Lead Opinion
More than two years ago, we remarked the “steady drumbeat of civil actions involving claimed politically motivated discharges arising out of the change in administration following Puerto Rico’s 1984 gubernatorial election.” Vazquez Rios v. Hernandez Colon,
There are nine plaintiffs, each of whom is a member of the New Progressive Party (NPP). Prior to May 1985, they were all employed at the Governor’s mansion (La Fortaleza) in Puerto Rico, serving as drivers, messengers, typists, warehousemen, and the like. Although assigned to “career” positions, none of them had been hired in accordance with the recruitment protocol set forth in Puerto Rico’s civil service laws.
The axe was not long in falling. On May 20, 1985, defendant sent letters iterating that all nine plaintiffs had been recruited in disregard of the regulatory hiring scheme. Eight plaintiffs requested a pretermination hearing, which was held in June 1985. The hearing examiner concluded that the facts recited in the May 20 letters were accurate. All plaintiffs were dismissed shortly thereafter.
Plaintiffs filed suit in Puerto Rico’s federal district court under 42 U.S.C. § 1983 (1982), claiming that their dismissals were politically motivated (and thus, violative of the first amendment); and that they had been denied the procedural protections guaranteed to them by the Due Process Clause of the fourteenth amendment.
The lower court ruling produced two notices of appeal. A panel of this court divided on certain of the questions presented. Defendant’s petition for rehearing en banc was subsequently granted and the panel opinions withdrawn.
II
We first address a procedural problem. It is a jurisdictional prerequisite that
MIGUEL A. ROSARIO TORRES, et al., Plaintiffs
The body of the notice, in its entirety, read as follows:
TO THE HONORABLE COURT:
Notice is hereby given that plaintiffs through their undersigned attorneys, appeal to the United States Court of Appeals for the First Circuit from the final judgment entered in the case of caption on September 21, 1987.
There were a total of nine plaintiffs before the district court — yet no plaintiff was named specifically in the notice’s text as an appellant, and only Miguel Rosario-Torres was named in the caption. Under these circumstances, the notice of appeal sufficed to bring Rosario-Torres’ grievances before us. See Mariani-Giron v. Acevedo-Ruiz,
We need not wax longiloquent on the topic. Cases previously decided leave no doubt that in this circuit inserting the words “et al.” in the case caption cannot fulfill the mandate of Rule 3(c). See Oakland Scavenger,
Without further ado, we conclude that we lack power to entertain the appeal of any plaintiff save Rosario-Torres. Although such a result is admittedly harsh, it is compelled by Oakland Scavenger. We have no jurisdiction over purported appeals sponsored by would-be appellants not specified in a timeous notice of appeal.
Ill
We are left, then, with two appeals: one on behalf of defendant (who filed a proper and timely notice) and one to Rosario-Torres’ behoof. These appeals, in the aggregate, raised five issues, viz.: (1) the propriety of the ruling that plaintiffs’ ap
These plaintiffs, with one possible exception,
By the same token, defendant’s qualified immunity claim was, on this record, appropriately resolved against him. In May 1985, it was sufficiently clearly established that persons in lowechelon positions such as these could not be fired because of political affiliations. See, e.g., Fontane-Rexach v. Puerto Rico Elec. Power Auth.,
Finally, the amount of compensatory damages gives us no pause. The size of such an award is reviewed only for clear error. See, e.g., United States v. VenFuel, Inc.,
IV
Having segregated wheat from chaff, we turn our attention to the two issues which prompted us to rehear these appeals en banc. We discuss them separately.
A. Due Process.
The due process issue in this case turns on whether plaintiffs, having been hired illegally to fill “career” positions, acquired property interests in the positions.
The sufficiency of a claim of entitlement to a property interest in public employment must be measured by, and decided with reference to, local law. Bishop v. Wood,
The plaintiffs have launched a two-pronged assault, endeavoring to convince us that this line of cases is wrongheaded, or in the alternative, distinguishable. The panel majority appears to have been persuaded in both respects. The en banc court is not. Having carefully reexamined Kauffman and its progeny, and recognizing that the question is close, we continue to believe that Kauffman correctly explicates the rule of law and we expressly reaffirm its holding and rationale.
