Opinion ID: 382773
Heading Depth: 3
Heading Rank: 3

Heading: Other Alleged Errors in the Jury Instructions

Text: 109 Addressing Smith's remaining challenges to the instructions we find them all devoid of merit. That the instruction failed to mention that age discrimination may be direct or unintentional does not render it reversible error. In Laugesen v. Anaconda Co., 510 F.2d 307, 314 (6th Cir. 1975), the court also omitted an instruction that the employer did not have to have the specific intent to discriminate, but rather, as the court did here, when referring to the reason for the University's actions employed the term because of the plaintiff's age. Id. We think that, although language precisely relating the nature of the requisite intent was not present, the instruction managed to convey to the jury, in understandable terms, the applicable law which was that the discrimination could be either intentional or unintentional; the important consideration was whether the decision was influenced by the employee's age. ... the judge's instructions substantially charged the jury in the manner desired by plaintiff without using the specific language requested. Id. 110 Myopically focusing upon another aspect of the instruction, Smith contends that the court, by using the phrase because of age stressed to the jury that, in order to find for her, they must find that age was the sole criterion for the University's decision. It is clear, of course, that the law requires only that age be a causative or determinative factor in the decision, not the sole reason. Nevertheless, Smith misreads the jury instructions when she claims that they required a finding that age was the sole consideration. They clearly stated that: The Plaintiff is not required to prove that the refusal to reappoint or promote her was based solely on her age.... The Plaintiff is required to prove only that her age was a substantial or motivating factor in the decision not to reappoint or promote. See Loeb v. Textron, Inc., 600 F.2d at 1019. We are satisfied that the jury was correctly instructed on the point. 111 II. Should the Motions for Summary Judgment and Judgment Notwithstanding the Verdict Have Been Granted? 112 The district court denied orally Smith's motion and the University's cross-motion for partial summary judgment on the issue of age discrimination. Smith argues that the court's ruling constituted error. Pointing to the references to her age, she argues that they constitute clear proof that her age was a determinative variable in the University's decision not to extend to her an offer of reappointment or promotion. The University denied this, and explained that the decision was attributable to Smith's performance, which because of her narrow academic focus did not satisfy the needs of the Department of Religion. 113 The standards governing the review of a denial of summary judgment are identical to those guiding the original decision whether the motion should be granted. The Supreme Court stated in Poller v. Columbia Broadcasting System, Inc., 368 U.S. 464, 467, 82 S.Ct. 486, 488, 7 L.Ed.2d 458 (1962): 114 Summary judgment should be entered only when the pleadings, depositions, affidavits, and admissions filed in the case 'show that (except as to the amount of damages) there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law....' (Rule 56(c)) authorizes summary judgment 'only where the moving party is entitled to judgment as a matter of law, where it is quite clear what the truth is, ... (and where) no genuine issue remains for trial ... (for) the purpose of the rule is not to cut litigants off from their right of trial by jury if they really have issues to try.' 115 Accord Weahkee v. Perry, 587 F.2d 1256, 1265 (D.C.Cir.1978). Thus, when a court denies a party's motion for summary judgment, it does so because the moving party has failed to establish that there is no genuine issue as to any material fact and that he is entitled to a judgment as a matter of law.... Wright & Miller, Federal Practice and Procedure: Civil § 2715 at 424 (1973). In assessing the correctness of the court's denial, we must examine the record in a light most favorable to the party opposing the motion. See United States v. Diebold, Inc., 369 U.S. 654, 655, 82 S.Ct. 993, 994, 8 L.Ed.2d 176 (1962); Poller v. Columbia Broadcasting System, Inc., 368 U.S. 464, 473, 82 S.Ct. 486, 491, 7 L.Ed.2d 458 (1962); Habib v. Raytheon Co., 616 F.2d 1204, 1208 (D.C.Cir.1980); Federal Deposit Insurance Corp. v. First National Finance Co., 587 F.2d 1009, 1010-11 (9th Cir. 1978); Radobenko v. Automated Equipment Corp., 520 F.2d 540, 543 (9th Cir. 1975); Wright & Miller, Federal Practice and Procedure: Civil § 2716 at 430-32 (1973). 116 Applying those principles to the present appeal, we are unable to conclude that the court erred in its ruling. A genuine issue as to a material fact did exist. The reasons underlying the University's decision not to reappoint or to promote Smith were in dispute. While Smith directed the court's attention to references to her age, the references were not unambiguously indicative of age discrimination. The University offered alternative explanations for the references which the jury might find to be reasonable and which, the jury might conclude, negated the age discrimination claim. Moreover, in cases such as this one, in which an issue of unsatisfactory performance is involved, the credibility and testimony of witnesses are indeed determinative of the discrimination claim. See Weahkee v. Perry, 587 F.2d 1256, 1266 (D.C.Cir.1978). Summary judgment therefore was inappropriate. 