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Ronald E. GALELLA, Plaintiff-Appellant,
v.
Jacqueline ONASSIS, Defendant-Appellee, John Walsh et al.,
Defendants, and
United States of America, Intervenor-Appellee.
487 F.2d 986
Nos. 260, 618 and 619, Dockets 71-1902, 72-1993 and 72-2312.
United States Court of Appeals, Second Circuit.
Argued April 10, 1973.
Decided Sept. 13, 1973.
Rehearing and Rehearing En Banc Denied Nov. 13, 1973.
J. JOSEPH SMITH, Circuit Judge:
Donald Galella, a free-lance photographer, appeals from a
summary judgment dismissing his complaint against three Secret
Service agents for false arrest, malicious prosecution and interference
with trade (S.D.N.Y., Edward C. McLean, Judge), [FN1] the dismissal
after trial of his identical complaint against Jacqueline Onassis
and the grant of injunctive relief to defendant Onassis on her
counterclaim and to the intervenor, the United States, on its
intervening complaint and a third judgment retaxing transcript
costs to plaintiff (S.D.N.Y., Irving Ben Cooper, Judge), 353
F.Supp. 196 (1972). In addition to numerous alleged procedural
errors, Galella raises the First Amendment as an absolute shield
against liability to any sanctions. The judgments dismissing
the complaints are affirmed; the grant of injunctive relief is
affirmed as herein modified. Taxation of costs against the plaintiff
is affirmed in part, reversed in part.
FN1. "MEMORANDUM DECISIONS BY THE COURT 70 Civ. 4348
The nature of this controversy between plaintiff, a professional
photographer, and defendant Jacqueline Onassis, the widow of
President Kennedy is briefly described in my memorandum on motion
No . 79 decided herewith.
The present motion is made by defendants Walsh, Kalafatis
and Connelly to dismiss the action against them for failure to
state a claim. They have supported their motion by affidavits.
I will treat it as a motion for summary judgment.
The moving defendants are Special Agents of the United States
Secret Service. The Secret Service is charged by statute with
the responsibility for protecting the persons of minor children
of a former president until they reach the age of 16. 18 U.S.C.
§ 3056. These defendants were assigned to protect the children
of President Kennedy, Caroline and John Jr., neither of whom
is sixteen. They were acting in that capacity throughout the
period involved in this action.
It is well settled that a government employee is immune from
suit for acts done in the course of his official duties within
the scope of his employment. Barr v. Mateo [Matteo] 360 U.S.
564 [79 S.Ct. 1335, 3 L.Ed.2d 1434] (1959); Gregoire v. Biddle,
177 F.2d 579 (2d Cir. 1949); Ove Gustavsson Contracting Co. v.
Floete, 299 F.2d 655 (2d Cir. 1962).
The question is whether these defendants were acting within
the scope of their employment in performing the acts of which
plaintiff complains. I have no doubt that they were. The fact
that plaintiff feels aggrieved by their acts is immaterial. Doubtless
this is a factual question but plaintiff's affidavits in opposition
to this motion do not raise a triable issue on this aspect of
the case. For sound policy reasons explained at length in the
decisions on the subject, these agents, under the circumstances
of this case are immune from suit and may not be called upon
to defend themselves against plaintiff's extravagant claims.
The decision of the Supreme Court in Bivens v. Six Unknown
Named Agents of the Federal Bureau of Narcotics [403 U.S. 388,
91 S.Ct. 1999, 29 L.Ed.2d 619] (June 21, 1971) relied upon by
plaintiff does not, in my opinion, require the denial of this
motion. Not only were the facts of that case very different from
those here, but more important, the Supreme Court expressly stated
that it was not passing upon the question of immunity from liability
by virtue of their official position. 39 U.S. Law Week at 4824.
The motion is granted. The action is dismissed as against
John Walsh, James Kalafatis and John Connelly. /s/ EDWARD McLEAN
USDJ Dated: July 2, 1971"
Galella is a free-lance photographer specializing in the making
and sale of photographs of well-known persons. Defendant Onassis
is the widow of the late President, John F. Kennedy, mother of
the two Kennedy children, John and Caroline, and is the wife
of Aristotle Onassis, widely known shipping figure and reputed
multimillionaire. John Walsh, James Kalafatis and John Connelly
are U. S. Secret Service agents assigned to the duty of protecting
the Kennedy children under 18 U.S.C. § 3056, which provides
for protection of the children of deceased presidents up to the
age of 16.
Galella fancies himself as a "paparazzo" (literally
a kind of annoying insect, perhaps roughly equivalent to the
English "*992 gadfly.") Paparazzi make themselves as
visible to the public and obnoxious to their photographic subjects
as possible to aid in the advertisement and wide sale of their
works. [FN2]
FN2. The newspapers report a recent incident in which one
Marlon Brando, annoyed by Galella, punched Galella, breaking
Galella's jaw and infecting Brando's hand.
