Federal Circuits, 5th Cir. (October 03, 1995)
Docket number: 94-50599
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U.S. Court of Appeals for the 5th Cir. - Charles M. (Micky) Gentry, Plaintiff-Appellee, v. Lowndes County, Mississippi; Et Al., Defendants, Joe Brooks, in His Individual Capacity, Defendant-Appellant. Lew Cornelius, Plaintiff-Appellee, v. Lowndes County, Mississippi; Et Al., Defendants, Joe Brooks, in His Individual Capacity, Defendant-Appellant., 337 F.3d 481 (5th Cir. 2003) Plaintiff-Appellee, v. Lowndes County, Mississippi; Et Al., Defendants, Joe Brooks, in His Individual Capacity, Defendant-Appellant. Lew Cornelius, Plaintiff-Appellee, v. Lowndes County, Mississippi; Et Al., Defendants, Joe Brooks, in His Individual Capacity, Defendant-Appellant.
Charles E. McDonald, El Paso, TX, for appellant.
E. Dempsey Gunaca, El Paso, TX, pro se.Jo Anne Bernal, Office of County Atty., El Paso, TX, for El Paso County, et al.Thomas A. Spieczny, El Paso, TX, for Jaime Esparza.Appeal from the United States District Court for the Western District of Texas.Before REAVLEY and EMILIO M. GARZA, Circuit Judges, and PRADO, District Judge.*EMILIO M. GARZA, Circuit Judge:Dempsey Gunaca sued the State of Texas, El Paso County, El Paso County Judge Alicia Chacon, in her official capacity, and El Paso County District Attorney Jaime Esparza, in his official and individual capacity, over the loss of his job as an investigator at the El Paso County District Attorney's Office. Gunaca alleged age discrimination under the Age Discrimination in Employment Act of 1967, 29 U.S.C. Sec . 621 (1988), and First Amendment violations under 42 U.S.C. Sec . 1983 (1988). The district court granted Esparza, Chacon, and El Paso County's motion for summary judgment, and dismissed Gunaca's complaint. Gunaca appeals the dismissal, and we affirm.* Dempsey Gunaca was employed as an investigator by the former El Paso County District Attorney, Steve Simmons. When Simmons ran for re-election in 1992, he was defeated in the democratic primary by Jaime Esparza. Esparza, who ran unopposed in the general election, chose not to re-appoint Gunaca to his former position. Gunaca filed suit against Esparza, claiming that Esparza's refusal to re-appoint him was motivated by age discrimination in violation of the ADEA, and by political animus in violation of the First Amendment. Gunaca also named as defendants the State of Texas, El Paso County,1 and El Paso County Judge Alicia Chacon.2 The district court dismissed the State of Texas early in the proceedings, and later heard motions for summary judgment from the remaining defendants. The court granted summary judgment in favor of El Paso County and Chacon on the grounds that neither was a proper party to the suit. The court also granted summary judgment in favor of Esparza, holding that investigators in the El Paso County District Attorney's Office are not "employees" for the purposes of the ADEA, see 29 U.S.C. Sec . 630(f) (1988) (excluding members of "personal staff" of elected county officials from ADEA's definition of "employee"), and that Gunaca failed to provide summary judgment evidence in support of his claim that Esparza's refusal to re-appoint him was motivated by political animus. Gunaca appeals the district court's grant of summary judgment in favor of Esparza, El Paso County, and Chacon.IIWe review the district court's grant of summary judgment de novo. Montgomery v. Brookshire, 34 F.3d 291, 294 (5th Cir.1994). Summary judgment is proper under Rule 56 of the Federal Rules of Civil Procedure when all the evidence viewed in the light most favorable to the non-movant shows that "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." Fed.R.Civ.P. 56(c). Rule 56 "mandates the entry of summary judgment, after adequate time for discovery and upon motion, against a party who fails to make a showing sufficient to establish the existence of an element essential to that party's case, and on which that party will bear the burden of proof at trial." Celotex Corp. v. Catrett, 477 U.S. 317, 322, 106 S.Ct. 2548, 2552, 91 L.Ed.2d 265 (1986); accord Little v. Liquid Air Corp., 37 F.3d 1069, 1075 (5th Cir.1994) (en banc). The movant bears the initial burden of demonstrating the absence of a genuine issue of material fact, but need not negate the elements of the nonmovant's case. Celotex, 477 U.S. at 323, 106 S.Ct. at 2553; accord Little, 37 F.3d at 1075. "If the moving party fails to meet this initial burden, the motion must be denied, regardless of the nonmovant's response." Little, 37 F.3d at 1075. "Once the moving party has supported its contention that there is no genuine issue of material fact and that it is entitled to judgment as a matter of law, the burden is on the nonmoving party 'to go beyond the pleadings and by her own affidavits, or by the depositions, answers to interrogatories, and admissions on file, designate "specific facts" showing that there is a genuine issue for trial.' " Krim v. BancTexas Group, Inc., 989 F.2d 1435, 1445 (5th Cir.1993) (quoting Celotex, 477 U.S. at 324, 106 S.Ct. at 2553.)