Maria ALMONTE, Mary Cammarato, Barbara Davis, and Peter Snow, Plaintiffs-Appellees,
Richard Schuh and Gregory Scott, Plaintiffs,
v.
The CITY OF LONG BEACH, Mona Goodman, James P. Hennessy, Thomas Sofield, Jr., individually and as members of the Council of the City of Long Beach and Glen Spiritis, as Manager of the City of Long Beach, Defendants-Appellants,
Denis G. Kelly and Leonard Remo, Defendants.
Docket No. 06-2010-cv.
United States Court of Appeals, Second Circuit.
Argued: January 18, 2007.
Decided: February 14, 2007.
Louis D. Stober, Jr., Law Offices of Louis D. Stober, Jr., LLC (Heather H. Patton, on the brief), Garden City, NY, for Plaintiffs-Appellees.
Ronald J. Rosenberg, Rosenberg Calica & Birney LLP (Edward M. Ross, John S. Ciulla, of counsel), Garden City, NY, for Defendants-Appellants.
Before LEVAL and STRAUB, Circuit Judges, and UNDERHILL, District Judge.*
STRAUB, Circuit Judge:
This interlocutory appeal arises from a wrongful termination action brought by several former employees of the City of Long Beach ("City") against the City, the City Manager, and the Republican members of the City Council ("Council members"), both in their individual capacities and in their official capacities as Council members. Plaintiffs-appellees (hereinafter, "Plaintiffs") claim that the defendants-appellants (hereinafter, "Defendants") terminated their employment because of their affiliation with the Democratic Party and their exercise of free speech, in violation of their First Amendment rights, their due process rights, and 42 U.S.C. § 1983. Plaintiffs also assert that Defendants conspired to terminate them on the basis of their political affiliations and beliefs, and failed to prevent the terminations from occurring, in violation of 42 U.S.C. §§ 1985 and 1986.1
Defendants moved to dismiss the complaint on various grounds, including legislative and qualified immunity. On March 28, 2006, the United States District Court for the Eastern District of New York (Joanna Seybert, Judge) granted the motion in part and denied it in part. In particular, the District Court held that while the Council members were absolutely immune for voting for the budgetary resolutions that abolished Plaintiffs' positions, they were not so protected for meeting with non-legislators to discuss the terminations because those meetings were allegedly conducted in secret. The District Court also denied the Council members' motion to dismiss on qualified immunity grounds.
We hold that legislative immunity applies not only to the Council members' vote on the budgetary resolutions that terminated the budget lines for Plaintiffs' positions, but also to any discussions and agreements the Council members may have had regarding the new budget prior to the vote, regardless of whether those discussions and agreements took place in secret. Thus, to the extent that the §§ 1983, 1985, and 1986 claims against the Council members relate to the legislative termination of the budget lines for Plaintiffs' positions, the District Court's denial of legislative immunity is reversed.
While the grant of legislative immunity covers all aspects of the legislative process, it would not protect the Council members from a charge, if asserted here, that they administratively fired, or conspired to administratively fire, any Plaintiff prior to the date on which his or her position was effectively abolished pursuant to the legislative resolutions. We remand the case for the District Court to determine, based on the operative complaint or upon further amendment, whether any of the Plaintiffs have alleged or could allege such a claim. Finally, we dismiss for lack of interlocutory appellate jurisdiction the Council members' appeal of the denial of qualified immunity for the firing of Mary Cammarato based on the contention that she was a policymaker, as well as the City's appeal of the denial of its motion to dismiss.
BACKGROUND
A. Factual Allegations
As this case comes to us after the denial of a motion to dismiss, we must accept the facts as they are alleged in the complaint. See Hill v. City of New York,
Mona Goodman, James P. Hennessey, and Thomas Sofield, Jr. were elected to the City Council in 2003; they belonged to the Republican Party and, at the time of Plaintiffs' terminations, constituted the majority of the five-member City Council. Glen Spiritis, also a member of the Republican Party, was appointed as City Manager.
Sometime in 2004, Goodman, Hennessey, Sofield, and Spiritis participated in a series of private meetings at the home of Charles Theofan, the Corporation Counsel for the City. Also in attendance was James Moriarity, the Executive Leader of the Long Beach Republican Party. The two Democratic members of the City Council were not invited to the meetings, or notified of their purpose or occurrence. According to the amended complaint, one purpose of these secret, unofficial meetings was to discuss firing Plaintiffs on account of their political affiliations with the Democratic Party and their allegiance to the leaders of the Long Beach Democratic Party. Plaintiffs claim that during the course of those meetings, the participants reached a decision or agreement to fire them on that basis.
