United States Court of Appeals
For the First Circuit
No. 03-1520
GARY A. BENNETT,
Plaintiff, Appellee,
v.
CITY OF HOLYOKE,
Defendant, Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF MASSACHUSETTS
[Hon. Michael A. Ponsor, U.S. District Judge]
Before
Selya, Circuit Judge,
Coffin, Senior Circuit Judge,
and Smith,* District Judge.
John H. Fitz-Gibbon, with whom Harry L. Miles and Green,
Miles, Lipton, White & Fitz-Gibbon were on brief, for appellant.
Tani E. Sapirstein, with whom Sapirstein & Sapirstein was on
brief, for appellee.
March 22, 2004
*
Of the District of Rhode Island, sitting by designation.
SELYA, Circuit Judge. After a jury found for plaintiff-
appellee Gary A. Bennett in a whistleblower action, his employer,
the City of Holyoke (the City), sought to set aside the verdict by
reason of the plaintiff's failure to comply with a statutory notice
requirement. Alternatively, it asked the district court to
defenestrate the ancillary award of prejudgment interest. The
court rejected both of these overtures, and the City appealed. We
affirm: the City has not properly preserved the first issue and
the Massachusetts whistleblower statute broadly authorizes awards
of prejudgment interest against municipal defendants.
I. BACKGROUND
The plaintiff served as a Holyoke police officer for
twenty-one star-crossed years. The district court's opinion on
summary judgment, Bennett v. City of Holyoke, 230 F. Supp. 2d 207,
213-19 (D. Mass. 2002), chronicles the long history of rancor
between the plaintiff and the police department, and we need not
rehearse that history here. For our purposes, it suffices to say
that, during his tenure, the plaintiff became a self-appointed
crusader against what he perceived as corruption at the highest
levels of the police department. In time, he filed a complaint on
behalf of a fellow officer with the Massachusetts Commission
Against Discrimination (MCAD) and shared the results of his
internal investigations with the state Attorney General.
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According to the plaintiff, these steps provoked
immediate retaliation by those in power. They disciplined him for
failing to comply with a departmental policy requiring officers to
follow certain procedures before complaining to outside agencies.
Then, they twice passed him over for promotion to lieutenant
despite his outstanding test scores. The plaintiff responded by
filing another MCAD complaint, this time on his own behalf. The
relationship between the parties went steadily downhill from there.
In 1998, the plaintiff retired. In short order, he sued
the City, the mayor, and several police department hierarchs. His
complaint, filed in a Massachusetts state court, limned mainly
state-law claims but included a claim brought pursuant to 42 U.S.C.
§ 1983. Seizing upon this appendage, the defendants removed the
action to the United States District Court for the District of
Massachusetts. See 28 U.S.C. §§ 1331, 1441.
In due course, the district court disposed of several of
the claims on summary judgment. Bennett, 230 F. Supp. 2d at 231-
32. It then embarked upon a six-day trial with respect to the
remaining claims. The jury found for the defendants on most of
those claims,1 but returned a $90,000 verdict against the City on
1
The plaintiff has prosecuted a cross-appeal seeking to set
aside the judgment on some of his unsuccessful claims (No. 03-
1525). Although we consolidated the two appeals for briefing and
argument, we decide them in separate opinions.
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the whistleblower claim. The court subsequently added $41,278 in
prejudgment interest and entered judgment accordingly.
The City responded with, inter alia, a motion to alter or
amend the judgment, Fed. R. Civ. P. 59(e), by striking the award of
prejudgment interest. The district court denied the motion. The
City subsequently moved for relief from the judgment, Fed. R. Civ.
P. 60(b), on the ground that the plaintiff had not complied with
the notice provisions of the whistleblower statute. The court
denied that motion as well. This appeal followed.
II. APPELLATE JURISDICTION
Before reaching the merits of the appeal, we must address
a threshold matter. The plaintiff notes that the City filed its
notice of appeal a day late and maintains that this court lacks
jurisdiction to hear the appeal. The City parries this thrust by
pointing to the district court's extension of the filing date. The
plaintiff replies that the extension was improvidently granted
(and, thus, impuissant).
We recount the background needed to resolve this impasse.