* Gunaca argues that the district court erroneously granted Esparza's motion for summary judgment on Gunaca's ADEA claim on the grounds that Gunaca is not an "employee" under Sec. 630(f) of the ADEA. Under the ADEA, it is unlawful to discharge an employee because of the employee's age. 29 U.S.C. Sec . 623(a)(1); accord Montgomery, 34 F.3d at 294. However, Sec. 630(f) of the ADEA excludes from its definition of "employee":[A]ny person elected to public office in any State or political subdivision of any State by the qualified voters thereof, or any person chosen by such officer to be on such officer's personal staff, or an appointee on the policymaking level or an immediate adviser with respect to the exercise of the constitutional or legal powers of the office.29 U.S.C. Sec . 630(f).3 The district court held that Gunaca "was a member of the personal staff of the district attorney and is therefore not an 'employee' covered by the Act." Gunaca contends that Esparza failed to show that there are no genuine issues of fact as to whether Gunaca fell into the personal staff exception."Because the personal staff exception in the ADEA is identical to the personal staff exemption found in Title VII, 42 U.S.C. Sec . 2000e(f), courts construe the two exceptions consistently." Montgomery, 34 F.3d at 294. In Teneyuca v. Bexar County, 767 F.2d 148 (5th Cir.1985), we identified six factors that courts have found significant in determining whether a Title VII plaintiff fell under that statute's personal staff exemption: (1) Whether the elected official has plenary powers of appointment and removal, (2) whether the person in the position at issue is personally accountable to only that elected official, (3) whether the person in the position at issue represents the elected official in the eyes of the public, (4) whether the elected official exercises a considerable amount of control over the position, (5) the level of the position within the organization's chain of command, and (6) the actual intimacy of the working relationship between the elected official and the person filling the position.Id. at 151; see also Clark v. Tarrant County, 798 F.2d 736, 742 (5th Cir.1986) (applying Teneyuca factors in Title VII case). We have considered those same factors in our application of the ADEA's personal staff exception. See Montgomery, 34 F.3d at 294-95 (applying Teneyuca in ADEA case).The list is not exhaustive, Teneyuca, 767 F.2d at 151-52; Montgomery, 34 F.3d at 295, but it does guide us in looking to the " 'nature and circumstances of the employment relationship between the complaining individual and the elected official to determine if the exception applies,' " Teneyuca, 767 F.2d at 152 (quoting Owens v. Rush, 654 F.2d 1370, 1375 (10th Cir.1981)); accord Montgomery, 34 F.3d at 295. Our consideration of these factors is tempered by the legislative history of the exception, which indicates that it is to be narrowly construed. Teneyuca, 767 F.2d at 152; Clark, 798 F.2d at 742; Galvan v. Bexar County, 785 F.2d 1298, 1303 n.8 (5th Cir.1986).4 Finally, we have emphasized that " 'the highly factual nature of the inquiry necessary to the determination of the "personal staff" exception does not lend itself well to disposition by summary judgment.' " Montgomery, 34 F.3d at 295 (quoting Teneyuca, 767 F.2d at 152).Gunaca has conceded that under chapter 41 of the Texas Government Code, the district attorney has plenary power to appoint and remove investigators, see Tex.Gov't Code Ann. Sec. 41.102 (West 1988) ("A prosecuting attorney may employ the assistant prosecuting attorneys, investigators, secretaries, and other office personnel that in his judgment are required for the proper and efficient operation and administration of the office."); Tex.Gov't Code Ann. Sec. 41.105 ("All personnel of a prosecuting attorney's office are subject to removal at the will of the prosecuting attorney."), and that investigators are personally accountable only to the district attorney, see Tex.Gov't Code Ann. Sec. 41.109(b) ("An investigator is under the exclusive authority and direction of the prosecuting attorney...."). Thus, Gunaca