On May 25, 2004, the City Council convened, and passed by majority vote, Resolution No. 121/04, which adopted and confirmed the Budget and Personnel Schedule for the 2004-2005 fiscal year.2 The new budget terminated the funding for the positions of Bus Dispatcher, Tax Assessor, and Administrative Aide, effective July 1, 2004. On August 3, 2004, the Council passed a supplemental budgetary resolution, Resolution No. 181/04, which amended the personnel roster to delete the position of Superintendent of Municipal Buildings, effective immediately.
B. The District Court's March 28, 2006 Decision
Defendants moved to dismiss the amended complaint pursuant to Rule 12(b)(6) of the Federal Rules of Civil Procedure, raising a number of different arguments. Of relevance to this appeal, the Council members asserted that absolute legislative immunity barred all claims against them because their enactment of the budgetary resolutions, which de-funded Plaintiffs' positions, constituted legitimate legislative activity. In the alternative, the Council members argued that they were entitled to qualified immunity against Mary Cammarato's claims, because as the City Tax Assessor, she was a "policymaker" within the meaning of Elrod v. Burns,
The District Court granted the Council members' motion in part and denied it in part. It held that legislative immunity insulated the Council members from liability for voting for and passing the budgetary resolutions. It found that legislative immunity did not extend, however, to the Council members' purported participation in secret meetings with non-legislators. Relying on Berlickij v. Town of Castleton,
The District Court also denied the Council members' motion to dismiss Mary Cammarato's claims on qualified immunity grounds. While it noted that the argument sounded "plausible," the District Court concluded that further factual development was necessary before it could determine whether Cammarato was or was not a "policymaker" within the meaning of Elrod v. Burns. The District Court denied the City's motion to dismiss the §§ 1983, 1985, and 1986 claims asserted against it.
The Council members now seek interlocutory review of the District Court's denial of legislative and qualified immunity. The City requests that we exercise pendent jurisdiction over the District Court's denial of its motion to dismiss.
DISCUSSION
A. Interlocutory Appellate Jurisdiction
Generally, this Court has jurisdiction over appeals only from "final decisions of the district courts." 28 U.S.C. § 1291. The "denial of a motion to dismiss is ordinarily considered non-final, and therefore not immediately appealable." Hill,
Plaintiffs contend that the Council members raised the defenses of legislative and qualified immunity only against the official-capacity claims, and that consequently, this Court lacks appellate jurisdiction to review the availability of immunity with respect to the individual-capacity claims. Plaintiffs' argument is premised on a fundamental misunderstanding of the defense of immunity. Immunity, either absolute or qualified, is a personal defense that is available only when officials are sued in their individual capacities; "[t]he immunities [officials] enjoy when sued personally do not extend to instances where they are sued in their official capacities." Morris v. Lindau,
Because no final order has been entered in this case, we lack appellate jurisdiction to decide issues that are not independently entitled to interlocutory review. See Rein v. Socialist People's Libyan Arab Jamahiriya,
B. Legislative Immunity
Under the Supreme Court's functional test of absolute legislative immunity, whether immunity attaches turns not on the official's identity, or even on the official's motive or intent, but on the nature of the act in question. See Harhay v. Town of Ellington Bd. of Educ.,
The Council members argue that the District Court erroneously relied on the Berlickij case in analyzing their defense of legislative immunity. We agree. In Berlickij, the plaintiff complained that the members of the town selectboard and planning commission had conducted their executive sessions in secret and had thereby "denied her and others the opportunity to speak and to participate in town meetings, and denied her access to a public forum." Berlickij,
The District Court granted legislative immunity for the Council members' vote for the budgetary resolutions that terminated the budget lines for Plaintiffs' positions, but denied it with respect to their alleged participation in the secret meetings. We hold that legislative immunity is not limited to the casting of a vote on a resolution or bill; it covers all aspects of the legislative process, including the discussions held and alliances struck regarding a legislative matter in anticipation of a formal vote. As the Supreme Court has explained, the purpose of absolute legislative immunity is to protect legislators from "deterrents to the uninhibited discharge of their legislative duty, not for their private indulgence but for the public good." Tenney v. Brandhove,
Applying this principle to the instant case, we conclude that legislative immunity cloaks not only the vote on the budgetary resolutions, but also any discussions the Council members may have held, and any agreements they may have made, regarding the new budget in the months preceding the actual vote. That the discussions and agreements occurred in secret does not strip these activities of their legislative function. Therefore, to the extent that Plaintiffs' §§ 1983, 1985, and 1986 claims relate to the legislative termination of the budget lines for their positions, the denial of legislative immunity was incorrect as a matter of law and must therefore be reversed.
