LaRou v. Ridlon

                  UNITED STATES COURT OF APPEALS
                      FOR THE FIRST CIRCUIT

                                           
                                                     

No. 96-1229

                          CHARLES LAROU,

                      Plaintiff, Appellant,

                                v.

                          WESLEY RIDLON,
            IN HIS OFFICIAL AND INDIVIDUAL CAPACITY AS
                  SHERIFF OF CUMBERLAND COUNTY,

                       Defendant, Appellee.

                                           
                                                     

           APPEAL FROM THE UNITED STATES DISTRICT COURT

                    FOR THE DISTRICT OF MAINE

           [Hon. D. Brock Hornby, U.S. District Judge]
                                                               

                                           
                                                     

                              Before

                     Torruella, Chief Judge,
                                                     

                  Cyr and Lynch, Circuit Judges.
                                                         

                                           
                                                     

   Stuart Tisdale for appellant.
                           
   William R. Fisher, with whom Monaghan, Leahy, Hochadel & Libby
                                                                           
was on brief for appellee.

                                           
                                                     

                         October 28, 1996
                                           
                                                     


          CYR, Circuit Judge.  Appellant Charles LaRou challenges
                    CYR, Circuit Judge.
                                      

the  district  court's  summary judgment  rulings  rejecting  his

political discrimination claims against Cumberland County (Maine)

Sheriff Wesley Ridlon.  We affirm the district court judgment.

                                I
                                          I

                           BACKGROUND1
                                     BACKGROUND
                                               

          Approximately   two  years   after  LaRou   joined  the

Cumberland  County Sheriff's  Department ("Department")  in April

1989,  he was  designated "Lieutenant,  Programs Coordinator"  by

Sheriff  Ridlon.  Previously, Ridlon  had told LaRou  that one of

his new  responsibilities would be to  gather adverse information

that might enable Ridlon to fire Sergeant Christopher  Muse, whom

Ridlon considered a  political rival.2   LaRou responded that  he

would  keep his eyes  open, but would not  participate in a witch

hunt.  Despite repeated  requests from Ridlon, LaRou reported  no

adverse information  about Muse.   Ridlon  nevertheless appointed

LaRou to a captaincy and made him the Administrative Aide respon-

sible  for inmate programs  and officer  training (Administrative

Aide/Programs) in October 1991.         In November 1993,  howev-

er, all three  captains in the Department,  including LaRou, were

reassigned  to newly-created  "shift commander"  positions.   The

transfer memo stated that the shift commander assignments were to

                    
                              

     1The material  facts in genuine  dispute are related  in the
light  most favorable to LaRou.   Velez-Gomez v.  SMA Life Assur.
                                                                           
Co., 8 F.3d 873, 875 (1st Cir. 1993).  
             

     2In 1990, Muse had  gone to Ridlon and informed  him that he
planned to run against Ridlon in 1994.

                                2


remain  in effect until further  notice.  LaRou  regarded his new

night shift  commander assignment  as a temporary  demotion, even

though he had been relieved of all training  program duties and a

Ridlon  political supporter had been  appointed to succeed him as

Administrative Aide/Programs.  LaRou was never told that he would

or would not be redesignated Administrative Aide/Programs.  

          In December  1993, Sergeant  Muse first informed  LaRou

that he intended to run against Ridlon for the Democratic nomina-

tion for  Sheriff.  Although LaRou  thereafter actively supported

the  Muse campaign,  Ridlon  ultimately won  both the  Democratic

nomination and, on June 14, 1994, a second term as Sheriff.  

          In January 1995, while still serving as the night shift

commander,  LaRou saw  a posting  for the  position  of "Programs

Manager,"  which he believed  to be essentially  identical to his

previous position of Administrative Aide/Programs.  LaRou prompt-

ly contacted the Cumberland County Personnel Manager, who advised

that  as far as Cumberland  County was concerned  LaRou was still

the Administrative  Aide/Programs.  LaRou  did not apply  for the

newly-posted position, however, because  he felt that it remained

his  by  right and  that he  was being  forced  out by  Ridlon in

retaliation for supporting Muse in the 1994 political campaign.