has conceded the first two Teneyuca factors.Gunaca contends, however, that investigators do not represent the district attorney in the eyes of the public because only those employees of the district attorney who are licensed to practice law, such as the assistant district attorneys, can represent the district attorney in the eyes of the public. In applying the third Teneyuca factor in Clark v. Tarrant County, 798 F.2d 736 (5th Cir.1986), we deemed relevant the fact that a probation officer did not represent her appointing judge to the general public in the same way that "[an] assistant district attorney represents the district attorney in legal proceedings and in the eyes of the public." Id. at 743. However, we discussed the scope of the factor at greater length in Montgomery v. Brookshire, 34 F.3d 291 (5th Cir.1994), which concerned the application of the personal staff exemption to sheriffs' deputies. We held in Montgomery that "as uniformed officials, all deputies regardless of position or rank represent the sheriff in the eyes of the public to some extent because the public is often generally unaware of the hierarchy within the sheriff's department." Id. at 296. While we noted that "[o]ther considerations may arguably also be pertinent [in applying the third Teneyuca factor] in the context of lawyers in a law office representing an entity such as a city or county," id. at 297 n. 6, the consideration emphasized in Montgomery is equally important in the present case. As Esparza stated in his motion for summary judgment, investigators are statutorily authorized to make arrests and to serve warrants, capiases, and subpoenas issued in criminal cases. Tex.Gov't Code Ann. Sec. 41.109(a). Investigators are also authorized to execute search warrants. Glaze v. State, 165 Tex.Crim. 626, 310 S.W.2d 88 (1958). In performing these functions, which necessarily involves interaction with the public, investigators are no less representatives of the district attorney for want of a law license than the deputies in Montgomery were representatives of the sheriff despite their position in the office hierarchy.Gunaca also contends that the district attorney does not exercise a considerable amount of control over investigators. Esparza alleged in his motion for summary judgment, and the district court held, that the language of section 41.109(b) of the Texas Government Code, providing that the district attorney has "exclusive authority and direction" over investigators, established this degree of control. However, in our application of the fourth Teneyuca factor in Montgomery, which we decided after the district court issued its order granting summary judgment, we emphasized instead the degree of control an employer actually exerts over the employee's day-to-day activities. See Montgomery, 34 F.3d at 296 (stressing in its application of fourth Teneyuca factor that defendant "barely exhibited any control over Montgomery's day-to-day activities"). Because the relevant provisions of section 41.109(b) are duly accounted for in our consideration of the second Teneyuca factor, we follow the approach taken by the court in Montgomery. Summary judgment evidence shows that Gunaca spoke to the former district attorney "practically every day." Gunaca stated in a deposition: "I would discuss certain activities and my investigation activities with him, to make sure that I wasn't overstepping something or doing something wrong or--we had quite a few conversations like that." This evidence clearly establishes that the former district attorney had considerable day-to-day control over Gunaca's activities.Gunaca argues that the working relationship between the district attorney and the investigators is not intimate. In our application of the sixth Teneyuca factor in Montgomery, we considered the frequency with which Montgomery and his employer discussed business and consulted each other regarding their work. Id. at 296. In his motion for summary judgment, Esparza argued that a district attorney must maintain an intimate working relationship with investigators because "[i]n determining whether or not to initiate a criminal prosecution, a district attorney must confer, consult and rely upon the investigator assigned to gather evidence in the case," making the investigator "privy to the confidential communications and deliberations of the elected official." He supported his claim with affidavits from himself and an assistant that included essentially the same statements. Gunaca offered as summary judgment evidence his own affidavit, in which he stated that his working relationship with