Lowrey v. Texas a & M University System , 117 F.3d 242 ( 1997 )

REVISED
IN THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
_______________
No. 96-20157
_______________
JAN LOWREY,
Plaintiff-Appellant,
VERSUS
TEXAS A & M UNIVERSITY SYSTEM, d/b/a TARLETON STATE UNIVERSITY,
DENNIS McCABE, LONN REISMAN, LAMAR JOHANSON, JIM JOHNSON,
PAT STEVENSON, and SUSAN BURTON,
Defendants-Appellees.
_________________________
Appeal from the United States District Court
for the Southern District of Texas
_________________________
July 7, 1997
Before POLITZ, Chief Judge, SMITH and DUHÉ, Circuit Judges.
JERRY E. SMITH, Circuit Judge:
Jan Lowrey appeals the denial of leave to amend her complaint
and the dismissal, pursuant to FED. R. CIV. P. 12(b)(6), of her
cause of action under title IX of the Education Amendments of 1972,
20 U.S.C. § 1681 et seq. We dismiss the appeal in part, affirm in
part, reverse in part, and remand.
I.
Lowrey was employed by Tarleton State University in 1977 as
the head Women’s Basketball Coach and an instructor in the Physical
Education Department. In 1992, she was named Women’s Athletic
Coordinator. In 1993, she applied for the position of Athletic
Director but was not selected. In 1994, she was removed from her
position as Women’s Athletic Coordinator, although she continues to
serve as the Women’s Basketball Coach.
Lowrey brought suit against the university and its named
individual officials (hereinafter collectively “Tarleton”) under
title IX, alleging that Tarleton was guilty of employment
discrimination on the basis of sex and misallocation of resources
among male and female athletes. Moreover, Lowrey alleged that, as
a consequence of her participation in complaints and investigations
challenging this noncompliance, Tarleton retaliated against her by
denying her promotion to the post of Athletic Coordinator, removing
her from the position of Women’s Athletic Coordinator, and
subjecting her and her team to continuing retaliation and
harassment.1
1
Specifically, Lowrey alleged that she had protested the perceived
inequities in the terms and conditions of her employment and the misallocation
of resources throughout her career at Tarleton. In addition, in 1993 she served
(continued...)
2
Lowrey filed her original complaint on September 1, 1995,
alleging claims for employment discrimination and retaliation under
title IX and joining a state law claim for intentional infliction
of emotional distress. On October 3, 1995, this court decided
Lakoski v. James, 66 F.3d 751 (5th Cir. 1995), cert. denied,
117 S. Ct. 357 (1996), concluding that title IX does not provide a
private right of action for employment discrimination on the basis
of sex in federally-funded educational institutions. On Octo-
ber 12, 1995, Tarleton filed a motion to dismiss the complaint
under FED. R. CIV. P. 12(b)(6), relying exclusively on Lakoski.
Lowrey responded by moving for leave to amend her complaint in
order to add causes of action under title VII of the Civil Rights
Act of 1964, the First, Fifth, and Fourteenth Amendments, the Equal
Pay Act, and 42 U.S.C. § 1983. Tarleton answered, expressly
conceding that it did not oppose Lowrey's motion to add additional
causes of action, but renewing its motion to dismiss the title IX
claims. Without ruling on the motion for leave to amend, the
district court dismissed the complaint in its entirety, entering
final judgment for Tarleton.
Lowrey now urges us to hold that the district court abused its
(...continued)
on a Gender Equity Task Force that allegedly had identified violations of
title VII and title IX in the Tarleton athletic department. After this report
was submitted to the athletic department, she charged, Tarleton denied her
promotion to the post of Athletic Director and removed her from the position of
Women’s Athletic Coordinator. Finally, Lowrey alleged that the discrimination
and retaliation of which she complains escalated after she participated in a
civil rights complaint filed with the U.S. Department of Education.
3
discretion in denying her leave to amend, that title IX provides a
private right of action for retaliation, and that title VII does
not provide the exclusive remedy for claims of employment
discrimination on the basis of sex in federally-funded educational
institutions.
4
II.
A.
We review a denial of leave to amend a complaint for abuse of
discretion. Patterson v. P.H.P. Healthcare Corp., 90 F.3d 927, 934
(5th Cir. 1996), cert. denied, 117 S. Ct. 767 (1997); Halbert v.
City of Sherman, 33 F.3d 526, 529 (5th Cir. 1994). The discretion
of the district court is limited, however, by FED. R. CIV. P. 15(a),
which provides that “leave shall be freely given when justice so
requires.” Rule 15(a) expresses a strong presumption in favor of
liberal pleading:
Rule 15(a) declares that leave to amend “shall be
freely given when justice so requires”; this mandate is
to be heeded. If the underlying facts or circumstances
relied upon by a plaintiff may be a proper subject of
relief, he ought to be afforded an opportunity to test
his claim on the merits. In the absence of any apparent
or declared reasonSSsuch as undue delay, bad faith or
dilatory motive on the part of the movant, repeated
failure to cure deficiencies by amendments previously
allowed, undue prejudice to the opposing party by virtue
of allowance of the amendment, futility of amendment,
etc.SSthe leave sought should, as the rules require, be
“freely given.”
Foman v. Davis, 371 U.S. 178, 182 (1962).
B.