The applicable rule requires the filing of a notice of appeal in a
civil case, not involving the federal government, "within 30 days
after the judgment or order appealed from is entered." Fed. R.
App. P. 4(a)(1)(A). This thirty-day period does not begin to run
until after the entry of the order disposing of a motion for
attorneys' fees so long as "the district court extends the time to
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appeal under Rule 58." Fed. R. App. P. 4(a)(4)(A)(iii). The
district court granted such an extension here, so that a notice of
appeal would be considered timely if filed within thirty days of
the court's adjudication of the plaintiff's application for
attorneys' fees.
On March 6, 2003, the court issued a memorandum and order
in which it awarded attorneys' fees to the plaintiff. That order
started the running of the thirty-day period. See Fed. R. App. P.
4(a)(7)(A)(i) (providing that "entry" occurs at docketing for those
orders the disposition of which does not require a separate
document); see also Fed. R. Civ. P. 58(a)(1)(C) (stating that an
order disposing of a motion for attorneys' fees does not require a
separate document). Thus, the last day for filing a notice of
appeal was Monday, April 7, 2003. See Fed. R. Civ. P. 6(a)
(explaining how time periods are computed).
On March 18, however, the district court issued an
amended judgment that, in effect, replicated its March 6 order. On
April 8, 2003 — one day after the deadline — the City filed its
notice of appeal and moved for a one-day extension. It asserted
that it had been misled by the gratuitous entry of the amended
judgment on March 18 and had assumed (erroneously, as matters
turned out) that the appeal period would run from the date of that
amended judgment.
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The district court accepted this explanation and granted
the one-day extension. In doing so, the court acknowledged that
its own actions (in particular, the entry of the amended judgment)
had created "confusion over the date of the [attorneys' fee]
ruling." On this basis, the court determined that the City's
neglect (i.e., not filing its notice of appeal on or before April
7) was excusable. The plaintiff challenges this determination.
Although the time parameters for filing notices of appeal
usually are deemed "mandatory and jurisdictional," Browder v. Dir.,
Dep't of Corr., 434 U.S. 257, 264 (1978), those time parameters may
be extended upon a showing of "excusable neglect or good cause."
Fed. R. App. P. 4(a)(5)(A)(ii). That is precisely what the lower
court found in this instance. We review a trial court's decision
as to the existence vel non of excusable neglect for abuse of
discretion. Mirpuri v. ACT Mfg., Inc., 212 F.3d 624, 627 (1st Cir.
2000). We discern none here.
Under the excusable neglect rubric, courts are permitted,
when appropriate, to accept late filings caused by inadvertence or
mistake. See Pioneer Inv. Servs. Co. v. Brunswick Assocs. Ltd.
P'ship., 507 U.S. 380, 388 (1993) (interpreting "excusable neglect"
under the bankruptcy rules); see also Virella-Nieves v. Briggs &
Stratton Corp., 53 F.3d 451, 454 n.3 (1st Cir. 1995) (holding that
"Pioneer's exposition of excusable neglect . . . applies equally to
Fed. R. App. P. 4(a)(5)"). A trial court's determination as to
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whether an instance of neglect is (or is not) excusable has a
significant equitable component and must give due regard to the
totality of the relevant circumstances surrounding the movant's
lapse. Pioneer, 507 U.S. at 395.
Here, the circumstances plainly support the district
court's ruling. The one-day delay in this case was very brief; the
entry of an essentially duplicative order obfuscated matters,
rendering the delay (as the district court put it)
"understandable"; and there is no indication of either bad faith or
undue prejudice. The lower court, which had the best coign of
vantage, concluded that a one-day delay, in these circumstances,
constituted excusable neglect — and there is no principled way that
we can label that conclusion an abuse of discretion. Where, as
here, a district court takes an unusual procedural step and then
admits that its actions have caused confusion over the proper time
for filing a notice of appeal, an appellate court should not deem
the decision to grant a brief extension of the filing date an abuse
of discretion without some compelling justification for doing so.
See, e.g., Alpha State Bank v. Ohio Casualty Ins. Co., 941 F.2d
554, 556 n.2 (7th Cir. 1991); see also Mirpuri, 212 F.3d at 631
(noting that "a plausible misconstruction" of a court order
sometimes may satisfy the requirements for excusable neglect).