117 Viewed as a whole a case went to the jury which could have been decided either way. 15 There was therefore no basis, on the merits, for Smith's motion for judgment notwithstanding the verdict. But even if there had been, it was waived and may not be pursued on appeal by the appellant-who failed to move for a directed verdict after the close of all the evidence. 16 See Martinez Moll v. Levitt & Sons of Puerto Rico, Inc., 583 F.2d 565, 568-70 (1st Cir. 1978). 5A Moore's Federal Practice P 50.08 at 50-85 to -91 (1980). The exceptions for cases where (a) there has been substantial compliance with the rule, as in Bayamon Thom McAn, Inc. v. Miranda, 409 F.2d 968, 971-72 (1st Cir. 1969), (b) where manifest injustice will otherwise occur since the verdict is wholly without legal support, Sojak v. Hudson Waterways Corp., 590 F.2d 53, 54-55 (2d Cir. 1978), (c) where the trial judge in effect excused the failure to renew the motion, Bayamon Thom McAn, Inc. v. Miranda, 409 F.2d at 971-72, and (d) where the additional evidence was brief and inconsequential, Beaumont v. Morgan, 427 F.2d 667, 670 (1st Cir. 1970), are not applicable here. See 5A Moore's Federal Practice P 50.08 at 50-88 to -91 (1980). 118 III. Were the District Court's Findings as to Smith's Title VII Claims of Discrimination on Grounds of Sex or Religion Clearly Erroneous? 119 Title VII of the Civil Rights Act protects employees from various kinds of discrimination, particularly for our present purposes discrimination on grounds of sex or of religion. 17 To prevail on a Title VII claim the employee must prove that he or she was a victim of unlawful discrimination. As we have previously discussed, in McDonnell Douglas Corp. v. Green, 411 U.S. 792, 93 S.Ct. 1817, 36 L.Ed.2d 668 (1973), the Supreme Court set forth the general order and allocation of proof in a discrimination action brought by a private individual. To reiterate: 120 The complainant in a Title VII trial must carry the initial burden under the statute of establishing a prima facie case of ... discrimination. This may be done by showing (i) that he belongs to a (protected class); (ii) that he applied and was qualified for a job for which the employer was seeking applicants; (iii) that, despite his qualifications, he was rejected; and (iv) that, after his rejection, the position remained open and the employer continued to seek applicants from persons of complainant's qualifications. 121 Id. at 802, 93 S.Ct. at 1824. Due to factual differences among individual cases, the Supreme Court has acknowledged that all of the listed specifications set out in McDonnell Douglas might not be applicable to every case. Id. at 802 n.13, 93 S.Ct. at 1824 n.13: 122 The facts necessarily will vary in Title VII cases, and the specification above of the prima facie proof required from respondent is not necessarily applicable in every respect to differing factual situations. 123 Once the prima facie case has been established, the burden shifts to the employer to articulate some legitimate, nondiscriminatory reason (for its action). Id. at 802, 93 S.Ct. at 1824. Articulation of a legitimate, nondiscriminatory reason suffices at that stage-there is no requirement that the employer prove by a preponderance of the evidence that the legitimate nondiscriminatory reason was in fact the motivating force. See, e. g., Furnco Construction Corp. v. Waters, 438 U.S. 567, 577-78, 98 S.Ct. 2943, 2949-2950, 57 L.Ed.2d 957 (1978); Board of Trustees of Keene State College v. Sweeney, 439 U.S. 24, 25, 99 S.Ct. 295, 58 L.Ed.2d 216 (1978): 124 While words such as 'articulate,' 'show,' and 'prove,' may have more or less similar meanings depending upon the context in which they are used, we think that there is a significant distinction between merely 'articulat(ing) some legitimate, nondiscriminatory reason' and 'prov(ing)' absence of discriminatory motive. By reaffirming and emphasizing the McDonnell Douglas analysis in Furnco Construction Co. v. Waters, supra, we made it clear that the former will suffice to meet the employee's prima facie case of discrimination. Because the Court of Appeals appears to have imposed a heavier burden on the employer than Furnco warrants, its judgment is vacated and the case is remanded for reconsideration in the light of Furnco, supra, 438 U.S. at 578, 98 S.Ct. at 2950. 125 If the employer makes the requisite showing, the employee must then move to the next stage and prove that the employer's articulated justification is a pretext for illegal discrimination, and the employer is permitted to adduce evidence to rebut the assertion of pretext, including proof that the legitimate nondiscriminatory reason was in fact the motivating force. McDonnell Douglas Corp. v. Green, 411 U.S. at 804-05, 93 S.Ct. at 1825-1826. While under McDonnell Douglas there obviously is a shifting of the burden of production between plaintiff and defendant, the ultimate burden of persuasion never leaves the plaintiff's shoulders. Sweeney v. Board of Trustees of Keene State College, 604 F.2d 106, 108 (1st Cir. 1979), cert. denied, 444 U.S. 1045, 100 S.Ct. 733, 62 L.Ed.2d 731 (1980). 