Lowrey filed her motion to amend on November 13, 1995,
attaching as an exhibit thereto her proposed First Amended Original
Complaint. Nevertheless, the district court dismissed the entire
complaint on December 4, 1995, without ruling on the motion.
5
Lowrey argues that this constructive denial of her motion to amend
constituted a per se abuse of discretion. Her objection is well
taken.
The Supreme Court has explicitly disapproved of denying leave
to amend without adequate justification:
Of course the grant or denial of the opportunity to amend
is within the discretion of the District Court, but
outright refusal to grant the leave without any
justifying reason appearing for the denial is not an
exercise of discretion; it is merely abuse of that
discretion and inconsistent with the spirit of the
Federal Rules.
Foman, 371 U.S. at 182. Caselaw from this circuit is in accord.
See Rolf v. City of San Antonio, 77 F.3d 823, 828 (5th Cir. 1996);
Halbert v. City of Sherman, 33 F.3d 526, 529-30 (5th Cir. 1994);
Conti v. Sanko S.S. Co., 912 F.2d 816, 818-19 (5th Cir. 1990).
“Given the policy of liberality behind Rule 15(a), it is apparent
that when a motion to amend is not even considered, much less not
granted, an abuse of discretion has occurred.” Marks v. Shell Oil
Co., 830 F.2d 68, 69 (6th Cir. 1987).
Furthermore, the touchstone of the inquiry under rule 15(a) is
whether the proposed amendment would unfairly prejudice the defense
by denying the defendants notice of the nature of the complaint.
See, e.g., Engstrom v. First Nat’l Bank, 47 F.3d 1459, 1464 (5th
Cir.), cert. denied, 116 S. Ct. 75 (1995); Conti, 912 F.2d at 818.
Tarleton expressly informed the district court that it did not
object to Lowrey’s proposed amendments to the complaint.
6
Therefore, there was no justification for denial of leave to a-
mend.2
C.
In March 1996, Lowrey refiled her lawsuit, alleging causes of
action under title VII, the Equal Pay Act, the First, Fifth, and
Fourteenth Amendments, and § 1983.3 Consequently, the only claims
at issue in the instant appeal that are not likewise pending in the
subsequent lawsuit are the title IX claims for employment
discrimination and retaliation. Because the title IX claims were
raised in the original complaint, however, the erroneous denial of
leave to amend did not divest the district court of jurisdiction
over these claims, which thus are properly before us on appeal.
Because the remaining claims are pending in the subsequent lawsuit,
Lowrey will suffer no prejudice from our refusal to consider her
2
In this regard, it is noteworthy that rule 15(a) authorizes amended
pleadings “only by leave of court or by written consent of the adverse party.”
Insofar as Tarleton consented to the proposed amendments, therefore, the district
court disregarded the express terms of the rule by denying the motion to amend.
Moreover, the proposed amendment merely stated alternative legal theories
for recovery on the same underlying facts, rather than fundamentally altering the
nature of the case. Cf. Patterson, 90 F.3d at 934 (holding that defendants were not
prejudiced by amendments to an employment discrimination claim, because the original
claim gave notice of the nature of the case); Little v. Liquid Air Corp., 952 F.2d
841, 846 (5th Cir. 1992) (affirming order denying leave to amend where the amended
complaint would have “established an entirely new factual basis for the plaintiffs’
claims” and thus “radically altered the nature of trial on the merits”), reinstated
in relevant part, 37 F.3d 1069, 1073 & n.8 (5th Cir. 1994) (en banc).
3
See Lowrey v. Texas A & M Univ. Sys., No. H96-0834 (S.D. Tex. filed
Mar. 12, 1996). Although the pleadings in this subsequent lawsuit are not part
of the record on appeal in the instant case, we may take judicial notice of
pending judicial proceedings.
7
amended complaint now.
Insofar as Lowrey has successfully refiled the same causes of
action that she sought to allege in her proposed amended complaint,
she has suffered no prejudice from the judgment. Therefore,
although the district court abused its discretion in denying leave
to amend, this error is rendered moot by the subsequent lawsuit.4
III.
Lowrey urges us to overrule Lakoski and create a private right
of action for employment discrimination under title IX.
Alternatively, she argues that the Lakoski court did not consider
whether title IX affords a private right of action for retaliation.
A.
The district court dismissed the entire complaint, pursuant to
rule 12(b)(6), exclusively on the ground that Lakoski precludes a
private right of action under title IX. We review the dismissal of
a complaint under rule 12(b)(6) de novo. Blackburn v. Marshall,
4
Our conclusion necessarily assumes that all claims in the pending lawsuit
are timely filed and procedurally correct and that the case is in a posture for
adjudication on the merits. Obviously, if Lowrey cannot have her day in court,
the denial of leave to amend is not moot.
At oral argument, we requested that Tarleton advise us whether it would
waive any affirmative defenses, such as the statute of limitations or res
judicata, to the subsequent lawsuit. The Office of the Attorney General has
provided such assurances to this court. Therefore, in order to ensure that our
decision does not inadvertently close the doors of the courthouse, Tarleton is
judicially estopped from raising any affirmative defenses to the second lawsuit
that could not have been raised in the instant case, had the district court
properly granted leave to file the amended complaint.
8
42 F.3d 925, 931 (5th Cir. 1995).
A motion to dismiss under rule 12(b)(6) “is viewed with
disfavor and is rarely granted.” Kaiser Aluminum & Chem. Sales v.