There is no such justification here.
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For these reasons, we conclude that we have jurisdiction
over the City's appeal.
III. THE WHISTLEBLOWER CLAIM
We turn next to the first of the City's two assignments
of error. To recapitulate, after judgment had entered on the
whistleblower claim, the City sought to set it aside on the ground
that the plaintiff had failed to satisfy the notice requirement of
the Massachusetts whistleblower statute, Mass. Gen. Laws ch. 149,
§ 185. The district court denied the motion, ruling that "[t]he
notice issue, in the form now presented, was not raised with
sufficient clarity before trial to justify disturbing the verdict."
We review that ruling for abuse of discretion. See Farm Credit
Bank v. Ferrera-Goitia, 316 F.3d 62, 65-66 (1st Cir. 2003). "We
will find an abuse of discretion when we are convinced that the
district court has made an error of law or has reached a plainly
erroneous decision." Id. at 66.
The Massachusetts whistleblower statute prohibits a
public employer — including a municipality, Mass. Gen. Laws ch. 149
§ 185(a)(2) — from taking any retaliatory action against an
employee who engages in protected activities. Retaliatory action
is defined to include discharge, suspension, demotion, or any other
action that adversely affects the terms and conditions of the
employment. Id. § 185(a)(5). Protected activities include
disclosing "to a public body an activity, policy or practice of the
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employer . . . that the employee reasonably believes is in
violation of a law." Id. § 185(b)(1). The term "public body" is
defined broadly to include legislative, judicial, administrative,
and law enforcement agencies at the federal, state, and local
levels. Id. § 185(a)(3).
The whistleblower statute gives an aggrieved employee a
private right of action against his or her employer. Id. § 185(d).
Most whistleblower plaintiffs — there are exceptions, but we shall
assume for argument's sake that none applies here — must satisfy a
statutory notice requirement. According to the requirement, "the
protection against retaliatory action . . . shall not apply to an
employee who makes a disclosure to a public body unless the
employee has brought the [allegedly illegal or corrupt] activity .
. . to the attention of a supervisor . . . by written notice and
has afforded the employer a reasonable opportunity to correct the
activity." Id. § 185(c)(1). Since filing a suit constitutes
disclosure to a public body, a prospective whistleblower plaintiff
must give written notice of the alleged wrongdoing to the employer
before filing a civil action. Dirrane v. Brookline Police Dep't,
315 F.3d 65, 73 (1st Cir. 2002).
The City contends that the plaintiff failed to provide it
with this advance notice before filing suit, and the record
supports this claim. The rub, however, is that the City did not
rely upon this notice defense in the pretrial proceedings, at the
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trial itself, during the charge conference, or in its motion for
judgment as a matter of law. When a party persistently sleeps upon
its rights, waiver almost inevitably results. Amcel v. Int'l
Executive Sales, Inc., 170 F.3d 32, 35 (1st Cir. 1999) (finding
waiver when affirmative defense was not raised in pretrial papers,
during trial, or in motion for judgment as a matter of law); Correa
v. Hosp. San Francisco, 69 F.3d 1184, 1195 (1st Cir. 1995) (same).
By the time that the City advanced the defense for the first time
in a post-trial motion for relief from judgment, it was too late.
The City offers several rebuttal arguments. First, it
notes that it referred to the notice requirement in its answer to
the complaint. But this was, at most, a glancing reference — and
the City never followed through. Simply mentioning a possible
defense in an initial pleading, without further development in
subsequent stages of the proceedings, does not preserve it for
post-trial review. Violette v. Smith & Nephew Dyonics, Inc., 62
F.3d 8, 11 (1st Cir. 1995); Wallace Motor Sales, Inc. v. Am. Motor
Sales Corp., 780 F.2d 1049, 1067 (1st Cir. 1985).
The City also points out that it successfully contended
in its motion for summary judgment that the plaintiff's failure to
provide the statutorily required notice barred claims of
retaliation stemming from the filing of charges with the MCAD. See
Bennett, 230 F. Supp. 2d at 219-20 (granting partial summary
judgment for the City on this ground). The City now suggests that
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its raising of the notice defense in one context preserved that
defense for all purposes. This is wishful thinking. The City's
notice defense was tailored to the plaintiff's MCAD complaints. It
did not address the plaintiff's failure to give notice either
before complaining to the Attorney General or before filing suit.
