an annual
than age.
medical
But, as
only
one.
that
any factor
And,
as in Manhart, the
_______
other than
of which age is
the employee's
age was
taken into
Thus, as in
the
account
the requirement
based on.
The reasonable
90F.
-2121
90F
age defense is
Appellees
treatment
that
Manhart
_______
gave
Manhart
_______
Both assertions
cursory
is
clear
in
are incorrect.
As an
holding
the
sex-based
justified.
Moreover,
that
differentiation in question
could not be
in
factor defense
Gregory
_______
Finally,
only
argue
the
reasonable
of the ADEA,
was
never
Title VII
initial
raised.
Pecuarias de Puerto Rico, 929 F.2d 814, 820 n.15 (1st Cir. 1991)
_________________________
("As
. . we may
look to constructions of
. . context
the
for guidance.")
12, 98 S.Ct.
Loeb v. Textron, Inc., 600 F.2d 1003, 1014, 1015 (1st Cir. 1979).
_____________________
The alternative defense in
4(f)(1) -- the
bona fide
raise.
798
F.2d 524, 528 (1st Cir. 1986), the First Circuit adopted the two-
-2222
by the United
in
an employer
must first
establish that
the job
qualifications which the employer invokes to justify
his discrimination are "'reasonably necessary to the
____________________
that
the
city
had
successfully established
reliance on
472 U.S. at
age as the
Court
reasonable
ordinance related
to
Here, the
to all.
permissible
4(f)(1),
however,
the
age-based
the
turn to
appellees'
argument that
90F
fits
in relevant part:
order
employment plan
4(f)(2),
to
be
exempt pursuant
must be a bona
the employer's
to
actions must
be in
4(f)(2),
an
covered by
observance
of the
plan, and the plan must not be a subterfuge to evade the purposes
of
the ADEA.
Svcs. Int'l, 968 F.2d 549 (5th Cir. 1992); EEOC v. Orange County,
___________
_____________________
837 F.2d 420, 421 (9th
Cir. 1988).
90F
facially violates the qualification that the plan may not require
or
permit involuntary
Court
in Betts
_____
qualify
concluded that
for the
discriminating
relationship.
retirement.
The
United States
Supreme
in order
for a benefit
plan to
4(f)(2) exemption, it
in
the
"nonfringe" aspects
4(a)(1) and
4(f)(2) could
of
the
employment
both be
given effect
only if
-2424
4(f)(2)
exempts bona
fide
discriminating in other
plans
but
benefit
not
925 F.2d
its use of
employee
are
that
plan'
exclusive.").
Although
resolution of
this issue,
and
the
Court
it held:
of
see also
________
619, 623
(3d Cir.
benefit' are
remanded
"As
method
Id.;
___
a result
the
mutually
case
of the
for
1978
amendments,
on account
at 166 n.2.
remand
from
the
Supreme
the context
Similarly, in
F.2d 1380,
Court,
1381
(6th Cir.
determining
1990) (on
plan
required
4(f)(2) exemption.
them
benefits," but
Section
by the
statute.
90F clearly
It
regulates not
"fringe
forces retirement
-2525
in precisely
the manner
the scope
of the exemption.5
IV.
In conclusion, we hold that
is
with
4(a)
comply
of the
with
the
discriminate against
to compensation,
because it stands
ADEA.
ADEA
Specifically,
prohibition
in direct conflict
Massachusetts cannot
that
no
employer
of employment,
90F.
We also hold
that
of the two
4(f)(1) or
exemptions provided in
Under
4(f)(1),
of age
ADEA.
we cannot
90F
either
4(f)(2) of the
based on
4(f)(2),
any reasonable
factor other
fide employee
may
than age.
90F
Under
a plan to
____________________
5As is argued in the amicus brief, "Since
90F permits . .
_______
. only those employees age seventy and older who pass the
annual examination to continue employment, the only
conclusion to be drawn is that those who do not pass the
examination are not permitted to continue employment."
___
-2626
qualify
requires
mandatory retirement.
the
district
Massachusetts
court
Mandatory
is,
of
90F.
foregoing reasons, we will
granting
summary
for entry of
retirement
judgment
we will remand
summary judgment
in favor
in
favor
of
to the district
of EEOC
and for
-2727