KENNETH E. DAVIS; JAMES S. ETTELSON; ALAN C. KESSLER; FRANK LUTZ; JOSEPH M. MANKO; ORA R. PIERCE; JAMES J. PRENDERGAST; BRIAN D. ROSENTHAL; DAVID A. SONENSHEIN; HOWARD L. WEST; GLORIA P. WOLEK; PHYLLIS L. ZEMBLE v. RICHARD GLANTON, Individually and as a Trustee of The Barnes Foundation; NIARA SUDARKASA, Individually and as a Trustee of The Barnes Foundation; SHIRLEY A. JACKSON, Individually and as a Trustee of The Barnes Foundation; CHARLES FRANK, Individually and as a Trustee of the Barnes Foundation
NO. 96-1299
IN THE UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT
March 3, 1997
Paper 52
BECKER, ROTH, Circuit Judges, and BARRY, District Judge.
On Appeal From the United States District Court For the Eastern District of Pennsylvania (D.C. Civ. No. 96-cv-01800)
Argued: January 30, 1997
ROBERT J. SUGARMAN, ESQUIRE (ARGUED)
Sugarman & Associates
7th Floor, Robert Morris Building
100 North 17th Street
Philadelphia, PA 19103
Attorneys for Appellants Richard Glanton and Niara Sudarkas
HARDY WILLIAMS, ESQUIRE
3801 Market Street, Suite 204
Attorney for Appellant Shirley Jackson
PAUL R. ROSEN, ESQUIRE (ARGUED)
LARRY R. WOOD, JR., ESQUIRE
Spector, Gadon & Rosen, P.C.
1700 Market Street - 29th Floor
Philadelphia, PA 19103
Attorneys for Appellees: Kenneth E. Davis, James S. Ettelson, Alan C. Kessler, Frank Lutz, Joseph M. Manko, Ora R. Pierce, James J. Prendergast, Brian D. Rosenthal, David A. Sonenshein, Howard L. West, Gloria P. Wolek, Phyllis L. Zemble
OPINION OF THE COURT
BECKER, Circuit Judge.
This is an appeal by certain trustees of the Barnes Foundation, who are also African-American citizens. It requires us to determine whether a state court defamation action filed against them by certain commissioners of Lower Merion Township, alleging that the Trustees had falsely accused the Commissioners of racist official conduct, is removable to federal district court pursuant to the civil rights removal statute,
I. Facts & Procedural History
The Barnes Foundation is a non-profit Pennsylvania corporation located on Latches Lane, Lower Merion Township, Montgomery County, Pennsylvania. Its history is well known, and for present purposes we need recount only that the late Dr. Albert C. Barnes created the Barnes Foundation, by Indenture and Agreement dated December 6, 1922, and that the Indenture provides that, following the expiration of the terms of the Foundation‘s Trustees in place at Barnes’ death, four of the five Foundation Trustees are to be nominated by Lincoln University, a historically African-American institution, with a fifth trustee to be named by Girard Bank (now Mellon Bank). By 1990, with the death or rеsignation of a number of former trustees, the Foundation‘s Board of Trustees became predominantly African-American. At the time of the acts complained of, Richard Glanton, Niara Sudarkasa, Shirley Jackson, and Charles Frank (defendants in the state defamation action) were trustees, and all except for Mr. Frank are African-American and appellants here.1
The gravamen of the Foundation‘s federal civil rights action is that this adverse treatment was motivated by racial prejudice engendered by the fact that (1) the majority of the Foundation‘s Trustees are African-American; (2) Glanton, the President of the Board, is African-American; and (3) the Foundation is controlled by a historically African-American university. The complaint alleges that the Township and the Commissioners violated the
On March 4, 1996, the Commissioners filed a state court defamation action in the Court of Common Pleas of Montgomery County against Glanton and the other members of the Foundation‘s Board. The state court defamation action is based upon two sets of allegedly defamatory statements: (1) certain statements attributed to Glanton in a Philadelphia Inquirer article dated November 27, 1995, that the Commissioners had engaged in “thinly disguised racism,” and that “[t]here is no way that you cannot see racism in the way [the Commissioners] are treating the Foundаtion“; and (2) statements made in the Barnes Foundation‘s complaint in the federal civil rights action.
On March 7, 1996, the Trustees filed a Joint Notice of Removal, claiming that federal removal jurisdiction existed pursuant to
The Commissioners quickly filed a motion to remand, contesting all three grounds for removal. The district court granted the Commissioners’ motion, determining that removal was improper on all of the grounds asserted by the Trustees. Addressing the requirements of
Finally, the district court found that the state court defamation action was not removable under
II. Appellate Jurisdiction
An order remanding a case to the State court from which it was removed is not reviewable on appeal or otherwise, except that an order remanding a case to the State court from which it was removed pursuant to section 1443 of this title shall be reviewable by appeal or otherwise.
Section 1447(d) thus expressly authorizes appellate review of remand orders in cases that were originally removed to fedеral court under
III. Removal Under 28 U.S.C. § 1443
A. Introduction: State of Georgia v. Rachel and City of Greenwood v. Peacock
The Civil Rights Removal Statute,
[a]gainst any person who is denied or cannot enforce in the courts of such State a right under any law providing for the equal civil rights of citizens of the United States, or of all persons within the jurisdiction thereof.
While the language of this section is opaque, the jurisprudence has made clear that Congress has crafted only a narrow exception to the rule that a state court action may be removed to a federal district court only if federal jurisdiction is evident on the face of the plaintiff‘s well-pleaded complaint (which, of course, it is not in this state defamation action).