          The district court  rejected LaRou's retaliation  claim

relating to the November 1993 "demotion" to night shift commander

as a  "chronological impossibility," given the  statement by Muse

that  LaRou had been  the first person in  the department whom he

had  told (in December 1993)  about his plan  to run for Sheriff,
                                

                                3


which was  after LaRou's November 1993 "demotion"  to night shift
                                           

commander.3  Second,  the district court ruled  that the retalia-

tion  claim  based  on  the wrongful  permanent  elimination,  in

January   1995,  of  the  Administrative  Aide/Programs  position

previously held by LaRou,  amounted to a mere restatement  of the

November  1993 retaliatory  "demotion" claim,  and hence  was not

actionable. 

                                II
                                          II

                            DISCUSSION
                                      DISCUSSION
                                                

1.   The Standard of Review
          1.   The Standard of Review
                                     

          We review a  grant of summary judgment  de novo, Velez-
                                                                           

Gomez, 8 F.3d at  874-75, and will  affirm it if "the  pleadings,
               

depositions,  answers to interrogatories, and admissions on file,

together  with  the affidavits,  if any,  show  that there  is no

genuine  issue as to any material fact, and that the moving party

is entitled to judgment as a matter of law."  Fed.R.Civ.P. 56(c).

As  a  nonpolicymaking governmental  employee,  LaRou  could only

avert summary judgment on his political discrimination claim    

          by pointing to evidence in the record  which,
          if  credited, would  permit  a rational  fact
          finder  to conclude that  the challenged per-
          sonnel action   occurred and  stemmed from  a
          politically  based discriminatory  animus....
          Without   more,    a   nonmoving   plaintiff-
          employee's unsupported and speculative asser-
          tions regarding political discrimination will
          not be enough to survive  summary judgment.

Rivera-Cotto v. Rivera, 38  F.3d 611, 614 (1st Cir.  1994) (cita-
                                

tions omitted).    
                    
                              

     3We do not reach this ground.

                                4


                                5


2.   The 1993 Retaliation Claim 
          2.   The 1993 Retaliation Claim
                                         

          LaRou  claims  on  appeal  that Ridlon  (i)  knew  Muse

planned to oppose Ridlon in  the 1994 primary, see supra note  2,
                                                                  

(ii) Ridlon  originally promoted LaRou with  instructions to find

grounds  for  dismissing Muse,  and  (iii)  LaRou ultimately  was

"demoted" for failing to  provide Ridlon with adverse information

about Muse and for forming instead a successful working relation-

ship  with Muse.  The 1993 retaliation claim fails, however, even

assuming  Ridlon caused LaRou to be "demoted" based on a retalia-

tory motive, since  LaRou was engaged  in no protected  political

activity at the time.         The   First    Amendment   protects

nonpolicymaking  public employees  from  discrimination based  on

their political beliefs  or affiliation.   Branti v. Finkel,  445
                                                                     

U.S. 507 (1980).  See also Romero-Barcelo v. Hernandez-Agosto, 75
                                                                       

F.3d 23, 34 (1st Cir. 1996).  The plaintiff-employee in a politi-

cal retaliation case "must bear the threshold burden of producing

sufficient direct  or circumstantial  evidence from which  a jury

reasonably  may  infer   that  [his]  constitutionally  protected

conduct  . . . was a `substantial' or 'motivating' factor behind"

the adverse  employment action  taken by the  defendant official.

Acevedo-Diaz v.  Aponte, 1  F.3d 62,  66 (1st  Cir.  1993).   The
                                 

burden  then shifts  to the  defendant official  to  articulate a

nondiscriminatory basis  for the  adverse employment  action, and

prove  by a preponderance of the evidence that the adverse action

would have been taken  regardless of any discriminatory political

motivation.   Id.   See also Mt.  Healthy City Sch.  Dist. Bd. of
                                                                           

                                6


Educ. v. Doyle, 429 U.S. 274, 287 (1977).  
                        