We see no reason to dwell on the subject. Plaintiffs do not seriously dispute Judge Coffin’s incisive analysis of pertinent Puer-to Rico law, id. at 1173-74, nor could they fruitfully do so. Their principal, indeed only, argument against Kauffman prescinds from the Supreme Court’s decision in Cleveland Bd. of Education v. Loudermill,
Nor do we see a material distinction between the situation at bar and our earlier precedents. The panel sought to differentiate Kauffman on the ground that Martinez-Monge himself “hired [other employees] without regard to the Register,” including persons who could fairly be viewed as plaintiffs’ successors.
Kauffman controls. The finding that “defendant violated plaintiffs' rights under the fourteenth amendment,”
B. Reinstatement.
The district court, noting that plaintiff Victor Pedraza Rosario (Pedraza) had not found other employment during the pend-ency of the litigation, ordered him rehired. Rosario Torres,
We note at the outset that our concern lies solely with Rosario-Torres’ appeal of this determination. The other unreinstated plaintiffs did not perfect their attempted appeals, and their entitlement claims are not properly before us. See supra Part II. By the same token, defendant’s original brief qua appellant, his petition for rehearing en banc, and his supplementary brief to the en banc court are all bereft of any argumentation addressed to that portion of the district court’s order which mandated Pedraza’s reemployment.
Plaintiff asseverates that reinstatement should be an inevitable concomitant to a finding that an employee was jettisoned in violation of constitutional rights. Martinez-Monge, on the other hand, asserts that reinstatement should never be imposed upon a public employer when its accomplishment would force state officials to infringe state law. The panel majority took a view approximating that urged by Rosario-Torres, ruling that persons unconstitutionally discharged may be refused reemployment “only in extraordinary circumstances.” Discerning nothing sufficiently out of the ordinary to place this case beyond the norm, the panel set aside the challenged portion of the district court’s decree.
In tackling the question anew, we reject out of hand the absolutist approach urged by defendant. Where necessary, “remedies to right the wrong of past discrimination may suspend valid state laws.” Boston Chapter NAACP v. Beecher,
Put another way, when we say that reinstatement is “available,” but not “inevitable,” we mean that reinstatement is a remedy which lies within the discretion of the trial court. Such discretion, of course, is not unbounded. See Aggarwal v. Ponce School of Medicine,
In employment discrimination cases, suggestions as to when and how reinstatement should be ordered are almost infinitely varied. At the start, we set to one side the Title YII cases, many of which hold that, given a finding of unlawful discrimination, certain equitable remedies, including reinstatement, should ordinarily follow. See, e.g., In re Lewis,
The litigation before us falls not under the Title VII rubric, but within the purview of 42 U.S.C. § 1983 (1982). In the section 1983 milieu, the remedial limitations which encumber Title VII do not pertain. See Carey v. Piphus,
This does not mean that cases must be decided in a completely ad hoc fashion. There are some readily observable constants. Whenever an ex-employee sues alleging wrongful dismissal by a government agency, job restoration may be a material aspect of meaningful relief. Yet in the real world, reinstatement in unlawful-discharge cases often will place some burden on the agency: there will likely be tension (or even hostility) between the parties when forcibly reunited; employees who have assumed duties previously performed by the fired worker will have to be displaced when he or she returns; and, as a result, the public’s business may be conducted somewhat less efficaciously. Be that as it may, we agree with those courts which have ruled that such routinely “incidental” burdens, in their accustomed manifestations, are foreseeable sequelae of defendant’s wrongdoing, and usually insufficient, without more, to tip the scales against reinstatement when first amendment rights are at stake in a section 1983 action. See Banks,
We do not perceive such a positioning of the weighbeam as a departure from general equitable principles. It is, rather, merely a way of setting a starting-point for the district court’s consideration. Once this is understood, the “presumption” of rein
With these tenets in mind, we examine the record to determine whether the district court’s refusal to reinstate Rosario-Torres was sustainable. In so doing, we emphasize that we review a district court’s choice of equitable remedies for abuse of discretion, Independent Oil and Chemical Workers v. Procter & Gamble Mfg. Co.,
The record reveals that, above and beyond the incidental burdens which any reinstatement order might impose on a public employer, a number of special considerations were in play in this case. For one thing, the plaintiff had no property right, no vested interest in his position. See supra Part IV(A). If reinstated, therefore, he could immediately be fired for no reason or for any permissible reason. Some courts have suggested that this circumstance alone suffices to support a denial of reinstatement to a public-sector job. See, e.g., Lucas,
For another thing, plaintiff had been hired illegally. He did not meet the posted requirements for the position (Executive Officer III, see supra note 3) which he had occupied.
