Case Information
*1 Before ERVIN, NIEMEYER, and WILLIAMS, Circuit Judges. _________________________________________________________________ *2 Affirmed in part and reversed in part by published opinion. Judge Williams wrote the opinion, in which Judge Ervin and Judge Nie- meyer joined.
_________________________________________________________________ COUNSEL
ARGUED: Frank Lane Williamson, WOMBLE, CARLYLE, SAN- DRIDGE & RICE, Charlotte, North Carolina, for Appellant. Louis L. Lesesne, Jr., LESESNE & CONNETTE, Charlotte, North Carolina, for Appellees. ON BRIEF: Jim D. Cooley, WOMBLE, CARLYLE, SANDRIDGE & RICE, Charlotte, North Carolina, for Appellant. _________________________________________________________________ OPINION
WILLIAMS, Circuit Judge:
Appellees, seven white police officers, sued Appellant, the City of
Charlotte, North Carolina, pursuant to 42 U.S.C.A.§ 1983 (West
1994), contending that promotions practices for advancement in the
Charlotte Police Department violated the Equal Protection Clause of
the Fourteenth Amendment. The district court agreed, see Hayes v.
City of Charlotte,
the district court entered judgment in Appellees' favor, denying the City of Charlotte's motions for judgment as a matter of law, see Fed. R. Civ. P. 50. In this appeal, we must decide the propriety of awarding compen- satory damages for Appellees' emotional distress flowing from the knowledge that the City excluded them from consideration for promo- tion to sergeant because of their race. Contending that Appellees would not have been promoted regardless of their race, the City con- tends that the district court erred in ruling that Appellees have stand- ing to sue to recover compensatory damages. Additionally, the City рosits that the evidence is insufficient to support the award of com- pensatory damages for Appellees' emotional distress. We conclude that Appellees have standing to sue to recover compensatory damages for emotional distress, but that the evidence is insufficient to support the verdict. Accordingly, we affirm in part and reverse in part. I.
The facts are recited in Hayes, and we need address them only briefly here. In February 1991, the City promoted twenty-one police officers from patrol officer to police sergeant. Police Chief D.R. Stone determined that four of the twenty-one promotions would be awarded exclusively to African-Americans, regardless of the ranking on the promotions roster. The first eighteen promotions were awarded based on ranking, but only one of the promoted officers was African- American. In order to meet his quota of promoting four African- Americans to police sergeant, Chief Stone disregarded qualified white applicants for the remaining three promotions and selected three African-American applicants, whose rankings on the promotions ros- ter were twenty-nine, sixty-two, and seventy-four, respectively. All seven Appellees outranked candidates sixty-two and seventy-four, as did forty-one other white applicants. A substantial number of white officers who were not promoted had rankings superior to those of any of the Appellants. Even if an invidious factor -- the race of each can- didate -- had not entered the promotions calculus, Appellees would not have been selected for promotion to sergeant.
On remand, Appellees asserted claims of emotional distress, seek- ing compensatory damages. The City unsuccessfully sought summary *4 judgment respecting the emotional distress claims, contending that their roster rankings did not qualify them for promotion to police ser- geant, and they thus were not entitled to individual relief in the form of damages. Consequently, the issue of individual relief went to trial. At trial, Appellees sought to prove their claims of emotional distress by testifying that they experienced degradation and betrayal as a result of the City's unlawfully discriminatory promotions policy. Appellees' evidence of their emotional distress consisted exclusively of their own testimony. According to Appellees, they"had played by the rules," but the City "deceived" them by not basing its promotions on grounds of competence. At the close of Appellees' case-in-chief, and again at the close of the evidence, the City moved unsuccessfully for judgment as a matter of law pursuant to Rule 50. A jury returned a verdict in favor of each Appellee for $3,000 compensatory damages. Following entry of judg- ment, the City again unsuccessfully moved for judgment as a matter of law. Thereafter, the City appealed both from the final judgment and the order denying its post-trial motion for judgment as a matter of law. On appeal, the City advances two arguments regarding compensa- tory damages. First, the City asserts that it is not liable for any dam- ages because Appellees are entitled solely to injunctive or declaratory relief. Second, the City posits that even if it is liable for compensatory damages, the evidence is insufficient to sustain the verdict. We address these arguments in turn.
II.
The City asserts first that Appellees lack standing to seek compen-
satory damages because they would not have been promоted to ser-
geant regardless of the unconstitutional racial criterion. According to
the City, Appellees are not entitled to any damages because they suf-
fered no compensable loss that can be satisfied by damages. A viola-
tion of equal protection is Appellees' sole injury, the City posits, and
the remedy for such a violation is exclusively injunctive or declara-
tory relief. The City's position is that because there was only a "tech-
nical foul," Appellees are precluded from recovering damages.