This conclusion does not automatically dispose of the entirety of Plaintiffs' claims against the Council members, however. As we held in Jessen v. Town of Eastchester,
The District Court did not have the opportunity to consider this distinction in ruling on the motion to dismiss. Accordingly, we remand the case for the District Court to determine in the first instance whether any of the Plaintiffs have alleged, or could allege, that the Council members administratively fired them prior to the effective date of the budgetary changes that eliminated their positions. If so, then legislative immunity would not relieve the Council members from defending against those Plaintiffs' § 1983 claims. Furthermore, to the extent that the discussions and agreements that purportedly took place at the secret meetings related to the administrative firing of any Plaintiffs, the Council members would not be legislatively immune from those Plaintiffs' §§ 1985 and 1986 claims.4
C. Qualified Immunity Based on the "Policymaker Exception"
The doctrine of qualified immunity shields public officials from personal liability for official actions, "unless their conduct violates clearly established constitutional rights of which an objectively reasonable official would have known." Harhay,
The Council members contend that they are entitled to qualified immunity against Mary Cammarato's claims because her position as Tax Assessor was a policymaking one, and under Elrod v. Burns, the First Amendment permits the discharge of policymakers on the basis of their political affiliations. Alternatively, the Council members contend that they reasonably believed that Cammarato was a policymaker in light of clearly established law.
In Elrod, a plurality of the Supreme Court recognized that while "the practice of [political] patronage dismissals clearly infringes First Amendment interests," the "prohibition on encroachment of First Amendment protections is not an absolute," and "[r]estraints are permitted for appropriate reasons." Elrod,
In Branti v. Finkel,
[T]he ultimate inquiry is not whether the label "policymaker" or "confidential" fits a particular position; rather, the question is whether the hiring authority can demonstrate that party affiliation is an appropriate requirement for the effective performance of the public office involved.
Hawkins v. Steingut,
Because "the Branti guidelines do not lend themselves to easy or automatic application," id., this Circuit has identified some relevant factors to be considered in deciding whether an employee may constitutionally be discharged on the basis of his or her political affiliation. "These factors include whether the employee (1) is exempt from civil service protection, (2) has some technical competence or expertise, (3) controls others, (4) is authorized to speak in the name of policymakers, (5) is perceived as a policymaker by the public, (6) influences government programs, (7) has contact with elected officials, and (8) is responsive to partisan politics and political leaders." Vezzetti v. Pellegrini,
Ultimately, whether an employee's position falls within the Elrod-Branti policymaker exception is a question of law for the court. Gordon v. County of Rockland,
Here, the District Court concluded that further factual development was necessary to assess whether there was a rational connection between Cammarato's position as the Tax Assessor and her political affiliation. Because the District Court's denial of qualified immunity did not turn on an issue of law, and because "a factual determination is a necessary predicate to the resolution of whether . . . immunity is a bar, review [must be] postponed." Parkinson,
D. Municipal Liability Claims
The City appeals the District Court's denial of its motion to dismiss. Because the issues raised in the City's appeal are not "inextricably intertwined" with the question of either legislative or qualified immunity, and review of those issues is not necessary for meaningful review of the claim of immunity, we do not have pendent jurisdiction over them. See Demoret v. Zegarelli,
CONCLUSION
For the foregoing reasons, Defendants' appeal is DISMISSED IN PART, the decision of the District Court is REVERSED IN PART, and the case is REMANDED for further proceedings consistent with this order.
Notes:
Notes
The Honorable Stefan R. Underhill, United States District Judge for the District of Connecticut, sitting by designation
Plaintiffs also pled several supplemental claims under state law. Those claims are not involved in this appeal, and are not addressed in this opinion
The facts relating to the budgetary resolutions are not contained in the complaint. However, because these facts are matters of public record and are not in dispute, the District Court properly considered them in ruling on the motion to dismissSee Pani v. Empire Blue Cross Blue Shield,
The District Court dismissed the official-capacity claims against the Council members as duplicative of theMonell claims. That portion of the District Court's decision is not before us at this time.
We further note that qualified immunity would not protect the Council members for administratively firing, or conspiring to administratively fire, any Plaintiffs on the basis of their political speech or affiliations, unless the employee held a policymaking position for which political affiliation was a valid employment criterion,see infra Section C. See Elrod,