See id. at 220. As a result, the whistleblower claim went to the
jury solely on the allegation of retaliation for the plaintiff's
contacts with the state Attorney General.
That effectively rebuts the City's argument. Because the
City did not previously argue what it argues now — that the
plaintiff's failure to provide written notice before filing suit
bars his whistleblower action in toto — it waived that defense.
Raising a defense to a particular claim does not automatically
preserve that defense with respect to other independent claims.
See Kelly v. Foti, 77 F.3d 819, 822-23 (5th Cir. 1996); cf. Beddall
v. State St. Bank & Trust Co., 137 F.3d 12, 22 (1st Cir. 1998)
(explaining that a party cannot preserve a claim by raising a
related but factually distinct claim below).
The City's next argument focuses on timing. The district
court entered judgment on the jury verdict on December 2, 2002; the
City filed its original post-trial motions on December 10 and 11;
and this court decided Dirrane on December 31. Based on this
chronology, the City insists that we should excuse its lapses
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because it acted celeritously, i.e., it raised the defense on
January 15, 2003 (roughly two weeks after Dirrane was decided).
This argument fails. While the raise-or-waive rule is
subject to a narrow equitable exception under which "a party cannot
be deemed to have waived objections or defenses which were not
known to be available at the time they could first have been made,"
Holzsager v. Valley Hosp., 646 F.2d 792, 796 (2d Cir. 1981), this
court has applied that exception with great circumspection.
Ordinarily, we will invoke the exception and excuse a party from
failing seasonably to have raised a defense only if (i) at the time
of the procedural default, a prior authoritative decision indicated
that the defense was unavailable, and (ii) the defense became
available thereafter by way of supervening authority (say, an
overruling of the prior decision or a legislative clarification).
See United States v. Lopez-Pena, 912 F.2d 1542, 1549 (1st Cir.
1989). Put another way, we will excuse a party for failing to
raise a defense only when the defense, if timely asserted, would
have been futile under binding precedent. See id. (refusing to
excuse the failure to object when "no binding rule in this circuit
. . . necessarily foredoomed an objection"). Other courts have
followed this same general praxis. See Curtis Pub. Co. v. Butts,
388 U.S. 130, 143-45 (1967); Holzsager, 646 F.2d at 794-96.
That is not the situation here. Dirrane interpreted the
notice provision of the whistleblower statute to require written
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notice before the filing of a whistleblower action. Dirrane, 315
F.3d at 73. Although that interpretation is certainly not the only
possible reading of the statutory language, see, e.g., Wagner v.
City of Holyoke, 241 F. Supp. 2d 78, 97-99 (D. Mass. 2003), it did
not contradict any previously binding precedent. When this case
was tried, no court had authoritatively construed this aspect of
the notice provision, and the question of whether filing a lawsuit
constituted a public disclosure sufficient to trigger the notice
requirement was wide open. Under these circumstances, the defense
was fairly available. Accordingly, we adhere to prior practice,
see, e.g., United States v. Terry, 240 F.3d 65, 73 (1st Cir. 2001);
Lopez-Pena, 912 F.2d at 1549, and hold the City to the natural
consequences of its procedural default. The absence of precedent
directly on point does not excuse a party's failure to assert an
available defense.
The City's last, and most bruited, argument is equally
unavailing. It invokes the familiar principle that the absence of
subject matter jurisdiction can be raised at any point in the
proceedings. See, e.g., Kontrick v. Ryan, 124 S. Ct. 906, 915
(2004) ("A litigant generally may raise a court's lack of subject-
matter jurisdiction at any time in the same civil action, even
initially at the highest appellate instance."); Mansfield, C. & L.
Ry. Co. v. Swan, 111 U.S. 379, 382 (1884) (same); Capron v. Van
Noorden, 6 U.S. (2 Cranch) 126, 127 (1804) (same); see also Fed. R.