the former district attorney involved "reporting, reviewing, and seeking approval of investigative activities" but that he was "never included in organizational meetings, planning sessions, policy-making decisions, or case strategy meetings." That Gunaca was not included in such meetings and decision-making does not detract from the fact that he regularly discussed business with the former district attorney, consulted the district attorney regarding work, and was consulted by the district attorney regarding work.The fifth Teneyuca factor is the level of the position within the organization's chain of command. As we explained in Montgomery: "Factor five concerns [plaintiff's] rank within the organization's command structure. The 'personal staff' exception becomes less applicable the lower the particular employee's position because the exception was primarily intended to exempt the elected official's immediate subordinates or those 'who are his first line advisors.' " Montgomery, 34 F.3d at 296 (holding that employee was not a member of employer's "personal staff" where four levels of supervisors separated employee from employer). Unrefuted summary judgment evidence established that in the organizational structure of the district attorney's office, three levels of supervisors separate investigators from the district attorney. The district court acknowledged that "[t]he investigator's position within the district attorney's chain of command is not at the top," but emphasized that "the district attorney and his assistants place a great deal of trust in their investigators, and rely heavily upon them."Although the investigators' position in the office's organizational structure provides Gunaca with his strongest argument that investigators are not part of the district attorney's personal staff, the argument does not have much force. Summary judgment evidence established that there are about fifty-five appointed positions in the district attorney's office, half the number of appointed law enforcement officials in the sheriff's office in Montgomery, see Montgomery, 34 F.3d at 297 (noting that appointed law enforcement officials numbered 113). In a small office, an employee's placement in the chain of command is less significant to a consideration of the nature and circumstances of the employment relationship between employee and employer. Thus, while the placement of the position of investigator in the office's organizational structure is evidence that Gunaca was not a member of the former district attorney's personal staff, we cannot say that it is very strong evidence that he was not.Our inquiry into the nature and circumstances of the employment relationship between Gunaca and the former district attorney for the purpose of determining whether Gunaca is exempt from the protection of the ADEA is highly factual. It would not lend itself well to disposition by summary judgment were it not that most of the necessary facts are provided by statute or by Gunaca's testimony and summary judgment evidence. Our consideration of the Teneyuca factors supports the district court's judgment, and that judgment does not rely on the resolution of any genuine issues of fact. Therefore, we conclude that the district court properly granted Esparza's motion for summary judgment on Gunaca's ADEA claim on the grounds that Gunaca is excluded from the coverage of the ADEA.BGunaca argues next that the district court erroneously granted Esparza's motion for summary judgment on the question of whether Esparza violated the First Amendment by refusing to re-appoint Gunaca in retaliation for Gunaca's political support of the former district attorney.5 Although Esparza contended in his motion for summary judgment that he is entitled to qualified immunity from liability on Gunaca's First Amendment claim, the district court granted Esparza's motion on the grounds that Gunaca "undeniably engaged in protected political activity, [but] has failed to come forward with credible evidence that such activity was the reason for his non-employment."Government officials performing discretionary functions are entitled to qualified immunity from suit unless their conduct violated clearly established statutory or constitutional rights of which a reasonable person would have known. Gibson v. Rich, 44 F.3d 274, 277 (5th Cir.1995). A claim of immunity must be resolved at the earliest possible stage of litigation because it entails an entitlement to immunity from suit and not merely a defense to liability. Hunter v. Bryant,Try vLex for FREE for 3 days
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