IN RE: MONTGOMERY COUNTY; MONTGOMERY COUNTY COMMISSIONERS; MARIO MELE; RICHARD BUCKMAN; JOSEPH M. HOEFFEL, III, Pеtitioners, No. 99-1371; ROBERT E. WRIGHT, SR. v. MONTGOMERY COUNTY; MONTGOMERY COUNTY COMMISSIONERS; MARIO MELE; RICHARD BUCKMAN; JOSEPH HOEFFEL; MAILLIE FALCONIERO & COMPANY LLP; GEORGE FALCONERO, Montgomery County; Montgomery County Commissioners; Mario Mele; Richard Buckman, Joseph Hoeffel, Appellants, No. 99-1379
Nos. 99-1371 and 99-1379
UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT
June 9, 2000
2000 Decisions, Paper 125
SLOVITER, NYGAARD, and McKEE, Circuit Judges.
APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF PENNSYLVANIA (D.C. No. 96-cv-04597) District Judge: The Honorable Herbert J. Hutton; ARGUED July 27, 1999
2000 Decisions
Opinions of the United States Court of Appeals for the Third Circuit
6-9-2000
In Re Montgomery Cty.
Precedential or Non-Precedential:
Docket 99-1371
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Recommended Citation
“In Re Montgomery Cty.” (2000). 2000 Decisions. Paper 125. http://digitalcommons.law.villanova.edu/thirdcircuit_2000/125
John M. Elliott, Esq.
Eric J. Bronstein, Esq.
Krista K. Beatty, Esq.
Elliott, Reihner, Siedzikowski & Egan
925 Harvest Drive
Union Meeting Corporate Center
Blue Bell, PA 19422
Attorneys for Petitioners/ Appellants/Cross Respondent/ Appellee
Theodore Q. Thompson, Esq. (Argued)
Theodore Q. Thompson & Associates
10 North Main Street
Ambler, PA 19002
Attorney for Respondent/Appellee/ Cross Petitioners/Appellants
OPINION OF THE COURT
NYGAARD, Circuit Judge.
This is an interlocutory appeal from the District Court‘s pre-trial denial of the Appellants’ claims to absоlute and qualified immunity from suit. Although the District Court did not expressly address the Appellants’ immunity claims, it denied the motions for summary judgment in which those claims were asserted. We hold that this implicit denial of the Appellants’ immunity claims is sufficient to confer appellate jurisdiction. We will affirm.
I. Facts and Procedure
In July 1994, Montgomery County‘s Salary Board promoted Robert Wright to Director of the County‘s Department of Housing Services. At the time, Wright had been a County employee for approximately 15 years, working first for its Redevelopment Authority, and then for
Beginning in December 1995, HUD forwarded a series of draft audit findings to Wright in his capacity as Department Director. The draft findings identified a number of deficiencies in the Department‘s administration of HUD-funded programs. In addition to more general shortfalls, the draft findings concluded that Wright, among others, had engaged in a number of transactions with HUD contractors involving impermissible conflicts of interest. HUD forwarded its final draft finding on April 19, 1996.
On April 22, the Salary Board voted to suspend Wright, who is African-American, without pay.1 On May 20, HUD issued its final audit report which, like the draft findings, was highly critical of Wright‘s management of the Department, and of his personal dealings with HUD contractors. On June 13, the Salary Board voted to terminate Wright‘s employment. Two other Department employees, both of whom were white, were also terminated. Wright ultimately responded to his termination byfiling a civil action against Montgomery County, the county commissioners as a group, and the three commissioners who served on the Salаry Board -- Mario Mele, Richard S. Buckman, and Joseph M. Hoeffel, III -- in their individual capacities (“Appellants“).2
Notes
In September 1998, the Appellants filed three separate motions for summary judgment based on: (1) claims of absolute and qualified immunity; (2) flaws in Wright‘s state-law claims; and (3) flaws in Wright‘s constitutional claims. In a December 22, 1998 Memorandum and Order, the District Court granted the unopposed motion to dismiss the state-law claims. See Wright v. Montgomery County, No. 96-CV-4597 (E.D. Pa. Dec. 22, 1998). In the same Memorandum and Order, the court erroneously characterized Count One of Wright‘s complaint as asserting claims under Title VII. See id., slip op. at 5-8. Finding that Wright had established a prima facie case of discrimination under Title VII, the court denied the Appellants’ motion for summary judgment on Count One.