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Civ. P. 12(h)(3). Building on this solid foundation, the City
hypothesizes that a plaintiff's failure to give written notice as
required by section 185(c)(1) deprives the court of jurisdiction
over any ensuing civil action under the whistleblower statute, see
Mass. Gen. Laws ch. 149, § 185(c)(1) (stating that "the protection
against retaliatory action . . . shall not apply" to a plaintiff
who fails to give the required notice) (emphasis supplied), and
therefore can be raised for the first time post-verdict.
We regard it as a bedrock principle that federal courts
are courts of limited jurisdiction and, thus, cannot adjudicate a
case in the absence of constitutional or congressional authority.
Ins. Corp. of Ir. v. Compagnie des Bauxites de Guinee, 456 U.S.
694, 701 (1982). We have adhered to this principle in finding
nonwaivable objections that go to a federal court's power to
adjudicate a case. See, e.g., Halleran v. Hoffman, 966 F.2d 45, 47
(1st Cir. 1992); United States v. AVX Corp., 962 F.2d 108, 116 n.7
(1st Cir. 1992). But that principle has no application here: the
notice requirement in section 185(c)(1), while obligatory, is not
jurisdictional in the requisite sense.
A rule does not become jurisdictional simply because it
speaks in mandatory language. See Prou v. United States, 199 F.3d
37, 46 (1st Cir. 1999) (noting that if obligatory language were
determinative of waiver, "a whole range of constitutional and
statutory provisions employing compulsory language would give rise
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to nonwaivable claims"). Jurisdictional requirements are those
that affect a court's constitutional or statutory power to
adjudicate the case. Steel Co. v. Citizens for a Better Envmt.,
523 U.S. 83, 89 (1998). We conclude, without serious question,
that the statutory notice requirement is not jurisdictional in this
sense.
Fairly read, the notice requirement is a procedural
accouterment — no more, no less. It sets up a hoop through which
a whistleblower plaintiff must jump on his or her way to relief.
If the plaintiff fails to attempt the jump, the defendant has
available to it an affirmative defense (much like a statute of
limitations defense). And like other affirmative defenses, this
defense is fully subject to the ordinary rules of waiver. Cf.
Zipes v. Trans World Airlines, Inc., 455 U.S. 385, 393 (1982)
(holding that the timely filing of an EEOC charge is not a
jurisdictional prerequisite to filing a Title VII suit); Bonilla v.
Muebles J.J. Alvarez, Inc., 194 F.3d 275, 278 (1st Cir. 1999)
(similar; ADA suit); Vasys v. Metro. Dist. Comm'n, 438 N.E.2d 836,
839 (Mass. 1982) (holding that presentment requirement in the
Massachusetts Tort Claims Act is not jurisdictional and can be
waived if not timely raised).
Our characterization of the written notice requirement as
a waivable, nonjurisdictional affirmative defense jibes with recent
Supreme Court precedent. In Kontrick, the Court considered a
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bankruptcy rule providing that a "complaint objecting to the
debtor's discharge . . . shall be filed no later than 60 days after
the first date set for the meeting of creditors." Kontrick, 124 S.
Ct. at 911 (citing Fed. R. Bankr. P. 4004(a)). A creditor objected
to the discharge in an untimely pleading, but the debtor did not
raise the timeliness issue until after the bankruptcy court's
determination on the merits. The Court rejected the debtor's
attempt to characterize the notice requirement as "jurisdictional,"
holding that despite Rule 4004(a)'s mandatory language, it did no
more than provide the debtor with an affirmative defense to an
untimely complaint. Id. at 916-18. Like other affirmative
defenses, the defense could be forfeited if not raised at the
proper time. Id.
Characterizing the written notice requirement as a
waivable, nonjurisdictional affirmative defense is also consistent
with its underlying purpose. We recently observed that the
requirement "gives the employer one last chance to correct
wrongdoing before the employee goes public with his accusations."
Dirrane, 315 F.3d at 73. As such, the requirement inures to the
benefit of the employer. We see no reason why an employer cannot,
consistent with the statute, choose to relinquish that protection
in a given case. See, e.g., Prou, 199 F.3d at 47 ("Because [the
section's] temporal requirements exist for the defendant's benefit,
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it makes perfect sense to give the defendant the power to waive
(and the obligation not to forfeit) strict compliance with them.").