Some examples of Galella's conduct brought out at trial are
illustrative. Galella took pictures of John Kennedy riding his
bicycle in Central Park across the way from his home. He jumped
out into the boy's path, causing the agents concern for John's
safety. The agents' reaction and interrogation of Galella led
to Galella's arrest and his action against the agents; Galella
on other occasions interrupted Caroline at tennis, and invaded
the children's private schools. At one time he came uncomfortably
close in a power boat to Mrs. Onassis swimming. He often jumped
and postured around while taking pictures of her party notably
at a theater opening but also on numerous other occasions. He
followed a practice of bribing apartment house, restaurant and
nightclub doormen as well as romancing a family servant to keep
him advised of themovements of the family.
After detention and arrest following complaint by the Secret
Service agents protecting Mrs. Onassis' son and his acquittal
in the state court, Galella filed suit in state court against
the agents and Mrs. Onassis. Galella claimed that under orders
from Mrs. Onassis, the three agents had falsely arrested and
maliciously prosecuted him, and that this incident in addition
to several others described in the complaint constituted an unlawful
interference with his trade.
Mrs. Onassis answered denying any role in the arrest or any
part in the claimed interference with his attempts to photograph
her, and counterclaimed for damages [FN3] and injunctive relief,
charging that Galella had invaded her privacy, assaulted and
battered her, intentionally inflicted emotional distress and
engaged in a campaign of harassment.
FN3. The damage claim was later dropped and a claim for violation
of New York Civil Rights Act §§ 50, 51 (McKinney's
Consol.Laws, c. 6 1948) added.
The action was removed under 28 U.S.C. § 1442(a) to the
United States District Court. On a motion for summary judgment,
Galella's claim against the Secret Service agents was dismissed,
the court finding that the agents were acting within the scope
of their authority and thus were immune from prosecution. At
the same time, the government intervened requesting injunctive
relief from the activities of Galella which obstructed the Secret
Service's ability to protect Mrs. Onassis' children. [FN4] Galella's
motion to remand the case to state court, just prior to trial,
was denied.
FN4. The Secret Service is responsible for protecting the
children of former presidents until the age of 16. 18 U.S.C.
§ 3056.
Certain incidents of photographic coverage by Galella, subsequent
to an agreement among the parties for Galella not to so engage,
resulted in the issuance of a temporary restraining order to
prevent further harassment of Mrs. Onassis and the children.
Galella was enjoined from "harassing, alarming, startling,
tormenting, touching the person of the defendant . . . or her
children . . . and from blocking their movements in the public
places and thoroughfares, invading their immediate zone of privacy
by means of physical movements, gestures or with photographic
equipment and from performing any act reasonably calculated to
place the lives and safety of the defendant . . . and her children
in jeopardy." Within two months, Galella was charged with
violation of the temporary restraining order; a new order was
signed which required that the photographer keep 100 yards from
the Onassis apartment and 50 yards from the person of the defendant
and her children. Surveillance was also prohibited.
Upon notice of consolidation of the preliminary injunction
hearing and trial *993 for permanent injunction, plaintiff moved
for a jury trial-nine months after answer was served, and to
remand to state court. The first motion was denied as untimely,
the second on grounds of judicial economy. Just prior to trial
Galella deposed Mrs. Onassis. Under protective order of this
court, the defendant was allowed to testify at the office of
the U. S. Attorney and outside the presence of Galella.
After a six-week trial the court dismissed Galella's claim
and granted relief to both the defendant and the intervenor.
Galella was enjoined from (1) keeping the defendant and her children
under surveillance or following any of them; (2) approaching
within 100 yards of the home of defendant or her children, or
within 100 yards of either child's school or within 75 yards
of either child or 50 yards of defendant; (3) using the name,
portrait or picture of defendant or her children for advertising;
(4) attempting to communicate with defendant or her children
except through her attorney.
[1][2][3][4] We conclude that grant of summary judgment and
dismissal of Galella's claim against the Secret Service agents
was proper. Federal agents when charged with duties which require
the exercise of discretion are immune from liability for actions
within the scope of their authority. Ordinarily enforcement agents
charged with the duty of arrest are not so immune. Bivens v.
Six Unknown Named Agents of Fed. Bur. of Narc., 456 F.2d 1339
(2d Cir. 1972). The protective duties assigned the agents under
this statute, however, require the instant exercise of judgment
which should be protected. The agents saw Galella jump into the
path of John Kennedy who was forced to swerve his bike dangerously
as he left Central Park and was about to enter Fifth Avenue,
whereupon the agents gave chase to the photographer. Galella
indicated that he was a press photographer listed with the New
York City Police; he and the agents went to the police station
to check on the story, where one of the agents made the complaint
on which the state court charges were based. Certainly it was
reasonable that the agents "check out" an individual
who has endangered their charge, [FN5] and seek prosecution for
apparent violation of state law which interferes with them in
the discharge of their duties.
FN5. Even where an absolute privilege has been denied police
officers charged with false arrest, good faith and reasonable
belief in the validity of the arrest is an affirmative defense.
See Pierson v. Ray, 386 U.S. 547, 555-557, 87 S.Ct. 1213, 18
L.Ed.2d 288 (1967) (§ 1983 action); Bivens, supra, 456 F.2d
at 1341, 1348; Boyd v. Huffman, 342 F.Supp. 787, 789 (N.D.Ohio,
W.D.1972).
