Darrell A. PRICE; David H. Holland; Robert A. Holl;
Oswald D. Holshouser; Raymond T. Carlton; S.
Vance Elstrom; Mark E. Corwin,
Plaintiffs-Appellees,
and
Ronald M. Hayes; Randy Hagler, Plaintiffs,
v.
CITY OF CHARLOTTE, NORTH CAROLINA, Defendant-Appellant,
and
North State Law Enforcement Officers Association, Defendant.
No. 95-1263.
United States Court of Appeals,
Fourth Circuit.
Argued April 1, 1996.
Decided Sept. 3, 1996.
ARGUED: Frank Lane Williamson, Womble, Carlyle, Sandridge & 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.
Before ERVIN, NIEMEYER, and WILLIAMS, Circuit Judges.
Affirmed in part and reversed in part by published opinion. Judge WILLIAMS wrote the opinion, in which Judge ERVIN and Judge NIEMEYER joined.
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,
In this appeal, we must decide the propriety of awarding compensatory damages for Appellees' emotional distress flowing from the knowledge that the City excluded them from consideration for promotion to sergeant because of their race. Contending that Appellees would not have been promoted regardless of their race, the City contends that the district court erred in ruling that Appellees have standing to sue to recover compensatory damages. Additionally, the City posits that the evidence is insufficient to support the award of compensatory 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 roster 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 candidate--had not entered the promotions calculus, Appellees would not have been selected for promotion to sergeant.
On remand, Appellees asserted claims of emotional distress, seeking compensatory damages. The City unsuccessfully sought summary judgment respecting the emotional distress claims, contending that their roster rankings did not qualify them for promotion to police sergeant, 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 judgment, 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 compensatory damages. First, the City asserts that it is not liable for any damages 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 compensatory damages because they would not have been promoted to sergeant regardless of the unconstitutional racial criterion. According to the City, Appellees are not entitled to any damages because they suffered no compensable loss that can be satisfied by damages. A violation of equal protection is Appellees' sole injury, the City posits, and the remedy for such a violation is exclusively injunctive or declaratory relief. The City's position is that because there was only a "technical foul," Appellees are precluded from recovering damages.
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 they 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.,
We conclude that Supreme Court precedent forecloses the City's argument that Appellees are precluded from recovering any damages because they would not have been promoted regardless of the unlawful promotions scheme. In Carey v. Piphus,
While Carey concluded that damages for emotional distress are available under § 1983, the Court held that for a plaintiff to recover more than nominal damages, his injury must have actually been caused by the challenged conduct, and the injury must be sufficiently proved:
[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 distress caused by the [constitutional violation] itself is compensable 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,
In expounding on the propriety of compensatory damages, the Carey Court explained that compensatory damages for emotional distress 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 Court reiterated the teachings of Carey in Memphis Community School District v. Stachura,
The Court applied the principles of Carey and Stachura in Northeastern Florida Chapter of Associated General Contractors of America v. City of Jacksonville, Fla.,
Reversing the Eleventh Circuit, the Supreme Court concluded that the contractors possessed standing to sue. Analogizing from Regents 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 treatment resulting from the imposition of the barrier, not the ultimate inability to obtain the benefit.
Northeastern,
Rounding out the Carey-Stachura-Northeastern trilogy for recovering damages based on a § 1983 equal protection claim is Adarand Constructors, Inc. v. Pena, --- U.S. ----,
[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 compensation 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 plaintiff] standing to claim damages ..., does nothing to establish 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 standing 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 promotions, 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 sergeant, 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 ignominy as a result of the City's invidious discrimination and the consequences this discrimination visited on their lives. Some Appellees testified in the most generic of terms that they were "humiliated," "betrayed," and "deceived" by the City's invidiously discriminatory promotions 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 each Appellee $3,000 in compensatory damages for his emotional distress.