The short of it is that the City neglected to raise the
absence of advance written notice at any point prior to its post-
verdict motion. It has offered no plausible basis on which that
neglect might be excused. Accordingly, we sustain the lower
court's determination that the City waived its objection to the
absence of the notice required by Mass. Gen. Laws ch. 149, §
185(c)(1).2
IV. PREJUDGMENT INTEREST
The district court added $41,278 in prejudgment interest
to the jury's verdict. The City moved to strike the award on the
ground that the whistleblower statute does not authorize
prejudgment interest. The district court rebuffed this challenge.
2
The parties have briefed this issue as a matter of waiver vel
non, and we have honored their choice of phrase. We recognize,
however, that the City's failure to raise the defense might more
appropriately be termed a forfeiture. See United States v. Olano,
507 U.S. 725, 733 (1993) ("Whereas forfeiture is the failure to
make the timely assertion of a right, waiver is the intentional
relinquishment or abandonment of a known right.") (citation and
internal quotation marks omitted); United States v. Rodriguez, 311
F.3d 435, 437 (1st Cir. 2002) (same), cert. denied, 538 U.S. 937
(2003). The distinction can have practical implications because
forfeited arguments, unlike waived arguments, may be subject to
plain error review. See Olano, 507 U.S. at 733-34; Rodriguez, 311
F.3d at 437. Here, however, this difference is of no moment.
Under plain error review, an error will not be recognized unless,
among other things, it "seriously impaired the fairness, integrity,
or public reputation of judicial proceedings." United States v.
Duarte, 246 F.3d 56, 60 (1st Cir. 2001). The omission of advance
written notice had no impact whatsoever on the fairness, integrity,
or public repute of the proceedings in this case.
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The City's assignment of error poses an isthmian question of
statutory interpretation: does the Massachusetts whistleblower
statute authorize the automatic addition of prejudgment interest to
damage awards? Questions about whether a statute authorizes
certain types of damages in particular instances are
quintessentially legal in nature, so this question engenders de
novo review. Protective Life Ins. Co. v. Dignity Viatical Sett.
Partners, 171 F.3d 52, 54 (1st Cir. 1999); Correa, 69 F.3d at 1195.
Our starting point is, of course, the text of the
statute. Plumley v. S. Container, Inc., 303 F.3d 364, 369 (1st
Cir. 2002); Rambert v. Commonwealth, 452 N.E.2d 222, 223-24 (Mass.
1983). When the statutory language "points unerringly in a single
direction, and produces an entirely plausible result, it is
unnecessary — and improper — to look for other signposts." United
States v. Charles George Trucking Co., 823 F.2d 685, 688 (1st Cir.
1987). This is such a case.
Section 185(d) delineates the remedies available to
whistleblower plaintiffs.3 The section is structured in two tiers.
3
The section reads:
Any employee or former employee aggrieved of a
violation of this section may, within two years,
institute a civil action in the superior court. Any
party to said action shall be entitled to claim a jury
trial. All remedies available in common law tort actions
shall be available to prevailing plaintiffs. These
remedies are in addition to any legal or equitable relief
provided herein. The court may: (1) issue temporary
restraining orders or preliminary or permanent
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The first tier declares that "[a]ll remedies available in common
law tort actions shall be available to prevailing [whistleblower]
plaintiffs." The second tier adds a list of additional remedies
that the court may, in its discretion, award to prevailing
plaintiffs. This list includes such perquisites as injunctive
relief, multiple damages, and attorneys' fees.
We think it is plain that the first tier encompasses
prejudgment interest. The language is direct and unequivocal, and
Massachusetts law grants prejudgment interest, as a matter of
right, to prevailing plaintiffs "[i]n any action in which a verdict
is rendered or a finding made . . . for pecuniary damages for
personal injuries," directing the clerk of court to add such
interest to the amount of damages "at the rate of twelve per cent
per annum from the date of commencement of the action." Mass. Gen.
Laws ch. 231, § 6B.