Because the District Court had characterized Count One, now the only surviving count, as asserting claims under Title VII, the Appellants filed a fourth motion for summary judgment on January 28, 1999. This time, the Appellants argued that summary judgment was proper because Wright had failed “to exhaust his legally mandated administrative remedies as a condition precedent of commencing suit.” App. at 1364a. Thereafter, Wright informed the court that the federal claims asserted in Count One of his complaint were not based on Title VII, but rather on, inter alia,
On April 29, 1999, the District Court set the case for trial on May 10. Appellants filed their first notice of appeal on May 7. On that day, the District Court entered a number of orders disposing of the parties’ remaining motions, including, apparently, Appellants’ February 16th motion for summary judgment. Once more, however, the court did not address the Appellants’ immunity claims. Instead, the court merely noted in a footnote that it had “already addressed the issues raised in this motion for summary judgment” in its March 15th Memorandum and Order. In response, Appellants filed an amended notice of appeal on May 11, indicating that they were also appealing from the May 7 Order.3
II. Standard of Review
Absolute immunity is a purely legal question over which we exercise plenary review. See Carver v. Foerster, 102 F.3d 96, 99 (3d Cir. 1996). Our review of the Appellants’ qualified immunity claims is strictly limited to the legal questions involved. Therefore, our review of that issue is also plenary. See Abbott v. Latshaw, 164 F.3d 141, 145 (3d Cir. 1998), cert. denied, 119 S. Ct. 2393 (1999).
III. Discussion
The Appellants raise a number of issues in this appeal. As a threshold mаtter, we must first determine which of those issues, if any, we have jurisdiction to review. We conclude that we have jurisdiction to consider the Appellants’ claims to absolute and qualified immunity, but lack jurisdiction to consider their remaining claims. We next consider whether the District Court erred by implicitly denying the Appellants’ immunity claims. We hold that it did not.
A. Jurisdiction
1. Timeliness of Appeal
Wright contends that we lack jurisdiction to review the Appellants’ claims because they failed to file notice of appeal within the 30-day limit established by
The
Wright argues that this appeal should be deemed as arising from, at the latest, the District Court‘s March 15th Order denying the Appellants’ various mоtions for summary judgment. That argument overlooks one critical fact, however. The District Court did not explicitly rule on the Appellants’ immunity claims in its March 15th Order, nor at any time before or after. In its December 22, 1998 Order, the court characterized Wright‘s federal claims as arising under Title VII. This, of course, temporarily took the immunity issues out of contention. Under Title VII, a public official may be held liable in her official capacity only,
The Appellants were entitled to believe that the District Court would eventually address their immunity claims at least until the court had denied all of their outstanding motions and set the case for trial. The District Court set the сase for trial on April 29, and denied all of the Appellants’ outstanding motions on May 7. The Appellants clearlyfiled their May 7th notice of appeal, as well as their May 11th amended notice of appeal, within 30 days of those dates, and thus within
2. Jurisdiction over an Interlocutory Appeal
Wright also raises an alternative challenge to our jurisdiction over this appeal. He argues that the Appellants’ claims to qualified immunity do not fit within the collateral-order doctrine. We find his arguments on this point unpersuasive, however. Moreover, Wright ignores or overlooks the fact that the Appellants have also asserted a claim to, and appeal from the denial of, absolute immunity.
As a general rule, the federal appellate courts have no jurisdiction under
In Mitchell, the Supreme Court extended the collateral-order doctrine to include denial of claims to qualified immunity. See id.; see also Brown v. United States, 851 F.2d 615, 619 (3d Cir. 1988). Nevertheless, denial of qualified immunity falls within the collateral-order doctrine only to the extent the denial turns on an issue of law. See Johnson v. Jones, 515 U.S. 304, 313 (1995); see also Grant v. City of Pittsburgh, 98 F.3d 116, 119-20 (3d Cir. 1996) (“To the extent they turn on an issue of law , decisions denying public officials qualified immunity are considered final under the collateral order doctrine.“) (emphasis added). Generally, the relevant issue of law is whether the right the defendant is alleged to have violated was “clearly established” at the time the defendant acted or failed to act. See Behrens v. Pelletier, 516 U.S. 299, 313 (1996). Where, however, denial turns on the sufficiency of the evidence, it may not be appealed until the district court entersfinal judgment in the case. See Johnson, 515 U.S. at 313.