Finally, a long period of time had elapsed between Rosario-Torres’ discharge and the entry of judgment below. He did not press for immediate reinstatement by way of preliminary injunctive relief, cf. De Choudens v. Government Development Bank,
In this case, the district judge sat without a jury, dispensing both legal and equitable relief. He awarded the plaintiff substantial compensatory and punitive damages, as well as backpay, counsel fees, and costs. The judge seems to have weighed and balanced the equities and the parties’ rights with care. Mindful of the existence of “special” considerations over and above the routine “incidental” burdens which reinstatement imposes on an employer — particularly the illegality of Rosario-Torres’ initial hiring and his lack of formal qualifications for the job — we cannot fault the judge’s reluctance to order reemployment. Whether or not we, if writing on a pristine page, might have concluded otherwise, we are unable to see clear error in the trier’s rendition of what was quintessentially a judgment call.
V
We need go no further. We dismiss the appeals of all plaintiffs other than Rosario-Torres for want of appellate jurisdiction. We affirm the district court’s finding that defendant abridged plaintiffs’ first amendment rights and should be held to answer in damages therefor. We reverse the court’s fourteenth amendment ruling: because plaintiffs had been hired in violation of the Personnel Act, none of them enjoyed constitutionally protected property interests in their government jobs. Thus, due process was not implicated. Moreover, because we cannot tell whether the erroneous conclusion about due process influenced the court’s assessment of damages, we remand the case so that Judge Pieras may determine whether it is necessary to reduce the awards of compensatory and-or punitive damages in consequence of our holding today. Cf. Santiago-Negron,
In No. 87-2097, the appeal is dismissed as to all appellants other than Miguel A. Rosario-Torres. As to him, the order declining reinstatement is affirmed.
In No. 87-2096, the judgment below is affirmed in part, reversed in part, and remanded to the same district judge.
All parties shall bear their own costs.
Notes
. We repeat the district court’s description of the protocol as it applies to the Office of the Governor (much of which was based upon stipulated facts):
The Office of the Governor is an Individual Administrator under sections 1341 and 1343 of Title 3, the personnel law. The Office issued Personnel Regulations for its employees at La Fortaleza approved by the OCAP [Central Office of Personnel Administration] on January 3, 1978, pursuant to 3 L.P.R.A. § 1347. The foreword of the regulations indicates they are promulgated and implemented in furtherance of and on areas essential to the merit principle. The regulations contain provisions for the hiring of career employees. Specifically, section 7.4 requires applicants to compete through written, oral, physical, or performance examinations. Those applicants who pass the examination are placed on a register of eligibles, ranked according to their examination grades. Section 7.5.1. Whenever the Office of the Governor does not have a register of eligibles available, it may use the corresponding registers maintained by the OCAP or any other individual administrator. Section 7.5.4. Under section 7.6, vacancies are to be filled through the Register of Eligi-bles.
Rosario Torres v. Hernandez Colon,
. Plaintiffs originally sued the governor, Rafael Hernandez Colon, as well as his aide. At the start of the nonjury trial, however, the district court granted plaintiffs’ motion to dismiss with prejudice as to Gov. Hernandez Colon. At the time final judgment entered, Martinez-Monge was the sole defendant before the court. We have been informed that he has since left office; his successor, Hector Vazquez-Garcia, is therefore a party to these appeals. See Fed.R.App.P. 43(c)(1); see also Fed.R.Civ.P. 25(d)(1). For ease in reference, however, we shall continue to treat Martinez-Monge as if he were the only defendant before the court (although any orders herein are, of course, binding upon Vazquez-Garcia, in his official capacity).