          Under the Mt. Healthy burden-shifting analysis, LaRou's
                                         

retaliation claim falters at the outset.  In similar circumstanc-

es, see  Correa-Martinez v. Arrillaga-Belendez, 903  F.2d 49 (1st
                                                        

Cir. 1990), we rejected a political discrimination  claim that an

administrator had been  constructively discharged from  the judi-

cial branch of the Commonwealth  of Puerto Rico due to  his prior

association  with a former judge who held political views at odds

with the defendant officials.  We explained that    

          a politically charged atmosphere . . ., with-
          out more, provide[s] no  basis for a  reason-
          able  inference  that defendants'  employment
          decisions  about  plaintiff  were tainted  by
                                               
          their disregard of  plaintiff's first  amend-
                                                   
          ment rights.  Absent a  constitutionally pro-
          tected  aspect, a "close relationship" with a
          third party is  insufficient .  . .  notwith-
          standing  that  consideration  of  the  third
                                                                 
          party's  political  beliefs may  have entered
                                               
          into the decisionmaking calculus.

Id. at 58 (citation omitted).  As we stressed in Correa-Martinez,
                                                                          

the plaintiff  is  required to  show  that "a  causal  connection

exists linking defendants' conduct,  as manifested in the adverse

employment  decision, to  plaintiff's politics."   Id.   See also
                                                                           

Aviles-Martinez v. Monroig, 963 F.2d 2, 5 (1st Cir. 1992) (plain-
                                    

tiff-employee must show causal  connection between his  political

affiliation and the adverse treatment). 

          LaRou claims he was  "demoted" to night shift commander

because  he did  not  abide by  Ridlon's  instructions to  gather

information which would enable  Ridlon to fire Muse.   LaRou does

not  claim, however,  nor does  the  record indicate,  that LaRou

                                7


provided Muse with political support prior to his alleged  "demo-

tion" in November 1993.  Although Ridlon and Muse had had politi-

cal differences as early as 1990, as of  November 1993 Ridlon and

LaRou had  not; and LaRou does  not claim that he  then knew Muse

intended to oppose Ridlon.4  Thus,  for aught that appears in the

record, LaRou's relationship with  Muse in November 1993 was  not

political.          LaRou himself  asserts that  he chose not  to

provide Ridlon with adverse information about Muse because he and

Muse had developed a  successful professional relationship, which

resulted in many  noteworthy advances in officer-training  proce-

dures.   Conspicuously absent  is any  suggestion that  LaRou was

motivated by  Muse's political plans,  affiliation, or  beliefs.5

Since the record does  not disclose that LaRou was engaged in any

protected political  activity, the alleged "demotion" in November

                    
                              

     4At  his deposition, LaRou was asked whether he and Muse had
ever discussed Muse's political  campaign prior to LaRou's "demo-
tion" in November, 1993.  After stating that it was "most likely"
that such a conversation occurred, LaRou explained:

          I was moved out in  November of '93 and  that
          was very early  - very early.   And if  there
          was  ever any  mention  of  it, it  certainly
          wasn't a strategic  mentioning because  there
          was no  strategy at  that time.   That's very
          early.   So  there may  have been  a sideline
          comment,  there may have been a joke made.  I
          really couldn't say.   Nothing jumps up at me
          of a conversation or anything, but I wouldn't
          doubt that  it happened.  It  could have hap-
          pened.

LaRou Dep. at 88.  

     5In  his affidavit,  LaRou  indicates that  he undertook  to
scrutinize Muse's job performance for Ridlon, but later developed
a close working relationship with Muse.  

                                8


1993 did  not give rise to a  cognizable political discrimination

claim even assuming Ridlon's  adverse employment action was based

on his political differences with Muse, and he took those differ-

ences out on LaRou.  See Correa-Martinez, 903 F.2d at 58.  
                                                  

3.   The 1995 Job Posting
          3.   The 1995 Job Posting
                                   

          LaRou attempts to  assert a discrete  retaliation claim

in  connection  with the  January 1995  posting of  the "Programs

Manager"  position.   Up  until that  time,  LaRou says,  he  had

believed that  his November 1993  "demotion" to night  shift com-

mander was merely temporary, and that he would be returned to his

former position some  day.  He adds  that the position title  was

changed at the time of the posting in January 1995 to justify his

final removal, and that  his "permanent" loss of the  position in

1995  was in retaliation  for his support of  Muse's 1994 bid for

Sheriff.   The 1995  retaliation claim nonetheless  fails because

LaRou was subjected to no cognizable adverse employment action as

a result of the simple posting of the "Programs Manager" position

in January 1995.   See Connell v. Bank of  Boston, 924 F.2d 1169,
                                                           

1179 (1st Cir.), cert. denied, 501 U.S. 1218 (1991)6 ("Most cases
                                       

involving a retaliation  claim are based on  an employment action
                    
                              