Section 6B is broad in its scope. It applies to
compensatory damage awards in all tort and tort-like causes of
action for, inter alia, injuries to the person. See Blockel v.
injunctions to restrain continued violation of this
section; (2) reinstate the employee to the same position
held before the retaliatory action, or to an equivalent
position; (3) reinstate full fringe benefits and
seniority rights to the employee; (4) compensate the
employee for three times the lost wages, benefits and
other remuneration, and interest thereon; and (5) order
payment by the employer of reasonable costs, and
attorneys' fees.
Mass. Gen. Laws ch. 149, § 185(d).
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J.C. Penney Co., 337 F.3d 17, 29-30 & n.4 (1st Cir. 2003)
(employment discrimination); Patry v. Liberty Mobilhome Sales,
Inc., 475 N.E.2d 392, 394-95 (Mass. 1985) (unfair or deceptive
trade practices); see also Shawmut Cmty. Bank v. Zagami, 586 N.E.2d
962, 966 (Mass. 1992) (collecting cases). Moreover, its command
that prejudgment interest shall be added at the specified rate
applies unreservedly to all such awards. See Griffin v. Gen.
Motors Corp., 403 N.E.2d 402, 406 (Mass. 1980). Viewed in this
light, there can be no doubt but that, in the idiom of section
185(d), prejudgment interest is a "remed[y] available in common law
tort actions" in Massachusetts. Consequently, the plain meaning of
section 185(d) indicates that the plaintiff was entitled to
prejudgment interest on the award of compensatory damages.
We have every reason to believe that the drafters of
section 185(d) intended this straightforward result. Section 6B
was in force long before the legislature passed the whistleblower
statute. Thus, it seems fair to presume that the legislature was
aware of the interest-on-verdicts statute when it enacted the
whistleblower law and that the legislature intended the natural
consequences of the language that it used in crafting the newer
statute. Charland v. Muzi Motors, Inc., 631 N.E.2d 555, 557 (Mass.
1994).
The task of statutory construction often is informed by
reading the whole of a statute, Plumley, 303 F.3d at 370, and an
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holistic appraisal of section 185(d) strongly supports the
conclusion that prevailing whistleblower plaintiffs are entitled to
prejudgment interest on compensatory damage awards. Section
185(d)'s overall structure indicates the drafters' intent to
provide successful whistleblower plaintiffs with remedies above and
beyond those generally available to tort plaintiffs. A good
example is the language that gives the trial court the authority to
order reinstatement — a remedy not commonly available to tort
plaintiffs. See Rosario-Torres v. Hernandez-Colon, 889 F.2d 314,
321 (1st Cir. 1989) (en banc) (describing reinstatement as an
equitable remedy); see also Dan B. Dobbs, 1 The Law of Torts § 1
(2001); 2 op. cit. supra §§ 377, 455. Another example is the
provision that gives the trial court discretion to order payment of
reasonable attorneys' fees. That contradicts the American rule,
followed in Massachusetts, that each party ordinarily must defray
his or her own legal expenses. See, e.g., Waldman v. Am. Honda
Motor Co., 597 N.E.2d 404, 406-07 (Mass. 1992). Depriving
prevailing whistleblower plaintiffs of a remedy — prejudgment
interest — that is broadly available to prevailing tort plaintiffs
in Massachusetts is flatly inconsistent with this philosophy.
In lobbying for a different construction of section
185(d), the City points to the second tier's remedial array. The
statutory language authorizing an award of "three times the lost
wages, benefits and other remuneration, and interest thereon,"
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Mass. Gen. Laws ch. 149, § 185(d)(4), shows — or so the City says
— that the legislature did not intend to authorize an award of
interest in any other circumstance. That is resupinate reasoning,
and we reject it.
Under the City's balkanized reading of section 185(d),
prejudgment interest would be available on punitive damage awards
but unavailable on compensatory damage awards. This would stand
the usual rule on its head. In tort cases, Massachusetts mandates
prejudgment interest on compensatory damages but prohibits
prejudgment interest on punitive damages.4 See, e.g., Mirageas v.
MBTA, 465 N.E.2d 232, 236 (Mass. 1984). Courts should not strain
to interpret a statute in a way that would produce an entirely
illogical result, United States v. O'Neil, 11 F.3d 292, 297 (1st
Cir. 1993); 2A Norman J. Singer, Sutherland Statutory Construction
§ 45.12 (6th ed. 2000), and we decline to do so here. Section
185(d)(4)'s authorization of interest on multiple damages is most
naturally read as an expansion of the usual rule authorizing
prejudgment interest only on compensatory damages, not as a
truncation of that rule.