126 Adapting the McDonnell Douglas criteria to the educational scene and to the University's decision not to reappoint or promote assistant professor Smith, 18 the district court, in identifying the standards which the trial judge, as the factfinder, was to apply, set forth the following requirements for a prima facie case: 127 (1) That the plaintiff belonged to a disadvantaged class or to a racial or religious minority; 128 (2) That the plaintiff sought and was qualified for reappointment or promotion; 129 (3) That the plaintiff was not reappointed or promoted; and 130 (4) That, in the case of reappointment, the college sought applicants to fill the position from persons of plaintiff's qualifications; or, in the case of promotion, the employer had promoted other persons possessing similar qualifications at approximately the same time. 131 Elaborating upon the elements the court first observed that women constituted a disadvantaged class. It thus made a finding on the initial issue in the plaintiff's favor. With respect to the second element, when a nonreappointment decision is involved, the plaintiff must show that her performance was of sufficient quality to merit continued employment. A showing that an employer did not express dissatisfaction with an employee's work was deemed by the trial judge to amount to sufficient proof of qualifications for reappointment. With respect to whether regarding her separate claim to promotion the plaintiff had met the second criterion, i. e. was qualified for promotion, the employee would be required to demonstrate possession of the superior qualifications which would merit the promotion. Although the element of subjectivity makes proof of the basic qualifications of the superior position more difficult, it, nevertheless, may be accomplished, for example, by comparing the qualifications of those individuals who were promoted recently. 132 Turning to the third element, it was too obvious to need elaboration. Everyone knew and proceeded on the basic understanding that Smith was not reappointed, much less promoted. 133 Directing its attention to the fourth element, the court, acknowledging the difficulty in adapting it to the faculty context, stated the modified guidelines as: 134 The essence of the fourth element in McDonnell Douglas is the requirement that the Title VII plaintiff have similar qualifications to those persons who the employer is seeking to recruit for the desired position. In cases of nonreappointment, this essence can be captured by requiring the plaintiff to show that the employer sought to fill the plaintiff's position with persons who had qualifications similar to those of the plaintiff. In cases of faculty promotion, however, this type of comparison is not usually possible because a college most often promotes a faculty member in order to recognize the teacher's accomplishments and promise and not because the college has an opening it is seeking to fill. The essential characteristic of the fourth McDonnell Douglas element can be satisfied in cases of faculty promotion by requiring the plaintiff to show that the college had promoted other faculty members with qualifications similar to those of the Title VII plaintiff to the desired faculty rank at approximately the same time. 135 Cognizant of the standard thus spelled out by the district judge, and recognizing his general analysis as appropriate, we now turn to address separately the precise determinations that Smith's nonreappointment and nonpromotion did not offend applicable law. Our review of the district court's findings is limited by the clearly erroneous standard of review. See Sweeney v. Board of Trustees of Keene State College, 604 F.2d 106, 109 (1st Cir. 1979), cert. denied, 444 U.S. 1045, 100 S.Ct. 733, 62 L.Ed.2d 731 (1980); Stewart v. General Motors Corp., 542 F.2d 445, 449 (7th Cir. 1976), cert. denied, 433 U.S. 919, 97 S.Ct. 2995, 53 L.Ed.2d 1105 (1977). A. The Nonreappointment Decision 136 With respect to the reappointment issue, the court concluded that Smith had established a prima facie case of discrimination as to her nonreappointment claim. Smith's membership in a disadvantaged class and her nonreappointment were undisputed. The evidence established that Smith was qualified for the position: she had engaged in several types of scholarly work; had presented papers and lectures; had taught courses at Duke University; had received grants to conduct scholarly research; and had been nominated for a teaching award. There was no indication in the record that the University disputed Smith's competency as a teacher in her specialized field of study. Moreover, Chairman Schutz had never expressed dissatisfaction to Smith about her performance, having in June 1974 given her a $1000 merit raise. By offering Smith's position to Diane Eck, a fellow Harvard graduate, the court found that the University had sought to fill Smith's position with a person possessing qualifications similar to Smith's thus satisfying the last element of the McDonnell Douglas prima facie case. 137 Finding that Smith had established a prima facie case, the court then focused its attention on its next task: had the University articulated a legitimate, nondiscriminatory reason for its action. The court observed that the University had advanced two reasons in its defense. It found the justifications in a letter from Schutz to Smith in which he attempted to explain to her the reasons for the Department's decision. Schutz wrote: 138 What has seemed missing both on paper and in conversation is a command of middle range materials both primary and secondary which move from the particular focus of your specialized research through the whole range of scholarly issues and interests comprising the current status of Indian religious studies in general and then beyond to the area sometimes known as Religionswissenschaft (History of religion). Your enthusiasm in these areas sometimes seems to outrun your command of the materials. 