     6Although Connell  involved ADEA claims rather  than   1983,
                                
its analysis is  persuasive.  The fundamental meaning of "adverse
employment  action"  should  remain  constant  regardless  of the
particular   enabling   statute,   given   their   similar  anti-
discriminatory purpose.  Indeed, in Blackie v. State of Maine, 75
                                                                       
F.3d 716, 725 (1st  Cir. 1996), a case  involving the Fair  Labor
Standards  Act,  this  court  observed  generally  that  "[i]n  a
retaliation case,  as in virtually any  other discrimination case
premised  on disparate treatment, it is  essential for the plain-
tiff  to show that the employer took a materially adverse employ-
ment action against him."

                                9


which  has an  adverse impact on  the employee,  i.e., discharge,

demotion, or failure to promote.");  see also Rutan v. Republican
                                                                           

Party of Illinois, 497 U.S. 62, 75 (1990); Welsh v. Derwinski, 14
                                                                       

F.3d 85, 86 (1st Cir. 1994).  

          We  first  examine  the  particular  retaliatory action

relied upon by the plaintiff employee to determine whether it had

the requisite  adverse effect.  Id.; cf. also Blackie v. State of
                                                                           

Maine, 75 F.3d 716, 725 (1st Cir. 1996) (noting that "determining
               

whether an  action is  materially adverse necessarily  requires a

case-by-case inquiry.")  (Fair Labor  Standards Act case).   Even

assuming,  without  deciding,  that  the  generous definition  of

"adverse  employment  action"   propounded  in  Blackie  likewise
                                                                 

applies here, LaRou  cannot bring the  present claim within  it.7

Under Blackie, LaRou might  make out a retaliation claim  were he
                       

to demonstrate that Ridlon  had refused to promote (or  transfer)

him to the Programs  Manager position posted in 1995,  or refused

to consider him for the position despite a duty to do so.  

          Although LaRou  contends that  the mere posting  of the

                    
                              

     7In Blackie, we stated:
                          

          Typically, the  employer must (1)  take some-
          thing of consequence from the  employee, say,
          by  discharging or demoting her, reducing her
          salary, or  divesting her of  significant re-
          sponsibilities;  or  (2)  withhold  from  the
          employee  an  accoutrement of  the employment
          relationship,  say, by  failing  to follow  a
          customary  practice  of  considering her  for
          promotion after a  particular period of  ser-
          vice.

Id. (citations omitted).
            

                                10


Programs Manager position in  1995 adversely affected his employ-

ment because at the time he still "believed" he would be returned

to his prior position  as Administrative Aide/Programs, he offers

no evidence which would  enable a rational trier of  fact to find

that this "belief" was  based on anything but conjecture.   Simi-

larly,  he  proffers no  evidentiary  foundation  for the  stated

belief  that his transfer to shift commander in November 1993 was

temporary. 

          LaRou baldly attests in his  affidavit that he was told

the transfer  to shift  commander  was to  be temporary,  without

identifying,  either  by name  or  position,  the source  of  the

hearsay statement.  Thus,  the unattributed statement is incompe-

tent, see Fed. R.  Civ. P. 56(e) (affidavit "shall set forth such
                   

facts  as would be admissible in evidence"), since it is inadmis-

sible hearsay,  see Fed. R. Evid.  801(d)(2) (out-of-court state-
                             

ment  offered for truth of matter asserted not hearsay if attrib-

utable  to  party-opponent  or  agent).    See  also  Woodman  v.
                                                                       

Haemonetics Corp., 51 F.3d 1087, 1094 (1st Cir. 1995).
                           