*5
Appellees contest this position, maintaining that the actual injury
they suffered was their race-based exclusion from equal consideration
for the promotion to sergeant, not the fact that they failed to obtain
a promotion. According to Appellees, their injuries derive from the
City's unconstitutional use of race to decide promotions in the police
department, not from an ultimate denial of a promotion. Appellees'
compensatory damages, therefore, are to redress the ignominy of
denial of consideration for promotion solely because thеy are white.
Concluding that Appellees had standing to seek compensatory
damages, the district court denied the City's motions for judgment as
a matter of law on this basis. We review the district court's ruling de
novo, see Trandes Corp. v. Guy Atkinson Co.,
[W]e foresee no particular difficulty in producing evidence that mental and emotional distress actually was caused by the [constitutional violation]. Distress is a personal injury familiar to the law, customarily proved by showing the nature and circumstances of the wrong and its effect on the plaintiff. In sum, then, although mental and emotional dis- tress caused by the [constitutional violation] itself is com- pensable under § 1983, we hold that neither the likelihood of such injury nor the difficulty of proving it is so great as to justify awarding compensatory damages without proof that such injury actually was caused. Id. at 263-64. Extrapolating from the common law of torts, the Carey Court thus concluded that a constitutional violation is indeed compen- sable with damages for emotional distress, declining to relegate an otherwise undamaged plaintiff to equitable remedies.
In expounding on the propriety of compensatory damages, the Carey Court explained that compensatory damages for emotional dis- tress must be attributed to the actual constitutional violation, as opposed to denial of the ultimate benefit, and must be proved by a sufficient quantum of proof demonstrating that the violation caused compensable injury. Thus, the Court observed that if the plaintiff's injury is caused by "a justified deprivation, including distress, [it] is not properly compensable under § 1983." Id. at 263. The injury, there- fore, must flow from the actual constitutional violation. A plaintiff's failure to prove compensatory damages results in nominal damages, typically one dollar, see id. at 266-67, the rationale for the award of nominal damages being that federal courts should provide some mar- ginal vindication for a constitutional violation. Carey, therefore, teaches that compensatory damages for emotional distress are avail- ablе for a constitutional violation, but must be attributed to the invidi- ous discrimination, not to the deprivation of an ultimate benefit; to recover more than nominal damages, actual injury caused by the con- stitutional violation must be proved by sufficient evidence.
The Court reiterated the teachings of Carey in Memphis Commu-
nity School District v. Stachura,
Reversing the Eleventh Circuit, the Supreme Court concluded that
the contractors possessed standing to sue. Analogizing from Regents
*8
of University of California v. Bakke,
When the government erects a barrier that makes it more difficult for members of one group to obtain a benefit than it is for members of another group, a member of the former group seeking to challenge the barrier need not allege that he would have obtained the benefit but for the barrier in order to establish standing. The "injury in fact" in an equal protection case of this variety is the denial of equal treat- ment resulting from the imposition of the barrier, not the ultimate inability to obtain the benefit.
Northeastern,
Rounding out the Carey-Stachura-Northeastern trilogy for recover-
ing damages based on a § 1983 equal protection claim is Adarand
Constructions, Inc. v. Pena,
[W]e must consider whether Adarand has standing to seek
forward-looking relief. Adarand's allegation that it has lost
a contract in the past because of a subcontractor compensa-
tion clause of course entitles it to seek damages for the loss
of that contract . . . . But as we explained [previously,] the
fact of past injury "while presumably affording[the plain-
tiff] standing to claim damages . . ., does nothing to estab-
lish a real and immediate threat that he would again" suffer
similar injury in the future.
Id. (quoting Los Angeles v. Lyons,
We applied these principles in Burt v. Abel,
Applying these precedents, we conclude that Appellees have stand- ing to recover compensatory damages, provided their injuries resulted from the constitutional violation and are sufficiently proved. Carey and its progeny demonstrate that the injury Appellees suffered is the ignominy and illegality of the City's erecting a racial bar to promo- tions, and more importantly, that this injury can be compensable by damages, not merely declaratory or injunctive relief. Similar to the plaintiffs in Bakke, Northeastern, and Adarand, Appellees were not competing on a level playing field -- the cards were unlawfully stacked against them -- and this denial of equal protection constitutes injury in fact capable of supporting compensatory damages. These precedents also hold that Appellees may be entitled to compensatory damages for emotional distress, the precise type of injuries claimed here. In accordance with these precedents, however, Appellees must establish that their injury is grounded in the denial of equal protection, not their lack of promotions. Provided, therefore, that the jury awarded Appellees damages predicated on their unconstitutional treatment, rather than the ultimate deprivation of promotion to ser- geant, Appellees can recover compensatory damages for emotional distress, the issue to which we now turn. III.