. When separated from government service, the lead plaintiff, Miguel A. Rosario-Torres, was employed as an "Executive Officer III.” Rosario Torres,
. The replacements were named as transitory, rather than career, employees. Rosario Torres,
. For reasons obscure to us, the parties chose not to avail themselves of the briefing procedure detailed in Fed.R.App.P. 28(h). Instead, they treated the two notices of appeal separately, and each side filed separate appellant’s and appellee's briefs in regard to each appeal. There was an allusion to the legality of Pedra-za's reinstatement in defendant’s original brief qua appellee, but a paralipomena of that sort is not a legally appropriate way of raising a matter. It is a well-settled, and necessary, principle that an appellee cannot assail portions of a judgment favorable to opposing parties without initiating the particular attack in his own notice of appeal and the briefing thereon. See, e.g., Bath Iron Works Corp. v. White,
. Justice Story echoed and elaborated upon Chief Justice Marshall’s words:
[Equitable relief] is not a matter of right in either party; but is a matter of discretion in the Court; not of arbitrary or capricious discretion, dependent upon the mere pleasure of the Judge, but of that sound, and reasonable discretion, which governs itself, as far as it may, by general rules and principles; but at the same time, which withholds or grants relief, according to the circumstances of each particular case, when these rules and principles will not furnish any exact measure of justice between the parties.
Story, Equity Jurisprudence § 742 (1st ed. 1836).
. Regardless, it seems significant that, even while indicating certain equitable relief to be presumptively appropriate in Title VII cases, the Court has still taken pains to reaffirm the salience of trial judges' discretion, instructing courts of appeals to "recogniz[e] that the trial court will often have the keener appreciation of those facts and circumstances peculiar to particular cases,” Albemarle Paper,
.We note that, despite the strong language in which proponents sometimes couch the putative presumption, the courts which coined the term still accord district judges considerable discretion to determine that the presence of "noninci-dental” considerations may render reinstatement unwarranted. See, e.g., Lucas,
. The parties stipulated, for example, that Rosario-Torres fell short of the minimum educational attainment level.
. That Martinez-Monge himself recruited off-Register, and left in place some illegally-hired staffers, see supra at 319, are examples of countervailing equities which had to be considered.
. Plaintiff was paid $1029 monthly at La Fortaleza. He testified that he was earning $885 monthly at time of trial. See Trial Transcript, vol. Ill at 238. The district court’s use of a lower earnings figure for him,
Concurrence Opinion
(concurring in part, dissenting in part).
The “steady drumbeat” of political discrimination cases which the majority finds in consonance with Greek music, ante at 315,
I
I cannot quarrel with Part II of the opinion as this result is mandated by the Supreme Court’s decision in Torres v. Oakland Scavenger Co.,
In Loudermill, the Cleveland Board of Education hired the plaintiff as a security guard. On his job application he stated that he had never been convicted of a felony, when in fact he had been convicted of grand larceny. After eleven months, the Board discovered this falsity and summarily discharged him for dishonesty without affording him the opportunity to respond to the charge or to challenge his dismissal. The Board claimed that Loudermill had no property right under state law because he fraudulently obtained his appointment. It also alleged that they would not have hired Loudermill to begin with if he had answered truthfully. Therefore, the Board argued, he lacked a “legitimate claim of entitlement” to the position under state law, a prerequisite to his due process claim. See Board of Regents v. Roth,
[T]he argument relies on a retrospective fiction inconsistent with the undisputed fact that Loudermill was hired and did hold the security guard job. The Board cannot escape its constitutional obligations by rephrasing the basis for termination as a reason why Loudermill should not have been hired in the first place.
Id. (emphasis supplied).
In the present controversy, Miguel A. Rosario Torres’ case
The district court after hearing extensive evidence separated fact from fiction and uncontrovertedly found that the require
This lack of knowledge clearly distinguishes the present appeal from Kauffman v. Puerto Rico Tel. Co.,
This Court misses the point in its holdings in both Kauffman and the present case. Once hired, Puerto Rican law establishes that a career employee cannot be discharged except “for cause.” 3 L.P.R.A. § 1336(4) (Supp.1987). At that point the employee acquires a constitutionally protected interest. Like in Loudermill, the undisputed facts are that Rosario Torres was hired and did hold the job from which he was fired. He performed the work for two years, was paid for this work and was otherwise held out to be the legitimate holder of his position. It is fantasy to pretend that all of this did not happen or that it has no legal significance. Cf. Loudermill,
Nor should we be taken in by pious protestations to the effect that federal courts cannot cause the violation of valid state laws. Federal courts have the power to suspend even actively enforced state laws when such suspension is required to correct civil rights violations. Furthermore, this circuit has not been at the sidelines in the exercise of this power.
In Boston Chapter, NAACP v. Beecher,
[R]emedies to right the wrong of past discriminations may suspend valid state law.