          The only  competent record evidence  indicates that the

November  1993  "demotion" was  permanent.    According to  Frank

Amoroso, Cumberland  County Jail Administrator, the 1993 realign-

ment of the three captains was part of an overarching  plan.  The

Administrative Aide/Programs position was to be eliminated    and

with it one  captaincy     and replaced with  a Programs  Manager

position.    Moreover, Amoroso  explained the  plan to  the three

captains,  including LaRou,  at  a staff  meeting, and  requested

                                11


their  input.   Thus,  LaRou  proffers no  competent  evidence to

remove the 1995 job posting claim from "the realm of speculative,

general allegations."  See Kauffman v. Puerto Rico Telephone Co.,
                                                                          

841 F.2d 1169, 1173 n.5 (1st Cir. 1988). 

          LaRou  asserts that  he  called the  personnel director

after seeing  the Programs Manager position posting, and was told

that, as far as Cumberland County was concerned, he was still the

Administrative Aide/Programs.  This  statement cannot help LaRou,

however, since he concededly knew  that the newly posted Programs
                                                                           

Manager position encompassed  his former position of  Administra-
                                                           

tive Aide/Programs, yet  he elected  not to apply  for the  newly
                                                           

posted position.  In these circumstances, reliance on the person-

nel  director's  statement, indicating  merely  that no  official

change of status  had been  noted in LaRou's  personnel file,  is

patently insufficient to generate a trialworthy issue.  

          Absent some competent evidentiary  basis for the stated

belief that the 1993  transfer was merely temporary, at  the very

least  LaRou plainly  bore the  responsibility to  apply for  the

posted position  which he  knew encompassed his  former position.

Failing  which,  we are  at  a loss  to  understand how  the 1995

posting  alone could be found  to have been  "retaliatory."  Even

assuming the newly posted position were LaRou's by right, he does

not explain  how Ridlon could  be found  to have acted  out of  a

retaliatory motive simply in posting the position in 1995, absent

any evidence that Ridlon  knew LaRou claimed his  former position

or was interested  in the  newly posted position.   Without  such

                                12


evidence, it was  incumbent upon LaRou  to alert the  appropriate

decisionmakers  to  his interest  in,  or  claim to,  the  posted

position.8   Thus, LaRou failed  to generate a  trialworthy claim

that Ridlon harbored an  actionable retaliatory motive in posting

the programs manager position in 1995. 

          Finally,  given the  unchallenged  evidence that  LaRou

elected not  to apply for the  newly posted position  in 1995, he

cannot point to  a plausible  dispute that Ridlon  engaged in  an

"adverse  employment  action"  simply  by  posting  the  programs

manager position.   See Boarman  v. Sullivan, 769  F. Supp.  904,
                                                      

910-11 (D.Md. 1991); cf. also Sinai v.  New England Tel. and Tel.
                                                                           

Co., 3  F.3d 471, 474 (1st  Cir. 1993), cert. denied,  115 S. Ct.
                                                              

597  (1994) (Title VII); Sherpell v. Humnoke  Sch. Dist. No. 5 of
                                                                           

Lonoke  Cty., 750 F.Supp. 971,  980 (E.D. Ark.  1990), aff'd, 985
                                                                      

F.2d  566 (8th Cir. 1991)  (finding that "there  could be no `ad-

verse employment action' by defendant until plaintiff applied for

a  job") (Title VII  discrimination and retaliation  claims).  We

accordingly hold that  the mere  posting of a  position does  not

constitute an  "adverse employment action" even  though the posi-

tion posted is known to encompass a prior position from which the

plaintiff  was  demoted  or transferred,  provided  the plaintiff

                    
                              

     8Although  LaRou claims to have sent a letter to the person-
nel director explaining  why he  was not applying  for the  newly
posted position, it is not included in the record on appeal.  See
                                                                           
Real v.  Hogan 828 F.2d 58,  60 (1st Cir. 1987)("If  [the record]
                        
proves  inconclusive, it is the appellant who must bear the brunt
of  an insufficient  record  on appeal.").    See also  Moore  v.
                                                                       
Murphy,  47 F.3d  8,  10-11 (1st  Cir.  1995); United  States  v.
                                                                       
Mottolo, 26 F.3d 261, 264 n.3 (1st. Cir. 1994).
                 

                                13


received  proper notice of the posted position and elected not to

apply.

          The district court judgment is  affirmed, without costs
                                                                           

to either party. 
                         

                                14