At trial, some Appellees attempted to prove their compensatory damages for emotional distress by testifying that they suffered igno- miny as a result of the City's invidious discrimination and the conse- quences this discrimination visited on their lives. Some Appellees testified in the most generic of terms that they were "humiliated," "bе- trayed," and "deceived" by the City's invidiously discriminatory pro- motions policy. In mustering the evidence of their compensatory damages, Appellees proffered only their vague, conclusory testimony, but despite the ephemeral nature of this evidence, the jury awarded *11 each Appellee $3,000 in compensatory damages for his emotional dis- tress. Challenging the amount of the award of compensatory damages with respect to each Appellee, the City posits that the evidence is insufficient as a matter of law to sustain the verdict. According to the City, the evidence completely lacks any probative quality and is entirely speculative. Given these fatal flaws, the City argues that on no principled basis can the award of compensatory damages be sus- tained. The district court erred, therefore, the City reasons, in denying its motions for judgment as a matter of law. Appellees advance two arguments respecting the sufficiency of the evidence. First, they maintain that we are procedurally barred from reviewing the sufficiency of the evidence because the City failed to raise and preservе adequately this issue in its Rule 50 motions. Sec- ond, even disregarding the procedural bar to reviewing the sufficiency of the evidence to sustain the compensatory damages, Appellees assert that the evidence is adequate to sustain their modest awards. According to Appellees, therefore, the district court properly denied the City's motions for judgment as a matter of law. We address these arguments in turn.
A.
Traditionally the City is required to have raised the reason for
which it is entitled to judgment as a matter of law in its Rule 50(a)
motion before the case is submitted to the jury and reassert that reason
in its Rule 50(b) motion after trial if the Rule 50(a) motion proves
unsuccessful. See Singer v. Dungan,
B.
1.
In reviewing a Rule 50 determination, our review is circumscribed with respect to any facts the jury found, but plenary with respect to any legal conclusions underlying the verdict:
Judgment as a matter of law is proper "when, without
weighing the credibility of the evidence, there can be but
one reasonable conclusion as to the proper judgment." 5A
James W. Moore, Moore's Federal Practice¶ 50.07[2], at
50-76 (2d ed. 1994). The movant is entitled to judgment as
*13
a matter of law "if the nonmoving party failed to make a
showing on an essential element of his case with respect to
which he had the burden of proof." Bryan v. James E.
Holmes Regional Medical Ctr.,
2.
While Carey concluded that compensatory damages for emotional
distress are compensable under § 1983, such damages may not be pre-
sumed from every constitutional violation, but must be proven by
competent, sufficient evidence. See Carey,
Here, as we set out infra at 21-26, the only evidence of Appellees'
emotional distress was their own testimony. A survey of the case law
reveals that a plaintiff's testimony, standing alone, may support a
claim of emotional distress precipitated by a constitutional violation.
See, e.g. , Biggs v. Village of Dupo,
Equally, however, the case law reveals that courts scrupulously
analyze an award of compensatory damages for a claim of emotional
distress predicated exclusively on the plaintiff's testimony. See, e.g.,
*16
Biggs,
Various courts have applied these precepts to reverse or remand
compensatory damages awards. For instance, in Biggs, Biggs, who
*17
was discharged and brought a First Amendment claim against the Vil-
lage of Dupo, was told that he behaved in a manner"`unbecoming a
police officer,'" and "was unworthy to represent [the defendant,] Vil-
lage of Dupo," Biggs,
Echoing the concerns of Biggs, Ramsey , and Nekolny, the Second
Circuit in Cohen affirmed the district court's awarding no damages
for a claim of emotional distress for a due process violation because
the only evidence consisted of the plaintiff's own testimony, which
is naturally "subjective" and subject to "vagueness." Cohen, 728 F.2d
at 162. In reaching this ruling, the Second Circuit noted that Cohen
testified respecting psychiatric consultations, but proffеred no objec-
tive evidence of his emotional distress. See id. The Cohen court's
affirmance where subjective emotional distress is unsupported by
objective evidence comports with the precept that any emotional dis-
tress be demonstrable.