Avondale Shipyards, 677 F.2d 1045, 1050 (5th Cir. 1982). The
complaint must be liberally construed in favor of the plaintiff,
and all facts pleaded in the complaint must be taken as true.
Campbell v. Wells Fargo Bank, 781 F.2d 440, 442 (5th Cir. 1986).
The district court may not dismiss a complaint under rule 12(b)(6)
“unless it appears beyond doubt that the plaintiff can prove no set
of facts in support of his claim which would entitle him to
relief.” Conley v. Gibson, 355 U.S. 41, 45-46 (1957); Blackburn,
42 F.3d at 931. This strict standard of review under rule 12(b)(6)
has been summarized as follows: “The question therefore is whether
in the light most favorable to the plaintiff and with every doubt
resolved in his behalf, the complaint states any valid claim for
relief.” 5 CHARLES A. WRIGHT & ARTHUR R. MILLER, FEDERAL PRACTICE AND
PROCEDURE § 1357, at 601 (1969).
B.
In Lakoski, we held that title VII provides the exclusive
remedy for individuals alleging employment discrimination on the
basis of sex in federally funded educational institutions.
Lakoski, 66 F.3d at 753. Lowrey urges us to reconsider Lakoski.
This we cannot do, as one panel of this court cannot overrule the
9
decision of another panel; such panel decisions may be overruled
only by a subsequent decision of the Supreme Court or by the Fifth
Circuit sitting en banc. See FDIC v. Dawson, 4 F.3d 1303, 1307
(5th Cir. 1993); Burlington N.R.R. v. Brotherhood of Maintenance of
Way Employees, 961 F.2d 86, 89 (5th Cir. 1992); Pruitt v. Levi
Strauss & Co., 932 F.2d 458, 465 (5th Cir. 1991) (citing cases).
Therefore, even if we were inclined to disagree with Lakoski, we
would deny Lowrey’s invitation to reconsider Lakoski, which is the
settled law of this circuit. Title IX does not afford a private
right of action for employment discrimination on the basis of sex
in federally funded educational institutions.
C.
In addition to her allegations of employment discrimination,
Lowrey charged that Tarleton had systematically misallocated
resources among male and female athletes in violation of title IX.
She alleged that, as a consequence of her participation in the
Gender Equity Task Force (which identified alleged violations of
titles IX and title VII), her constant objection to such
discriminatory practices, and her participation in a civil rights
complaint filed with the Department of Education, Tarleton has
retaliated against her, inter alia, by denying her a promotion to
the position of Athletic Director and by terminating her position
as Women’s Athletic Coordinator.
10
Consequently, Lowrey attempted to state a claim for
retaliation under title IX. The district court dismissed this
retaliation claim pursuant to rule 12(b)(6), however, holding that
Lakoski precludes a private cause of action for retaliation under
title IX. On appeal, Lowrey argues that this cause of action for
retaliation arises exclusively under the provisions of title IX,
not title VII, and thus is not preempted by title VII under the
specific holding of Lakoski. We agree.
11
1.
The relationship between title VII and title IX is complex,
and never more so than in the instant case. In order to determine
whether title IX affords Lowrey a cause of action for retaliation,
we must first “strip away” any allegations that would support a
private cause of action for retaliation under title VII. To do so,
we must distinguish between retaliation suffered by Lowrey as a
consequence of her participation in complaints and investigations
challenging alleged employment discrimination by Tarleton and
retaliation suffered as a consequence of her participation in
complaints and investigations challenging alleged violations of
title IX. Insofar as the former allegations form the basis of this
retaliation claim, Lowrey’s cause of action is barred under the
analysis employed in Lakoski.
Because we have previously held that title VII provides the
exclusive remedy for allegations of employment discrimination in
federally funded educational institutions, Lakoski, 66 F.3d at 753,
it necessarily follows that the anti-retaliation provisions of
title VII likewise provide the exclusive remedy for retaliation
against employees of such federally funded educational institutions
who raise allegations of employment discrimination.5 We will not
5
Title VII provides that it shall be an unlawful employment practice for
any employer to retaliate against an employee or an applicant for employment
“because he has opposed any practice made an unlawful employment practice by this
subchapter, or because he has made a charge, testified, assisted, or participated
in any manner in an investigation, proceeding, or hearing under this subchapter.”
(continued...)
12
compromise the integrity of the comprehensive remedial scheme
enacted by Congress to redress claims of employment discrimination,
nor will we undermine the specific protections against retaliation
that accompany that scheme. See 42 U.S.C. § 2000e-3(a).
Therefore, insofar as Lowrey stated an employment
discrimination claim against Tarleton, she likewise stated a
retaliation claim arising under title VII. Because this
retaliation claim is cognizable under title VII, the rule of
Lakoski preemption applies, and title IX affords no private right
of action to the employees of federally funded educational
institutions who suffer retaliation as a consequence of allegations
of employment discrimination.
In order to state a claim for retaliation under title IX,
therefore, Lowrey is obliged to rely exclusively on her allegations
charging Tarleton with violations of title IX, not title VII.
Therefore, we must determine whether Lakoski likewise precludes a
claim for retaliation, arising under title IX, that is based
exclusively on allegations of noncompliance with the substantive
provisions of title IX.
2.