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 sustained. 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 preserve adequately this issue in its Rule 50 motions. Second, 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,
Our review of the record compels us to conclude that the City sufficiently raised and preserved the sufficiency issue for appellate review. First, in its Rule 50(a) motion at the close of Appellees' case-in-chief, the City contended "there's no legally sufficient evidentiary basis for a reasonable jury to find for the plaintiff on any of the issues brought before the court." (J.A. at 196.) Also, in arguing its Rule 50(a) motion, the City specifically reiterated that "there's really been no evidence from which a reasonable jury could conclude that they did, in fact, suffer mental and emotional distress that can be related to the constitutional violation they complained of." (J.A. at 199.) Denying the City's motion, the district court concluded that the sufficiency issue was raised: "I believe there is sufficient [evidence]--in the light most favorable to the plaintiff to go to the jury." (J.A. at 203.) We likewise conclude that the sufficiency issue was assuredly raised, given that we have reviewed sufficiency challenges under less compelling circumstances. See Singer,
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 p 50.07, at 50-76 (2d ed. 1994). The movant is entitled to judgment as 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.,
Singer,
2.
While Carey concluded that compensatory damages for emotional distress are compensable under § 1983, such damages may not be presumed from every constitutional violation, but must be proven by competent, sufficient evidence. See Carey,
Traditionally, common law courts have been reticent regarding compensatory damages for emotional distress in the absence of physical injury. See W. Page Keeton et al., Prosser & Keeton on The Law of Torts Ch. 2, § 12, at 64 (5th ed. 1984). This reticence originated from "the elementary principle that mere mental pain and anxiety are too vague for legal redress," Southern Express Co. v. Byers,
Here, as we set out infra at 1254-57, 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., Biggs,
Various courts have applied these precepts to reverse or remand compensatory damages awards. For instance, in Biggs, Biggs, who was discharged and brought a First Amendment claim against the Village of Dupo, was told that he behaved in a manner " 'unbecoming a police officer,' " and "was unworthy to represent [the defendant,] Village of Dupo," Biggs,
In Ramsey, the Seventh Circuit again addressed the issue of demonstrable evidence of injury in the context of an excessive compensatory damages award. A jury awarded Ramsey $75,000 in compensatory damages for emotional distress based on racial discrimination. Ramsey,
Similarly, in Nekolny, the Seventh Circuit reversed compensatory damages awards for emotional distress based on the plaintiffs' testimony that they were " 'very depressed,' " " 'a little despondent and [lacking] motivation,' " and " 'completely humiliated.' " Nekolny,
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,
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 Amendment 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,
Recently, in Hetzel, we expressed our reservation regarding an excessive compensatory damages award for emotional distress pursuant to Title VII and § 1983. Asserting that she was discriminated against on the basis of sex and national origin, Hetzel brought a variety of claims against her employer. Hetzel,
Amalgamating these principles, we conclude that a plaintiff's testimony, standing alone, can support an award of compensatory damages for emotional distress based on a constitutional violation; however, the testimony must establish that the plaintiff suffered demonstrable emotional distress, which must be sufficiently articulated; neither conclusory statements that the plaintiff suffered emotional distress nor the mere fact that a constitutional violation occurred supports an award of compensatory damages. In marshaling the evidence necessary to establish emotional distress resulting from a constitutional violation, Carey instructs us that "genuine injury" is necessary. Carey,
While the substance and content of testimony regarding a plaintiff's emotional distress are considered in awarding compensatory damages for emotional distress based on a constitutional violation, the federal courts examine other considerations in determining whether substantial evidence supports an award of compensatory damages for emotional distress. For instance, in affirming the remittitur of compensatory damages, the Third Circuit in Spence considered four factors: (1) the plaintiff did not lose the esteem of her peers; (2) the plaintiff suffered no physical injury as a consequence of her emotional distress; (3) the plaintiff received no psychological counseling; and (4) the plaintiff suffered no loss of income. See Spence,
In this appeal, we express the same trepidation as our sister circuits regarding conclusory testimony with respect to the sufficiency of the 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 demonstrable emotional injury; the evidence of Appellees' emotional distress consisted exclusively 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 transcript, 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 whatsoever," 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 "betrayed," "disappointed and embarrassed," explaining that he "wasn't aware that race was going to play any part" in the promotions practice. (J.A. at 124.) While testifying that he was betrayed, disappointed, 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] deceit," 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 sudden it just drops." (J.A. at 134.) He did not testify that any consequence 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 Officer 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 command." (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 promotions 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,
In reaching our conclusion, we do not hold that compensatory damages for emotional distress can never be awarded based exclusively on a plaintiff's testimony, see, e.g., Hetzel,
The compensatory damages awarded to Officers Carlton, Price, and Holland are likewise problematic because in our view, the evidence these Appellees provided tends to support the conclusion that their damages arose not from emotional distress as a consequence of invidious discrimination, but rather from the City's failure to promote them. Because none of the Appellees would have been promoted even in the absence of a violation, however, they are not entitled to damages due to the denial of promotions.