139 The court interpreted the letter to indicate first that Smith's knowledge of her scholarly discipline was deficient, and second, and most importantly, that Smith was unable to relate her specialized field of study to issues of more general importance to a department of religion.... 140 Because both of the reasons were, on their face, legitimate, nondiscriminatory reasons for not reappointing Smith, the court had next to determine whether they were merely a pretext for discrimination on the grounds of sex or religion. Although opining that the faculty members, whose scholarly expertise was in areas other than nonwestern religions, had no basis or knowledge upon which to premise their evaluation of Smith's academic deficiencies, the court characterized Chairman Schutz's assessment of Smith's competence as, at most, an honest mistake and determined that it was not a pretext for discrimination. 141 To assess the validity of the University's second justification, the court examined the backgrounds and performances of Dr. Jouett Powell and Dr. James Sanford, two professors who were reappointed during the same period that Smith's reappointment was denied. Dr. Powell, having served one term as an instructor and almost one term as an assistant professor, had more teaching experience at the University than Smith. The predominant reason for his reappointment was his excellent teaching ability and his willing participation in department projects. Acknowledging that Powell, in comparison to Smith, had undertaken little scholarly work, the court deduced from this that the University attributed less importance to publication than to other areas. 142 Perhaps more persuasive than the comparison to Powell, was the comparison of Sanford to Smith. Sanford, a Roman Catholic, was reappointed immediately prior to the commencement of Smith's evaluation. In addition Sanford, like Smith, specialized in nonwestern religions. Remarking as to the evidence of Sanford's excellent teaching ability and his valued service to the department, the most important finding by the court was that Sanford was able to  'bridge the possible gap between the very demanding technicalities of (his) specialized work and the much more general responsibilities' the members of the department share(d). That last characteristic was precisely the one in which the University contended that Smith was deficient. According this correlation much weight, the court concluded that the second justification also was not pretextual. 143 Smith contends that the court's findings were clearly erroneous. In her brief she cites numerous alleged errors committed by the court. We find it unnecessary to comment upon all of Smith's multiple objections to the court's findings. It is sufficient to state as to some of them that we have reviewed them and are not persuaded that error was committed. Those asserted errors which deserve more than summary disposal are: 144 1. Because she taught introductory courses in religion, Smith argues that the court overlooked her ability as a generalist. However, merely teaching a course, the subject matter of which is assumed to include a generalized approach to religion, is not synonymous with a master of that approach. Nothing in the record exists to indicate that the faculty members did not consider Smith's teaching assignments or that the court ignored their relevance. The faculty members who observed and evaluated her performance commented upon her inability to extend her specialized knowledge into areas of concern common to all areas of religion. 145 2. Smith also compares her academic performance and achievements with other faculty members who were reappointed or promoted. Conducting a point by point analysis, she is able to develop arguments of superiority as to particularized attributes. What she ignores by this approach, besides the inevitable element of subjectivity involved, is the Department's predominant reason for its decision: Smith was a specialist unable to transfer her knowledge to the generalized study of religion. There was no evidence to indicate that the professors to whom she sought to compare herself were deficient in that ability. Thus, Smith was unable to prove that the University's justification was mere pretext. 19 146 3. Smith also criticizes the Department's lack of written criteria and procedures to guide their decisionmaking. 20 She argues that such a deficiency encouraged sex and religious discrimination. However, from the testimony of various faculty members, it seems manifest that they were aware of the factors which were most important in their deliberations. Moreover, it is clear that they were aware that Smith had requested that she be considered both for reappointment and promotion. Despite Smith's contentions to the contrary, we find the district judge's conclusion permissible that the decisions were considered and made separately, and that the adverse decision as to promotion did not infect the reappointment determination. While more formalized procedures may have been desirable, Smith's case received extensive consideration, having warranted four faculty meetings. 