For purposes of the present inquiry, we assume arguendo that
(...continued)
42 U.S.C. § 2000e-3(a).
13
Tarleton systematically violated title IX by misallocating
resources among male and female athletes, that Lowrey objected to
these continuing violations of title IX, and that Tarleton
discriminated against Lowrey in retaliation for her opposition to
such noncompliance with title IX. Taking all these facts as true,
as we are obliged to do for purposes of rule 12(b)(6), we must
determine whether the preemption doctrine of Lakoski precludes a
private right of action for retaliation under title IX.
We conclude that the preemption rule of Lakoski is inapposite.
Whereas Lakoski held that title VII preempts a private right of
action for employment discrimination under title IX, to protect the
integrity of the title VII administrative exhaustion requirement,
the court did not consider whether title IX creates a private right
of action for retaliation against an employee who complains about
noncompliance with the substantive provisions of title IX. Indeed,
the holding of Lakoski was expressly limited to the context of
employment discrimination, not retaliation:
Given this compelling evidence that Title IX
prohibits the same employment practices proscribed by
Title VII, we hold that individuals seeking money damages
for employment discrimination on the basis of sex in
federally funded educational institutions may not assert
Title IX either directly or derivatively through § 1983.
Lakoski, 66 F.3d at 758 (emphasis added).6
6
By “employment discrimination,” of course, the Lakoski court meant
discrimination on the basis of sex. While retaliation is technically a form of
employment discrimination, it is not independently prohibited by the proscription
(continued...)
14
This is no mere semantic distinction. The preemption rule of
Lakoski is predicated on the assumption that title VII affords a
private right of action for claims of employment discrimination on
the basis of sex in federally funded educational institutions,
rendering a private right of action under title IX duplicative.
See Lakoski, 66 F.3d at 755. Indeed, the Lakoski court concluded
that the prohibition against employment discrimination in title VII
is identical to the proscription of sex discrimination in title IX,
thereby guaranteeing that the title VII enforcement procedures will
fully vindicate the rights created under title IX. Id. at 756-57.7
In contrast, the anti-retaliation provisions of titles VII
and IX are not identical, and title VII provides no remedy for
retaliation against individuals who raise charges of noncompliance
with the substantive provisions of title IX. Title VII prohibits
retaliation only against individuals who oppose discriminatory
employment practices or participate in complaints or investigations
of employment practices prohibited by title VII. See 42 U.S.C.
§ 2000e-3(a).
(...continued)
against discrimination on the basis of sex in federally-funded educational
institutions, which is the heart of title IX. Rather, the prohibition against
retaliation is intended to vindicate the antidiscrimination principle of
title IX.
7
Thus, the Lakoski court cited Irby v. Sullivan, 737 F.2d 1418 (5th Cir.
1984), in which we held that title VII is the exclusive remedy for violations of
rights created by title VII. Lakoski, 66 F.3d at 755. The preemption doctrine
of Lakoski is appropriate, therefore, only in the context of claims that arise
independently under title VII.
15
By its plain language, therefore, title VII does not prohibit
retaliation against complainants who challenge the misallocation of
resources in violation of title IX, as such complaints are wholly
unrelated to the discriminatory employment practices proscribed by
title VII. Unlike the plaintiff in Lakoski, therefore, Lowrey
cannot obtain relief under title VII. Accordingly, Lakoski is
inapposite.
The Lakoski court narrowly tailored its holding to individuals
seeking money damages under title IX “for employment practices for
which Title VII provides a remedy.” Lakoski, 66 F.3d at 752.
Title VII provides no remedy, however, to employees of federally
funded educational institutions who have suffered retaliation as a
consequence of their opposition to noncompliance with title IX.
Consequently, Lowrey asserts a cause of action for retaliation that
arises exclusively under title IX, without a corollary right under
title VII.
Under such circumstances, title VII does not preempt title IX.
Although the district court erred in holding that Lakoski preempted
a private right of action for retaliation under title IX, however,
this conclusion does not end our inquiry.
D.
Having decided that Lowrey’s cause of action for retaliation
is not precluded by Lakoski, we must reach the underlying question
16
whether title IX affords a private right of action for retaliation
against the employees of federally funded educational institutions.
We conclude that it does.
Title IX does not explicitly create private rights of action
for the victims of discrimination in federally funded educational
institutions. Indeed, the sole remedial measure provided by the
express terms of the statute is the termination of federal funding.
See 20 U.S.C. § 1982; 34 C.F.R. § 106.71; see also Lakoski, 66 F.3d
at 754-55 (noting the limited remedies available under title IX).
Therefore, the plain language of the statute creates no private
right of action for retaliation. Nevertheless, the Supreme Court
has found implied private rights of action under title IX in
certain circumstances.8
Lowrey urges this court to imply a private right of action
from administrative regulations promulgated by the Department of
Education for the purpose of implementing and enforcing title IX.
See 34 C.F.R. § 106.1. These regulations prohibit, inter alia,
retaliation against any individual who has made a complaint,
testified, or participated in any manner in an investigation into
alleged noncompliance with title IX. See 34 C.F.R. § 100.7(e).9
8
See Franklin v. Gwinnett County Pub. Schs., 503 U.S. 60, 63 (1992);
Cannon v. University of Chicago, 441 U.S. 677, 709 (1979).
9
Title IX incorporates by reference the anti-retaliation provisions of
title VI, 42 U.S.C. § 2000d, which prohibits unlawful discrimination in programs
receiving federal assistance. See 34 C.F.R. § 106.71 (incorporating by reference
the procedural provisions of title VI); 34 C.F.R. § 100.7(e) (prohibiting
(continued...)