Although we cannot rashly thrash about suspending state laws, neither should we shy away from this remedy when appropriate.
The necessity for action in this case goes beyond the realm of what is appropriate. Political discrimination against public employees in Puerto Rico is so endemic that even this Court can take judicial notice of the deplorable situation. Taking notice, however, is not enough. To allow a subterfuge such as is claimed by defendants, particularly when it is done at the pinnacle of local government, is only to compound the deleterious impact of this unhealthy practice. To correct this problem requires a vigorous and effective remedy, as provided in Beecher. Which leads me to the next point of disagreement with the majority— the district court’s refusal to order Rosario Torres’ reinstatement, and the majority’s approval of this action.
II
Our holding on the reinstatement issue sends the wrong signals by placing the presumption in the wrong place. Although I cannot quarrel with the concept that the trial court should have some discretion in ordering reinstatement, ante at 321, I disagree with the conclusion denying reinstatement the status of a presumptive right which should be enforced by the district court absent exigent circumstances. To repeat Judge Atkin’s excellent exposition of the issue, in the panel opinion of this appeal:
Unconstitutionally discharged employees are presumptively entitled to reinstatement. See In re Lewis,845 F.2d 624 , 630 (6th Cir.1988); Banks v. Burkich,788 F.2d 1161 , 1164 (6th Cir.1986) (discharge impermissibly based on employee's exercise of first amendment rights); Professional Association of College Educators v. El Paso County Community School District,730 F.2d 258 , 268 (5th Cir.1984) (same); Allen,685 F.2d at 1305 (same); see also Santiago-Negrón,865 F.2d at 437 (reinstatement is “[o]ne of the remedies available for a political discharge in violation of first amendment rights”). The reasons for this rule are evident. First, reinstatement best serves the important policy of make-whole relief. Cf. Albermarle Paper Co. v. Moody,422 U.S. 405 , 418 [95 S.Ct. 2362 , 2372,45 L.Ed.2d 280 ] (1975) (discussing policy in Title VII context). Along these lines, the Eleventh Circuit has observed that “[w]hen a person loses his job, it is at best disingenuous to say that money damages can suffice to make that person whole. The psychological benefits of work are intangible, yet they are real and cannot be ignored.” Allen,685 F.2d at 1306 . In addition, presumptive reinstatement helps to deter future violations. Employers contemplating unconstitutional employment decisions will be discouraged if their victims are promptly reinstated. See id. Such deterrence will be particularly welcome where, as here, the results of an election may tempt an employer to “clean house” in violation of the Constitution.
The courts, well aware of the value of these benefits, have markedly circumscribed the grounds upon which reinstatement can be refused. Reinstatement can be refused only in extraordinary cases — it cannot be refused merely because it would “revive old antagonisms,” Lewis,845 F.2d at 630 , and it cannot be refused because the positions once held by the wrongfully discharged employees have been filled. Banks,788 F.2d at 1165 . To provide otherwise would ignore the sound maxim that “[rjelief is not limited to that which will be pleasing and free of irritation.” Sterzing v. Fort Bend Independent School District,496 F.2d 92 , 93 (5th Cir.1974), cited with approval in Allen,685 F.2d at 1305 .
Ill
Can Rosario Torres, free from fault but egregiously harmed by a blatant First Amendment violation, have less protection than Loudermill — the liar? No, this cannot be the law. Can defendants merely by paying money, repair such a brazen transgression, leaving this man to face unemployment limbo ad infinitum? No, this cannot be the law either.
I dissent from all but Part II of the majority opinion.
. “Diapason” is defined as "the interval or consonance of the octave in Greek music.” Web
. And for that matter, the cases of those whose appeal we have dismissed as well.
. See 3 L.P.R.A. § 1046 (Supp.1989). See also Oppenheimer Méndez v. Acevedo,
. This, of course, is equally applicable to the other plaintiffs whose appeal we dismiss on technical grounds. See Rosario Torres, supra, at 651-52.
. The panel opinion was withdrawn, and is unpublished.
. For the fiscal year 1988-89, the unemployment rate in Puerto Rico stood at 15.9%. Puer-to Rico Department of Labor and Human Resources, Bureau of Statistics.
. During the fiscal year 1988-89, 23% of Puer-to Rico’s active labor force were government employees. Id.