Wright argues that the Appellants’ qualified immunity claims are not reviewable on interlocutory appeal because the District Court‘s December 18, 1998, Memorandum and
The fact is, however, the District Court never renderеd any such ruling, nor addressed the Appellants’ immunity claims in any manner. Indeed, although the court began its December 18th Memorandum and Order by stating that it was addressing, among other things, Appellants’ “Motion for Summary Judgment Concerning Their Immunity,” the court did not analyze the immunity issue, and instead limited its discussion to the viability of Wright‘s substantive claims. In its March 15th Memorandum and Order, the court again addressed the substantive issues only.
Because the District Court never explicitly addressed the Appellants’ immunity claims, we must decide whether we have interlocutory jurisdiction to review an imрlied denial of those claims. We join the other Circuit Courts of Appeals that have addressed this issue and hold that we do. See Lowe v. Town of Fairland, 143 F.3d 1378, 1380 (10th Cir. 1998); Zayas-Green v. Casaine, 906 F.2d 18, 23 (1st Cir. 1990); Musso v. Hourigan, 836 F.2d 736, 741 (2d Cir. 1988); Craft v. Wipf, 810 F.2d 170, 173 (8th Cir. 1987); Helton v. Clements, 787 F.2d 1016, 1017 (5th Cir. 1986) (per curiam); see also Nelson v. Jashurek, 109 F.3d 142, 146-147 (3d Cir. 1997) (suggesting interlocutory jurisdiction might exist where denial of qualified immunity claim can be inferred); Ryan v. Burlington County, 860 F.2d 1199, 1203 (3d Cir. 1988) (holding that a district court‘s “order is `final’ and immediately reviewable under Mitchell if [the appellants] properly raised a claim of qualified immunity in the District Court.“). Allowing this case to proceed to trial without considering the Appellants’ immunity claims would irreversibly deprive them of any right to avoid trial.
The Supreme Court‘s decisions in this area make it clear that an immune official‘s right to avoid trial is bаsed not on the individual‘s desire to avoid the personal costs and aggravations of presenting a defense. Rather, the right not to stand trial is based on far broader concerns for avoiding the social costs of the underlying litigation, and for ensuring and preserving the effectiveness of government. See Harlow v. Fitzgerald, 457 U.S. 800, 806 (1982). The concern is that, absent immunity from suit as well as liability, the attention of public officials will be diverted from important public issues. Additionally, qualified individuals might avoid public service altogether, while the threat of litigation may undermine the willingness of those who do serve to act when action is necessary. See id. at 814.
The Appellants in this case have already been distracted for nearly four years by the need to defend themselves in this action. They have presented the District Court with numerous motions, including multiple assertions of their claims to immunity from suit. They have received and responded to the District Court‘s disposition of those motions, energetically pursued an appeal in this court, and awaited our decision. Where, as here, the issues are purеly legal and ripe for review, we see little benefit in requiring these Appellants to press their claims anew in the District Court, and to risk yet further delay should that court‘s ultimate decision lead to a subsequent appeal.
3. Jurisdiction Over Remaining Issues
In addition to their claims of absolute and qualified immunity, the Appellants ask us to dismiss Wright‘s race-
Appellants next argue that we must dismiss Wright‘s
We express no opinion on the merits of these arguments. Unlike absolute and qualified immunity, Appellants’ remaining claims do not fall within the collateral-order doctrine. Indeed, they do not satisfy any of the doctrine‘s three requirements. See Transtech Indus., Inc., v. A&Z Septic Clean, 5 F.3d 51, 55 (3d Cir. 1993) (citing Coopers & Lybrand v. Livesay, 437 U.S. 463, 468 (1978)). The District Court‘s denial of their motion for summary judgment has not conclusively resolved the issues the Appellants raise on appeal. Those issues are not completely separable from the merits of the action. And, finally, they will not effectively be unreviewable on appeal from a final judgment. Consequently, the collateral-order doctrine confers no jurisdiction to consider Appellants’ non-immunity based claims on interlocutory appeal.