17
Just as the Supreme Court has recognized an implied right of action
to vindicate the provisions of title IX, Lowrey argues, this court
likewise should recognize an implied private right of action to
vindicate the anti-retaliation provisions of 34 C.F.R. § 100.7(e).10
In Cort v. Ash, 422 U.S. 66 (1975), the Court articulated a
test to determine whether a federal statute implies a private right
of action. It is axiomatic that a plaintiff must satisfy four
prerequisites to qualify for such an implied right of action:
(1) Is this plaintiff a member of the class for whose
“especial” benefit the statute was enacted? In
other words, does the statute create a federal
(...continued)
retaliation by a recipient of federal funds against any individual who makes a
complaint or participates in an investigation under the relevant statute).
10
This court has recognized that a private right of action may be implied
from an administrative regulation promulgated pursuant to a federal statute.
See Gomez v. Florida State Employment Serv., 417 F.2d 569, 576 (5th Cir. 1969).
Our position is consistent with the general rule, which holds that private rights
of action may be implied from administrative regulations as well as from federal
statutes, provided the private right of action may be inferred from the enabling
statute. See JACOB A. STEIN, GLENN A. MITCHELL & BASIL J. MEZINES, ADMINISTRATIVE LAW
§ 50A.01[1] (1996).
Although we have occasionally suggested otherwise in dictum, we have never
overruled Gomez. See, e.g., Deubert v. Gulf Fed. Sav. Bank, 820 F.2d 754, 759
(5th Cir. 1987); Stewart v. Bernstein, 769 F.2d 1088, 1092 n.6 (5th Cir. 1985).
Moreover, as we have explained, a decision by one panel cannot be overruled by
a subsequent panel. Consequently, Gomez remains the law in the Fifth Circuit.
Finally, because Tarleton does not contest the proposition that a private right
of action may be implied from an administrative regulation as well as a statute,
we have no occasion to reconsider Gomez in the instant case.
Nevertheless, we recognize that a generation of Supreme Court jurisprudence
has intervened since the decision in Gomez, transforming the legal landscape.
Accordingly, the methodology governing implied rights of action may be different
when an administrative regulation, rather than a federal statute, forms the basis
of the private right of action. See, e.g., Angelastro v. Prudential-Bache Sec.,
Inc., 764 F.2d 939, 947 (3d Cir. 1985); Robertson v. Dean Witter Reynolds, Inc.,
749 F.2d 530, 534-37 (9th Cir. 1984). When the question is properly presented,
therefore, it may be appropriate to reconsider the principles governing the
implication of private rights of action from administrative regulations.
18
right for this plaintiff?
(2) Is there any evidence of legislative intent, wheth-
er explicit or implicit, to create or deny a
private remedy?
(3) Is it consistent with the legislative scheme to
imply a private remedy?
(4) Is the cause of action one traditionally relegated
to state law so that implying a federal right of
action would be inappropriate?[11]
Louisiana Landmarks Soc'y v. City of New Orleans, 85 F.3d 1119,
1122 (5th Cir. 1996) (quoting Cort, 422 U.S. at 78). We will
analyze the instant case under the same framework.
1.
First, we must determine whether Lowrey is a member of the
special class for whose benefit 34 C.F.R. § 100.7(e) was enacted.
Cannon, 441 U.S. at 689; Cort, 422 U.S. at 78; Louisiana Landmarks,
85 F.3d at 1123. As with any question of statutory construction,
we begin our analysis with the plain language of the regulations.
See Cannon, 441 U.S. at 689; Louisiana Landmarks, 85 F.3d at 1123.
The plain language of the regulations dictates the conclusion
that Lowrey is an intended beneficiary of 34 C.F.R. § 100.7(e) and
is a member of the special class for whom the regulations were
11
Because this cause of action arises under a federal anti-discrimination
law, the implication of a private right of action under title IX would not
intrude on traditional areas of state sovereignty. Therefore, this final
requirement is not relevant to the instant case. See Cannon, 441 U.S. at 708-09.
19
enacted. First, the regulations expressly state:
Any person who believes himself or any specific
class of individuals to be subjected to discrimination
prohibited by this part may by himself or by a
representative file with the responsible Department
official or his designee a written complaint.
34 C.F.R. § 100.7(b) (emphasis added). Lowrey alleges that she
complained about the systematic misallocation of resources among
male and female athletes at Tarleton, thereby qualifying as a
complainant under the terms of the regulations.12 Furthermore, the
regulations expressly prohibit retaliation against such
complainants:
No recipient or any other person shall intimidate,
threaten, coerce, or discriminate against any individual
. . . because he has made a complaint, testified,
assisted, or participated in any manner in an
investigation, proceeding or hearing under this part.
34 C.F.R. § 100.7(e) (emphasis added). Therefore, Lowrey was fully
entitled to raise complaints and to participate in investigations
concerning the alleged violations of title IX and likewise was
entitled to the protection against retaliation afforded by
§ 100.7(e).13 Given our command to enforce the plain language of
12
Note that the regulations do not impose a standing requirement upon
complainants; indeed, they expressly disavow any requirement that the complainant
be a member of the class that suffers discrimination in violation of title IX.
See 34 C.F.R. § 100.7(b). Therefore, Lowrey was entitled to raise complaints on
behalf of the female students at Tarleton, provided she otherwise qualified under
the terms of the regulations.