4
This rule is based on sound policy. The fundamental purpose
of prejudgment interest is to ensure that compensatory damages make
an injured party whole. Conway v. Electro Switch Corp., 523 N.E.2d
255, 258 (Mass. 1988). Such interest is inappropriate on punitive
damages, however, because it is not meant "to penalize the
wrongdoer or to make the damaged party more than whole." McEvoy
Travel Bureau, Inc. v. Norton Co., 563 N.E.2d 188, 196 (Mass.
1990).
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As a fallback, the City says that the quoted language
must at least mean that interest is restricted to economic damages.
Since the jury failed to indicate what portion of the $90,000
damage award was intended as compensation for economic loss (as
opposed to compensation for emotional distress), the district court
should not have tacked on prejudgment interest.
This argument lacks force. As discussed above, we find
the authority for prejudgment interest awards not in section
185(d)(4), but, rather, in the general "first tier" language of
section 185(d), which provides prevailing whistleblower plaintiffs
with "[a]ll remedies available in common law tort actions."
Because that is so, prejudgment interest is available — as in any
Massachusetts tort action — on both economic and non-economic
damages (save only punitive damages). See, e.g., Wynn & Wynn, P.C.
v. MCAD, 729 N.E.2d 1068, 1072 n.3 (Mass. 2000). We do not believe
that section 185(d)(4) sensibly can be read to restrict the
operation of this general rule.
In a last-ditch effort to cut its losses, the City
asseverates that the granting of prejudgment interest flouts the
fundamental principle that waivers of sovereign immunity are to be
construed narrowly. This asseveration contains more cry than wool.
Massachusetts municipalities historically have enjoyed
sovereign immunity shielding them from liability for the tortious
acts of their officers or employees. See, e.g., Whitney v. City of
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Worcester, 366 N.E.2d 1210, 1213-14 (Mass. 1977). But
municipalities are creatures of the state, and the state
legislature has the right to strip away municipal immunity in whole
or in part. Bain v. City of Springfield, 678 N.E.2d 155, 159-60
(Mass. 1997). The Massachusetts whistleblower statute does just
that: it gives aggrieved parties the right to institute suits for
damages against, inter alia, cities and towns. Mass. Gen. Laws ch.
194, § 185(a)(2).
Of course, statutes that are in derogation of sovereign
immunity should be construed narrowly. See Woodbridge v. Worcester
State Hosp., 423 N.E.2d 782, 784-85 (Mass. 1981); see also In re
Perry, 882 F.2d 534, 538 (1st Cir. 1989) (noting that when a
statute constitutes a waiver of sovereign immunity, "its words must
be narrowly construed and its borders rigorously observed"). Thus,
courts must be careful not to extend a plaintiff's right to recover
against a sovereign "beyond those [rights] expressly conferred by
statute." Broadhurst v. Dir. of Div. of Emp. Sec., 369 N.E.2d
1018, 1023 (Mass. 1977) (quoting Gurley v. Commonwealth, 296 N.E.2d
477, 481 (Mass. 1973)).
That imperative, however, merely commemorates a
background rule of construction. It does not make the sovereign
bulletproof, nor does it require that a court abandon the usual
tools of the interpretive trade. Whatever the background rule of
construction, legislative intent, as expressed in the text of the
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statute, remains the key determinant of the scope of a waiver of
sovereign immunity. United States v. Idaho, 508 U.S. 1, 6-7
(1993); Bain, 678 N.E.2d at 160.
Here, that intent is manifest. As we already have
explained, reading the statute as the City suggests would ignore
the plain meaning of the words chosen by the drafters, distort the
statutory structure, and countervail the legislature's discernible
intent. To impose such a reading in the name of narrow
construction would give narrow construction a bad name.
V. CONCLUSION
We need go no further. For the reasons elucidated above,
we conclude that the district court properly denied both the City's
motion for relief from judgment and its motion to strike the award
of prejudgment interest.
Affirmed.
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