For example, Officer Carlton, whose testimony is roughly four pages in length, related his emotional distress to the fact that he was the victim of the City's quota system: Having achieved exceptional ratings, he felt that he should have been promoted to sergeant, yet was not. For instance, Officer Carlton stated that he felt "slapped ... in the face" because, according to him, he was "more qualified to be a sergeant" than some of those who were promoted to sergeant. (J.A. at 155.) Despite his supposed emotional distress, Officer Carlton testified that he continued to perform his duties just as he had prior to this litigation, explaining that he was "a professional." (J.A. at 156.)
Officer Price's testimony reveals that he was upset that black officers who scored lower on the evaluations criteria for promotion to sergeant were promoted, while he was not, simply because he was Caucasian. According to Officer Price, he "d[idn't] know what to believe. And after a while it kind of takes the wind out of anything that you're doing." (J.A. at 161.) Summarizing his testimony, Officer Price stated that the City's conduct was "a giant step backwards" because "[t]here just seems to be a problem with the fact that [the promotions practice] applies to one race and not to the other. And I take that very seriously." (J.A. at 161.)
Officer Holland's testimony establishes the same principle, and hence the same infirmity. According to Officer Holland, he was displeased by the fact that different criteria applied to different races regarding promotions, specifically asserting that he should be compensated for the time spent in preparing for the promotions exam. Explaining his emotional distress, Officer Holland stated that he "felt kind of like a patsy" because "one set of rules applied to white officers," but if "the need arose or the testing procedure didn't deliver the expected number of minority candidates, a new set of rules were imposed." (J.A. at 184.) On cross-examination, Officer Holland stated that he should be compensated for preparing for the promotions examination, thereby establishing that at least part of his damages were not based on invidious discrimination. Officers Carlton, Price, and Holland cannot separate their claims of emotional distress from their failure to receive promotions; accordingly, they cannot recover compensatory damages.
Even accepting the contention that the officers' claims of emotional 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 explanation 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 testimony describing the emotional distress he suffered. Officer Holland 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 compensatory damages awards. Again, we do not hold that a plaintiff's testimony 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 limited to injunctive or declaratory relief. Rather, they were entitled also to recover compensatory damages for demonstrable emotional distress if their injuries could be attributed to the actual constitutional violation. Appellees, however, failed to offer sufficient proof of emotional distress. Accordingly, the award of compensatory damages in favor of Appellees is reversed, and we award each Appellee one dollar in nominal damages.
AFFIRMED IN PART AND REVERSED IN PART.
Notes
None of the Appellees asserted a denial of promotion, and the City did not appeal awards of compensatory damages to plaintiffs who were denied promotions because of their race. Appellees here are police officers who would not have been promoted regardless of a racially discriminatory promotions practice
According to the Ramsey court, Dr. Wells treated Ramsey principally for a lung condition several years before the litigation and performed annual physicals for Ramsey. As far as the opinion reveals, Ramsey did not seek treatment from Dr. Wells for any afflictions stemming from the constitutional violation