13
Perhaps there is a factual question as to whether Lowrey participated
in the complaints and investigations covered by these administrative regulations,
but this is an issue of fact for the district court. For purposes of
rule 12(b)(6), the complaint must be liberally construed in favor of the
plaintiff, and all facts pleaded in the complaint must be taken as true.
(continued...)
20
the regulations, see Cannon, 441 U.S. at 689, we conclude that
Lowrey is a member of the special class for whose benefit
§ 100.7(e) was issued.
For purposes of this decision, it is important to distinguish
between a cause of action for discrimination under title IX and a
cause of action for retaliation under that title. It is axiomatic
that Lowrey cannot state a claim for discrimination on behalf of
her students. Therefore, were we asked to afford Lowrey a remedy
for the rights of her students, we would hold that she does not
have standing to assert the rights of third persons under title IX.
See, e.g., Rowinsky v. Bryan Indep. Sch. Dist., 80 F.3d 1006, 1009
n.4 (5th Cir.), cert. denied, 117 S. Ct. 165 (1996).14
That is not the issue in this case, however. Lowrey does not
assert the rights of her students to be free from discrimination;
rather, she claims that Tarleton retaliated against her personally
by demoting her from her position as Women's Athletic Coordinator
and by refusing to promote her to the post of Athletic Director.
Hence, Lowrey asserts a personal cause of action for retaliation,
(...continued)
Campbell, 781 F.2d at 442. Therefore, we must assume arguendo that Lowrey
qualifies as a complainant under the regulations.
14
See also Boucher v. Syracuse Univ., 1996 WL 328444, at *3-*4 (N.D.N.Y.
June 12, 1996) (holding that third persons do not have standing to assert
title IX claims on behalf of female athletes); Bryant v. Colgate Univ.,
1996 WL 328446, at *4-*5 (N.D.N.Y. June 11, 1996) (same); Pederson v. Louisiana
State Univ., 912 F. Supp. 892, 903-04 (M.D. La. 1996) (same); Deli v. University
of Minn., 863 F. Supp. 958, 962 (D. Minn. 1994) (suggesting that college coaches
do not have standing to assert title IX claims on behalf of female athletes).
21
premised on a personal injury, that derives from her complaints of
unlawful discrimination against the female athletes at Tarleton.
Therefore, her cause of action for retaliation is a personal claim.
She “asserts [her] own right to be free from retaliation, alleges
injuries that are personal to [her], and is the only effective
plaintiff who can bring this suit.” Maynard v. City of San Jose,
37 F.3d 1396, 1403 (9th Cir. 1994).15 Consequently, the fact that
Lowrey would not have standing to assert a discrimination claim on
behalf of her students does not deprive her of standing to assert
a personal retaliation claim under § 100.7(e).16
Furthermore, this court has endorsed a similar construction of
anti-retaliation provisions in the employment discrimination laws.
For example, we recently held that the anti-retaliation provision
of the Age Discrimination in Employment Act (“ADEA”) “permits third
parties to sue under [the ADEA] if they have engaged in the
enumerated conduct, even if the conduct was on behalf of another
15
In Maynard, the court held that although a white plaintiff generally
does not have standing under § 1983 to assert the rights of minorities who have
suffered from racial discrimination, a white plaintiff does have standing to
raise a personal claim of retaliation suffered as a consequence of opposition to
discrimination against minorities. Maynard, 37 F.3d at 1402-03.
16
Our conclusion that Lowrey may raise a retaliation claim under title IX
is consistent with the test for actionable retaliation against a public employee
in violation of the First Amendment. Public employees do not forfeit the right
to freedom of expression, and a public employee who expresses his opinion on a
matter of “public concern” is protected from retaliation by the First Amendment.
See Connick v. Myers, 461 U.S. 138, 142-47 (1983); Cabrol v. Town of Youngsville,
106 F.3d 101, 108 (5th Cir. 1997); Wallace v. Texas Tech Univ., 80 F.3d 1042,
1050 (5th Cir. 1996). Moreover, “whistleblowing” by public employees constitutes
protected speech on a matter of public concern, “within the protective bosom of
the First Amendment.” Brown v. Texas A & M Univ., 804 F.2d 327, 337 (5th Cir.
1986); accord Wallace, 80 F.3d at 1050-51.
22
employee’s claim of discrimination.” Holt v. JTM Indus., 89 F.3d
1224, 1226 n.1 (5th Cir. 1996), cert. denied, 65 U.S.L.W. 3764,
65 U.S.L.W. 3766 (U.S. May 19, 1997) (No. 96-1472) (emphasis
added).17
Likewise, we have held that one employee’s opposition to
discriminatory employment practices directed against a fellow
employee may be protected activity under the anti-retaliation
provision of title VII. See Jones v. Flagship Int’l, 793 F.2d 714,
727 (5th Cir. 1986). Because we find no principled distinction
between the anti-retaliation provision at issue in this case and
the nearly identical provisions in Holt and Jones, we conclude that
Lowrey has standing to invoke the anti-retaliation provisions of
§ 100.7(e).18
Finally, every federal court to consider this issue has held
that teachers may state claims for retaliation under title IX.19
17
In Holt, we held that the spouse of a complainant does not acquire
derivative standing to state a claim for retaliation merely by virtue of his
relationship with the plaintiff. See Holt, 89 F.3d at 1226. The court explained
that participation is the sine qua non for a retaliation claim. If the plaintiff
participated, in any manner, in a complaint or investigation on behalf of a third
person, he has standing to state a claim for retaliation. Id. at 1226-27. In
the instant case, there is no question that Lowrey satisfies this standard.