Also demanding evidence of demonstrable emotional distress to
recover compensatory damages for a constitutional violation is the
Third Circuit's decision in Spence. Spence brought a First Amend-
ment claim against her employer, contending that her transfer had
been in retaliation for voicing her opinion, and a jury awarded her
$25,000 in compensatory damages. See Spence,
In this appeal, we express the same trepidation as our sister circuits regarding conclusory testimony with respect to the sufficiency of the *22 evidence supporting an award of compensatory damages based on emotional distress for a constitutional violation. We conclude that the evidence is not sufficient to support the awards and hence reverse. Here, the evidence simply fails to show any demоnstrable emotional injury; the evidence of Appellees' emotional distress consisted exclu- sively of their own conclusory statements, which did not indicate how their alleged distress manifested itself. For instance, in articulating his emotional distress in testimony that spanned only a few pages of tran- script, Officer Holl testified that he felt "betray[ed]," "[e]mbarrassed," and "[d]egraded . . . and passed over." (J.A. at 118.) Officer Holl stated, however, that he did not "change [his] procedures whatso- ever," with respect to performing his duties. (J.A. at 119.) Officer Corwin, whose pertinent testimony was approximately one and one-half pages in length, testified that he"guess[ed]" he felt "be- trayed," "disappointed and embarrassed," explaining that he "wasn't aware that race was going to play any part" in the promotions prac- tice. (J.A. at 124.) While testifying that he was betrayed, disap- pointed, and embarrassed, Officer Corwin also testified that he "tried not to let it affect me at all." (J.A. at 124.) Moreover, on cross- examination, Officer Corwin testified that he did not know his rank on the promotions roster.
In a like vein, Officer Elstrom testified that he felt "devastated" by the City's "perpetrat[ing its] decеit," explaining that he felt "used as a pawn," and "betrayed, lied to, used." (J.A. at 131, 134.) According to Officer Elstrom, he simply was unsure whether he had faith in his superiors in the police department because they told him there was no invidious discrimination regarding promotions, when, in fact, there was. Summarizing his claim, Officer Elstrom stated that his "self- esteem went from rather high. My confidence was up and all of a sud- den it just drops." (J.A. at 134.) He did not testify that any conse- quence resulted from his drop in self-esteem.
Officer Holshouser stated that he had "been lied to [and] . . . deceived. [He felt] like a lot of [his] time, a lot of [his] personal time, personal stress, personal stress on [his] family" was a consequence of the City's unconstitutional conduct. (J.A. at 175.) According to Offi- cer Holshouser, he "lost all respect for Chief Stone" and "for a lot of people in the department that were in the upper echelon of the com- *23 mand." (J.A. at 167-68.) More revealing is the fact that on cross- examination, Officer Holshouser stated that had he known that race played a role in the promotions practice, he would not have "spen[t his] own money to buy the books [for preparing for the prоmotions exam]," "spen[t his] own personal time to read the material," or "spen[t his] own personal time to participate in training that the department provided." (J.A. at 180.) These conclusory statements are the only evidence of these officers' emotional distress.
Analyzing these claims, we hold that the compensatory damages
cannot stand. Here, Officers Holl, Corwin, Elstrom, and Holshouser
never offered evidence of any need for medicine, see Hetzel, 1996
WL 386464, at *2; Ramsey,
In reaching our conclusiоn, we do not hold that compensatory dam-
ages for emotional distress can never be awarded based exclusively
on a plaintiff's testimony, see, e.g., Hetzel,
Even accepting the contention that the officers' claims of emo- tional distress are exclusively grounded in the constitutional violation, their testimony is equally vague and conclusory. The evidence of Officer Carlton's emotional distress was that he felt "slapped . . . in the face" as a result of the violation, but he offers no other explana- tion or evidence of his emotional distress. According to Officer Price, he was fearful of the police force and lost faith in it, but there is no tеstimony describing the emotional distress he suffered. Officer Hol- *26 land complained that he felt like a "patsy," but, like his colleagues' testimony, there is nothing more regarding his emotional distress. Like Officers Holl's, Corwin's, Elstrom's, and Holshouser's, Officers Carlton's, Price's, and Holland's testimony cannot support an award of compensatory damages. Accordingly, we reverse their compensa- tory damages awards. Again, we do not hold that a plaintiff's testi- mony standing alone is insufficient as a matter of law to support an award of compensatory damages, but in this case, the testimony was not sufficient to do so. Like their colleagues, Officers Carlton, Price, and Holland are entitled to one dollar nominal damages.
IV.
We hold that Appellees had standing to sue, and they were not lim- ited to injunctive or declaratory relief. Rather, they were entitled also to recover compensatory damages for demonstrable emotional dis- tress if their injuries could be attributed to the actual constitutional violation. Appellees, however, failed to offer sufficient proof of emo- tional distress. Accordingly, the award of compensatory damages in favor of Appellees is reversed, and we award each Appellee one dol- lar in nominal damages.
AFFIRMED IN PART AND REVERSED IN PART