In State of Georgia v. Rachel, 384 U.S. 780 (1966), the Supreme Court articulated the precise circumstances required to sustain removal under
The Court then addressed the second statutory requirement -- that the state court defendant be “denied or cannot enforce” his or her rights in state court. The Court noted that, in order for pre-trial removal to be sustained, denial of rights traditionally had been required to be so manifest in a formal expression of state law that “it could be taken as suitable indication that all courts in that State would disregard the federal right of equality with which the state enactment was precisely in conflict.” Id. at 804 (citing Strauder v. West Virginia, 100 U.S. 303 (1880), and Commonwealth of Virginia v. Rives, 100 U.S. 313 (1880)). The Court explained that, given the particular circumstances of that case, a firm prediction that a defendant would be denied federal rights in the state court might be made even in the absence of a discriminatory state enactment.
In creating a narrow exception to the traditional “denied or cannot enforce” interpretation, the Rachel Court recognized that § 203 of the Civil Rights Act of 1964 specifically prohibited any “punishment or attempts to punish” any person for exercising
In City of Greenwood v. Peacock, 384 U.S. 808 (1966), decided on the same day as Rachel, the Court highlighted the limited nature of the Rachel exception. In Peacock, twenty-nine people were prosecuted as a result of First Amendment petitioning activity. The Mississippi state court defendants sought removal under
the basic difference between this case and Rachel is thus immediately apparent. In Rachel, the defendants relied on the specific provisions of a pre-emptive federal civil rights law -- §§ 201(a) and 203(c) of the Civil Rights Act of 1964 ... as construed in Hamm v. City of Rock Hill, supra -- that ... specifically and uniquely conferred upon the defendants an absolute right to “violate” the explicit terms of the state criminal trespass law with ... impunity.
Peacock should not be read to narrow the holding of Rachel. Instead, the Court merely reiterated the limited and unique circumstances under which removability could be sustained regardless of the presence of a facially discriminatory state statute. Thus, Peacock reaffirms that in the vast majority of cases:
[i]t is not enough to support removal under
§ 1443(1) to allege or show that the defendant‘s federal equal civil rights have been illegally and corruptly denied by state administrative officials in advance of trial, that the charges against the defendant are false, or that the defendant is unable to obtain a fair trial in a particular state court. The motives of the officers bringing the charges may be corrupt, but that does not show that the state trial court will find the defendant guilty if he is innocent, or that in any other manner the defendant will be “denied or cannot enforce in the courts” of the State any right under a federal law providing for equal civil rights. The civil rights removal statute does not require and does not permit the judges of the federal courts to put their brethren of the state judiciary on trial. Under§ 1443(1) , the vindication of the defendant‘s federal rights is left to the state courts except in the rare situations where it can be clearly predicted by reason of the operation of a pervasive and explicit state or federal law that those rights will inevitably be denied by the very act of bringing the defendаnt to trial in the state court.
Id. at 827-28. As a result, the Court in Peacock refused to expand Rachel‘s interpretation of
B. The First Prong of Georgia v. Rachel
The Trustees assert that their case satisfies both requirements for
Intuitively,
It is not clear, however, that
Even if
The status of
C. The Second Prong of Georgia v. Rachel
In order to sustain removability under
The Trustees assert that the mere pendency of the state court defamation action violates their federal civil rights as prescribed in
A careful reading of
The Trustees nonetheless claim that, just as Hamm v. City of Rock Hill immunized state court defendants from prosecution for trespass, Griffin v. Breckenridge, 403 U.S. 88 (1971), held that
In sum, it is clear that nothing in
The line between Rachel and Peacock is that between “prosecutions in which the conduct necessary to constitute the state offense is specifically protected by a federal equal rights statute under the circumstances alleged by the petitioner, and prosecutions where the only grounds for removal is that the charge is false and motivated by a desire to discourage the petitioner from exercising or to penalize him for having exercised a federal right.”
Johnson v. Mississippi, 421 U.S. 213, 234 (1975) (Marshall, J., dissenting) (citing New York v. Davis, 411 F.2d 750 (2d Cir. 1969)). Even if the Trustees are correct in their assertions
None of the cases on which the Trustees rely persuades us to hold otherwise. See Sofarelli, 931 F.2d 718; Whatley v. City of Vidalia, 399 F.2d 521 (5th Cir. 1968); Rogers v. Rucker, 835 F.Supp. 1410 (N.D. Ga. 1993); Northside Realty Assoc., Inc. v. Chapman, 411 F. Supp. 1195 (N.D. Ga 1976). Whatley is not apposite because the removing defendants in that case specifically invoked the provisions of the Voting Rights Act of 1965, which provides that “[n]o person shall intimidate, threaten or coerce ... any person for urging or aiding any person to vote or attempt to vote.” Id. at 522 n.2 (citing
The cases of Sofarelli, Rogers, and Northside Realty are similarly unhelpful. In those cases, the removing state court defendants invoked a provision of the Fair Housing Act of 1968 which provides that no person shall “coerce, intimidate, threaten, or interfere with any other person ... on account of
In addition, the Trustees cannot derive support from Conrad v. Robinson, 871 F.2d 612 (6th Cir. 1989). In that case, the removing defendant Robinson filed a Title VII action against Conrad, and a newspaper article was subsequently published that discussed the pending case. Conrad, basеd on the statements in the newspaper article and in Robinson‘s complaint, brought a libel action against him. In upholding
We need not pass on whether we will follow Conrad because the question addressed by the Sixth Circuit is not the same as
We are not insensitive to the point so effectively made by the Trustees’ able counsel that the events that form the basis of the state court defamation action stem from the same set of facts as those underlying the federal civil rights action, and that, since allegations of racial bias suffuse the litigation, which is anchored in federal court, the defamation action too must be heard there in order to assure that civil rights are not compromised. But this view ignores the rigors of federalism, and the technical precepts of governing by dint of which thе principles of federalism are translated into reality.