18
Indeed, we have acknowledged that the anti-retaliation provisions of
title VII and the ADEA are nearly identical, and we therefore have construed the
provisions consistently. See Holt, 89 F.3d at 1226 n.1. Likewise, the anti-
retaliation provision of title IX is similar to those of title VII and the ADEA
and should be accorded a similar interpretation. Compare 34 C.F.R. § 100.7(e)
(title IX) with 42 U.S.C. § 2000e-3(a) (title VII) and 29 U.S.C. § 623(d) (ADEA).
19
See Clemes v. Del Norte County Unified Sch. Dist., 843 F. Supp. 583, 587-90
(N.D. Cal. 1994) (holding that a teacher who complained of sex discrimination on
behalf of his students had standing to raise an individual retaliation claim under
(continued...)
23
We join these courts in concluding that title IX affords an implied
cause of action for retaliation under 34 C.F.R. § 100.7(e) and that
the employees of federally funded educational institutions are
members of the class for whose special benefit this provision was
enacted.
2.
Having determined that Lowrey is a member of the special class
for whose benefit 34 C.F.R. § 100.7(e) was promulgated, we must
consider whether there is any evidence of legislative intent to
create or deny a private remedy for retaliation under title IX.
See Louisiana Landmarks, 85 F.3d at 1122. “The central inquiry
remains whether Congress intended to create, either expressly or by
implication, a private cause of action.” Touche Ross & Co. v.
(...continued)
title IX); see also Clay v. Board of Trustees, 905 F. Supp. 1488, 1493-95 (D. Kan.
1995) (same); Nelson v. University of Maine Sys., 923 F. Supp. 275, 278-80 (D. Me.
1996) (holding that title VII principles govern retaliation claims arising under
title IX and assuming that teachers have standing to raise retaliation claims under
title IX based upon complaints raised on behalf of their students).
Furthermore, several of our sister circuits have recognized that teachers may
state a claim for retaliation under title IX, albeit in the context of claims
alleging employment discrimination in violation of both title IX and title VII.
See, e.g., Brine v. University of Iowa, 90 F.3d 271 (8th Cir. 1996); Preston v.
Virginia ex rel. New River Community College, 31 F.3d 203 (4th Cir. 1994); Willner
v. Budig, 848 F.2d 1032 (10th Cir. 1988); cf. Murray v. New York Univ. Coll. of
Dentistry, 57 F.3d 243 (2d Cir. 1995) (extending title VII retaliation law to a
cause of action raised by a student, not an employee, under title IX); Lendo v.
Garrett County Bd. of Educ., 820 F.2d 1365 (4th Cir. 1987) (assuming, without
deciding, that title IX affords a private right of action for retaliation to
employees who raise complaints about violations of title IX). Insofar as title VII
would afford an independent cause of action for retaliation in these employment
discrimination cases, they are inconsistent with Lakoski. Nevertheless, they
represent the judgment of our sister circuits that title IX does afford a private
right of action for retaliation to the employees of federally- funded educational
institutions.
24
Redington, 442 U.S. 560, 575 (1979).
Title IX contemplates an implied private right of action, see
Cannon, 441 U.S. at 694-703, that includes a claim for money
damages, see Franklin, 503 U.S. at 76. Consequently, given that
the Court previously has recognized that title IX implies a private
remedy, we reason that title IX likewise implies a private right of
action for retaliation under 34 C.F.R. § 100.7(e).20
Moreover, the Supreme Court has recognized that the employees
of federally funded educational institutions are among the intended
beneficiaries of title IX. See North Haven Bd. of Educ. v. Bell,
456 U.S. 512, 520-21 (1982).
Section 901(a)’s broad directive that “no person” may be
discriminated against on the basis of gender appears, on
its face, to include employees as well as students.
Under that provision, employees, like other “persons,”
may not be “excluded from participation in,” “denied the
benefits of,” or “subjected to discrimination under”
education programs receiving federal financial support.
20
For purposes of determining whether to imply a private right of action
from an administrative regulation, the legislative intent underlying the enabling
statute must be imputed to the regulations, in order to accord proper deference
to the rulemaking authority granted to the administrative agency by Congress.
See Angelastro v. Prudential-Bache Sec., Inc., 764 F.2d 939, 947 (3d Cir. 1985);
Robertson v. Dean Witter Reynolds, Inc., 749 F.2d 530, 536-37 (9th Cir. 1984).
Provided the regulations further the substantive purposes of the enabling act,
a private right of action may be implied from the regulations. See Angelastro,
764 F.2d at 947; Robertson, 749 F.2d at 536-37.
In the instant case, the regulations in question were promulgated pursuant
to an express grant of rulemaking authority. See 20 U.S.C. § 1682. Furthermore,
the anti-retaliation provision furthers the statutory purposes of title IX. See
Preston v. Virginia ex rel. New River Community College, 31 F.3d 203, 206 n.2
(4th Cir. 1994). Therefore, we conclude that the private right of action created
by title IX incorporates the anti-retaliation provision of 34 C.F.R. § 100.7(e).