The Appellants suggest that we have discretion to consider their additional claims under pendent appellate
In this case, the Appellants’ non-immunity claims depend on questions of fact that the District Court has yet to resolve. Consequently, plenary review of those claims would be inappropriate. Additionally, the Appellants’ immunity claims are entirely susceptible to meaningful review without any consideration of their non-immunity claims. Accordingly, we decline to exercise pendent appellate jurisdiction over the non-immunity claims.
B. The Immunity Claims
1. Absolute Immunity
The Appellants claim that they are entitled to absolute immunity from suit. Their decision to terminаte Wright, they argue, is “precisely” the type of policy-making decision the Supreme Court has held to be ” `in the sphere of legitimate legislative activity’ and entitled to absolute immunity.” Appellants’ Br. at 29 (quoting Bogan v. Scott-Harris, 523 U.S. 44, 54-55 (1998)). We disagree.
The Appellants’ decision to terminate Wright fails the substantively-legislative test. The decision did not involve a matter of general policy, applicable to a variety of circumstances, nor to a range of County employees. Quite to the contrary, the decision targeted a particular employee suspected of specific acts of mis- and malfeasance. Urging the oppоsite conclusion, the Appellants argue that their decision to terminate Wright is analogous to the decision held to be legislative in Bogan. Even a passing review of the Supreme Court‘s decision in that case belies the argument, however.
In Bogan, the act at issue involved the elimination of the plaintiff ‘s position as part of a larger, city-wide downsizing prompted by declining financial resources. See Bogan, 523 U.S. at 46; see also Aitchison, 708 F.2d at 97 (holding that borough council members who voted to abolish assistant building inspector position on efficiency and economy grounds had absolute immunity from
reflected a discretionary, policymaking decision implicating the budgetary priorities of the city and the services the city provides to its constituents. Moreover, it involved the termination of a position, which, unlike the hiring or firing of a particulаr employee, may have prospective implications that reach well beyond the particular occupant of the office.
In short, we need not consider whether the act offiring Wright by vote of the Salary Board was procedurally legislative. Regardless of the procedure, the act was not legislative in substance. Firing a particular employee is a personnel decision that does not involve general policy making. Appellants’ firing of Wright did not reach beyond “the particular occupant of the office.” Nor was their action an “integral step[ ] in the legislative process.” Id. Actions of an executive or administrative nature such as this are not entitled to absolute immunity. See Carver, 102 F.3d at 100. As a result, Appellants’ reliance on Bogan is misplaced and their claim of absolute immunity must be denied.
2. Qualified Immunity
Appellants claim that in addition to absolute immunity, they are also entitled to qualified immunity. As they correctly note, the doctrine of qualified immunity shields government officials from personal liability to the extent the conduct at issue “does not violate clearly establishеd statutory or constitutional rights of which a reasonable person would have known.” See Appellants’ Br. at 37 (citing Harlow v. Fitzgerald, 457 U.S. 800, 818 (1982)). Unfortunately, the Appellants’ attempt to establish that their decision to terminate Wright did not violate a clearly established right wholly misunderstands the limited nature of our interlocutory review.
The Appellants contend that their decision to terminate Wright was based on HUD‘s audit report, which suggested, at best, that he was a poor manager, and, at worst, that he was guilty of potentially criminal conflicts of interest. They further сontend that their reliance on the report, whether or not mistaken, was not unreasonable under the circumstances. They conclude, therefore, that because Wright “cannot demonstrate that the individual Defendants were `plainly incompetent’ or `knowingly violating the law’ when they terminated him, [his] claims . . . must be dismissed on grounds of qualified immunity.” Appellants’ Br. at 42. As we have already suggested, the argument is misplaced.
Whether the Appellants’ decision to terminate Wright was made in response to HUD‘s audit findings as they claim, or in retaliation as Wright alleges, is a question of fact to be decided in the District Court. Our review on interlocutory appeal is strictly limited to determining whether the right alleged to have been violated was clearly established at the time оf the act in question. Until the District Court has entered a final judgment, we do not consider whether the plaintiff has produced sufficient evidence to prove his allegations. Holding as we do that Wright has alleged the violation of a clearly established right, we must also hold that the Appellants are not entitled to qualified immunity at this stage of the proceedings.
IV. Conclusion
For the reasons stated, we will affirm the District Court‘s implicit denial of Appellants’ immunity claims. We decline4
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