21 During the faculty discussions, the members thoroughly considered its decision regarding Smith. From the remarks of the faculty participants the finding was justified that Smith's performance had not fulfilled the department's needs and expectations. Since it was a small department, with limited resources, the conclusion was sustainable that it could ill afford reappointing, much less granting tenure, to a professor who lacked the skills and knowledge appropriate to its educational plans. 22 147 Thus, we think that there was adequate evidence to support the district court's determination that a fair interpretation of the record was that the department's justifications for its decision were not a pretext for unlawful discrimination. 23 Nothing exists in the record to obliterate the Department's defense that Smith did not fulfill the need for a specialist in nonwestern religions who could transfer her knowledge to the general issues common to all religion. Nor is there any indication that the other faculty members were judged according to different standards. B. The Decision Not to Promote 148 Unlike the reappointment decision, the district court concluded, with respect to the promotion decision, that Smith had not even made out a prima facie case of discrimination. Again, the critical elements that Smith had to show were that she was qualified for promotion and that the University had promoted others with the same qualifications during approximately the same time. The court concluded that Smith had not even shown that she was qualified for promotion. 24 Tenure after one term was most unusual. Professor Peck was the only faculty member who received tenure after one term. However, unlike Smith, he had spent more than 10 years in teaching and scholarly work since receiving his doctorate degree. Thus, since their qualifications differed, a comparison of Peck and Smith was not persuasive. With regard to the promotion decision, Ruel Tyson was the only faculty member promoted during the period when the department declined to promote Smith. Again, his qualifications were more impressive. While he had not completed the requirements for his Ph.D. he had taught at the college level for over 10 years; he had completed two terms as an assistant professor at the University; had served as acting department chairman; and had published considerably more than Smith. Moreover, he had received tenure in 1972, thus, at the time of promotion, he was not a probationary appointment. 149 Comparing the qualifications of Peck and Tyson with those of Smith, we are unable to hold that the court erred in concluding that Smith was not qualified for promotion and tenure. On the other hand, we also are aware that decisions of that nature are difficult decisions for the faculty members to make. Tenure is one of the most difficult of all academic decisions. (T)enure is a privilege, an honor, a distinctive honor, which is not to be accorded to all ... professors. It is a very high recognition of merit (and) the ultimate reward for ... academic excellence. It is to be awarded in the course of search for fundamental merit. Johnson v. University of Pittsburgh, 435 F.Supp. 1328, 1353 (W.D.Pa. 1977). It is a decision which, in addition to delineating basic qualifications, involves a degree of subjectivity. 25 Furthermore, since professors are individuals and perform different roles within a department, it is difficult to compare the reasons for promoting one faculty member with the reasons for promoting or not promoting another. 150 Recognizing that such problems exist, we think it merits mention, so as to allay any doubts that Dr. Smith may harbor, that, even if we were to assume arguendo that she had established a prima facie case of discrimination in the decision not to promote and grant tenure, we still would be forced to conclude that the University had shown a sufficient nondiscriminatory reason for its decision. See generally, Cussler v. University of Maryland, 430 F.Supp. 602, 606-07 (D.Md. 1977). The same reasons which supported the University's decision not to reappoint justify its decision not promote and grant tenure. While we recognize that the decisions involve two distinct determinations, we also must be realistic and acknowledge that if a university has justified why a professor should not be reappointed, it would verge on the absurd to hold that it had not substantiated reasons why it need not take the more serious step of promoting her and granting her tenure. C. Conclusion 151 University employment cases have always created a decisional dilemma for the courts. See generally, Runyan, Employment Decision-Making in Educational Institutions, 26 Wayne L.Rev. 955 (1980). Unsure how to evaluate the requirements for appointment, reappointment and tenure, and reluctant to interfere with the subjective and scholarly judgments which are involved, the courts have refused to impose their judgment as to whether the aggrieved academician should have been awarded the desired appointment or promotion. 26 Rather, the courts review has been narrowly directed as to whether the appointment or promotion was denied because of a discriminatory reason. See Sweeney v. Board of Trustees of Keene State College, 604 F.2d 106, 112 (1st Cir. 1979), cert. denied, 444 U.S. 1045, 100 S.Ct. 733, 62 L.Ed.2d 731 (1980). (T)he law does not require, in the first instance, that employment be rational, wise, or well-considered-only that it be nondiscriminatory. Powell v. Syracuse University, 580 F.2d 1150, 1156-57 (2d Cir. 1978), cert. denied, 439 U.S. 984, 99 S.Ct. 576, 58 L.Ed.2d 656 (1978). We conclude that the district court had ample foundation for its determination that the University's decisions were not discriminatory. 152