25
Id. at 520.21 Therefore, we see no principled basis upon which to
distinguish the implied private right of action recognized in
Cannon and Franklin from the implied private right of action at
issue in the instant case, given our prior conclusion that Lowrey
has standing to state a claim for retaliation under title IX.
Accordingly, we conclude that 34 C.F.R. § 100.7(e) creates an
implied private right of action for retaliation under title IX.
3.
Finally, we must determine whether the implication of a
private right of action would undermine the legislative scheme.
Louisiana Landmarks, 85 F.3d at 1122. “[A] private remedy should
not be implied [under title IX] if it would frustrate the
underlying purpose of the legislative scheme.” Cannon, 441 U.S. at
703. It appears that the implication of a private right of action
for retaliation under title IX would undermine the legislative
scheme of neither title IX nor title VII.
It is this third prong of the test that distinguishes the
instant case from Lakoski. There, we declined to recognize an
implied private right of action for employment discrimination under
title IX, because to do so would undermine the comprehensive
remedial scheme enacted in title VII to redress employment
21
Although the Bell Court did not recognize an implied private right of
action for the employees of federally funded educational institutions, the Court
was not called upon to do so; the only issue was the validity of administrative
regulations terminating federal funding in cases of noncompliance with title IX.
26
discrimination. Lakoski, 66 F.3d at 754. The premise of
LakoskiSSlike that of other courts refusing to create remedies that
would undermine the statutory scheme of title VII22SSis that an
implied right of action for employment discrimination under title
IX would defeat the “larger federal legislative scheme designed to
protect individuals from employment discrimination on the basis of
sex.” Lakoski, 66 F.3d at 755. Therefore, in Lakoski we honored
the established doctrine governing implied private rights, by
refusing to recognize an implied private right of action under
title IX that would undermine the legislative scheme of title VII.
In contrast, as we have explained, title VII does not afford
a private remedy for retaliation against employees of federally-
funded educational institutions who complain about noncompliance
with the substantive provisions of title IX. Therefore,
implication of a private right of action for retaliation under 34
C.F.R. § 100.7(e), narrowly tailored to the claims of employees who
suffer retaliation exclusively as a consequence of complaints
alleging noncompliance with the substantive provisions of title IX,
would not defeat the legislative scheme of title VII.
To the contrary, the implication of a private right of action
for retaliation would serve the dual purposes of title IX,23
22
See, e.g., Great Am. Fed. Sav. & Loan Ass’n v. Novotny, 442 U.S. 366
(1979); Irby v. Sullivan, 737 F.2d 1418 (5th Cir. 1984).
23
The Supreme Court has recognized that title IX seeks to accomplish two
related, yet distinct objectives. “First, Congress wanted to avoid the use of
(continued...)
27
by creating an incentive for individuals to expose violations of
title IX and by protecting such whistleblowers from retaliation.
Accordingly, the implication of a private right of action for
retaliation is consistent with the statutory purposes of title IX.
Indeed, the Supreme Court has approved the implication of a private
right of action under title IX “when that remedy is necessary or at
least helpful to the accomplishment of the statutory purpose.”
Cannon, 441 U.S. at 703.
4.
In summary, we conclude that the instant case, unlike Lakoski,
satisfies all the elements for the implication of a private right
of action, as required by the Supreme Court in Cort and Cannon.
Consequently, we hold that 34 C.F.R. § 100.7(e) implies a private
right of action for retaliation, narrowly tailored to the claims of
employees who suffer unlawful retaliation solely as a consequence
of complaints alleging noncompliance with the substantive
provisions of title IX. See Cannon, 441 U.S. at 717.
(...continued)
federal resources to support discriminatory practices; second, it wanted to
provide individual citizens effective protection against those practices.”
Cannon, 441 U.S. at 704. Whereas the express provision authorizing termination
of federal funding is generally sufficient to accomplish the first objective, the
Supreme Court has recognized that an implied private right of action is required
to accomplish the second. “The award of individual relief to a private litigant
who has prosecuted her own suit is not only sensible but is also fully consistent
withSSand in some cases even necessary toSSthe orderly enforcement of the
statute.” Id. at 705-06.
28
IV.
Lowrey is entitled to have her day in court. Because she has
successfully refiled her claims under title VII, the Equal Pay Act,
and § 1983 in a subsequent lawsuit, however, the appeal from denial
of leave to amend the complaint is DISMISSED as moot.
Insofar as Lowrey stated a claim for employment discrimination
under title IX, the dismissal of this cause of action for failure
to state a claim is AFFIRMED. Title IX affords no private cause of
action for employment discrimination, and we decline to create one.
Insofar as Lowrey stated a claim for retaliation under title IX,
however, the dismissal of this cause of action for failure to state
a claim is REVERSED, and the case is REMANDED to the district court
for further proceedings consistent with this opinion.
We emphasize that our decision to recognize an implied private
right of action for retaliation under title IX does not signal a
retreat from the doctrine of Lakoski. Here we decide only that the
employees of federally funded educational institutions who raise
complaints, or participate in investigations, concerning compliance
with the substantive provisions of title IX are protected from
retaliation by 34 C.F.R. § 100.7(e) and enjoy an implied private
right of action for money damages to vindicate their rights.
The judgment is AFFIRMED in part, REVERSED in part, and
REMANDED for further proceedings consistent with this opinion. We
express absolutely no view on the ultimate merits of any of
29
Lowrey's claims.
30