[5] If an officer is acting within his role as a government
officer his conduct is at least within the outer perimeter of
his authority. Bivens, supra, 456 F.2d at 1345. [FN6] The Secret
Service agents were charged under 18 U.S.C. § 3056 with
"guarding against and preventing any activity by any individual
which could create a risk to the safety and well being of the
. . . children or result in their physical injury." It was
undisputed that the agents were on duty at the time, and there
was evidence that they believed John Kenendy to be endangered
by Galella's actions. Unquestionably the agents were acting within
the scope of their authority. [FN7]
FN6. Bivens suggests that so long as the officer is acting
in his role as a government agent he is acting within the "outer
perimeter of his line of duty." Bivens, supra, 456 F.2d
at 1348. Compare Spalding v. Vilas, 161 U.S. 483, 16 S.Ct. 631,
40 L.Ed. 780 (1896); Gregoire v. Biddle, 177 F.2d 579, 580-581
(2d Cir. 1949), cert. denied, 339 U.S. 949, 70 S.Ct. 803, 94
L.Ed. 1363 (1950); Barr v. Matteo, 360 U.S. 564, 572-573, 79
S.Ct. 1335, 3 L.Ed.2d 1434 (1959).
FN7. The failure to label the complaint as one made by an
officer does not alter the fact that the incident occurred while
the agents were unquestionably carrying out their duties of protection
of John's person.
[6][7] To be sure, even where acting within their authority,
not all federal agents are immune from liability. Immunity is
accorded officials whose decisions *994 involve an element of
discretion so that the decisions may be made without fear or
threat of vexatious or fictitious suits and alleged personal
liability. Ove Gustavsson Contracting Co. v. Floete, 299 F.2d
655, 659 (2d Cir. 1962), cert. denied, 374 U.S. 827, 83 S.Ct.
1862, 10 L.Ed.2d 1050 (1963). The issue in each case is whether
the public interest in a particular official's unfettered judgments
outweighs the private rights that may be violated. [FN8] See
Bivens, supra, 456 F.2d at 1346. The protective duties of the
agents on assignments similar to this warrant this protection.
[FN9] See Scherer v. Brennan, 379 F.2d 609 (7th Cir.), cert.
denied, 389 U.S. 1021, 88 S.Ct. 592, 19 L.Ed.2d 666 (1967).
FN8. Persons to whom immunity has been provided include: the
Attorney General of the United States, Directors of the Enemy
Alien Control Unit of the Department of Justice and the District
Director of Immigration who wrongfully arrested a plaintiff as
a German enemy alien and kept him in custody after establishment
of his French citizenship, Gregoire, supra; a Director of Rent
Stabilization who issued a press release defamatory to several
employees who had given out incorrect information concerning
the
compensation methods of employees of the department, information
which caused considerable Congressional criticism of the agency,
Barr, supra; government officials who through false reports of
plaintiff's failure to perform adequately on his contract caused
the contract to be canceled, Ove Gustavsson Contracting, supra;
Secret Service agents assigned to protect the President who kept
under close personal surveillance a firearms dealer who possessed
a large number of weapons near the President's temporary residence
when he refused to leave the area while the President was in
residence, Scherer, supra. See also Krause v. Rhodes, 471 F.2d
430, 445-446 (6th Cir. 1972) (O'Sullivan, J., concurring); Reese
v. Nixon, 347 F.Supp. 314, 317-318 (C.D.Cal.1972). See, generally,
Second Circuit Review, 39 Brooklyn L.Rev. 907, 943 (1973).
FN9. In Bivens the court stated that "the fiction that
this act [arrest] is not discretionary is maintained because
of the belief that the benefit to society derived from the protection
of personal liberties outweighs the detriment of perhaps deterring
vigorous police action." It based this interpretation on
(1) the lack of immunity for police officers under the common
law; (2) laxity of police regard for individual rights as reflected
in numerous cases before the courts; and (3) the lack of immunity
for state police under the Civil Rights Act. 456 F.2d at 1346-1347.
However, the duty of protecting the personages singled out
by Congress as in need of this extraordinary shield from likely
harm is toto coelo different from the normal police function
of arrest for law violation on warrant or on probable cause as
in Bivens.\
[8] Discrediting all of Galella's testimony [FN10] the court
found the photographer guilty of harassment, intentional infliction
of emotional distress, assault and battery, commercial exploitation
of defendant's personality, and invasion of privacy. Fully crediting
defendant's testimony, the court found no liability on Galella's
claim. Evidence offered by the defense showed that Galella had
on occasion intentionally physically touched Mrs. Onassis and
her daughter, caused fear of physical contact in his frenzied
attempts to get their pictures, followed defendant and her children
too closely in an automobile, endangered the safety of the children
while they were swimming, water skiing and horseback riding.
Galella cannot successfully challenge the court's finding of
tortious conduct. [FN11]
FN10. The court's findings on credibility are indeed broad,
but they are supported in the record. Galella demonstrated a
galling lack of respect for the truth and gave no indication
of any consciousness of the meaning of the oath he had taken.
Not only did he admit blatantly lying in his testimony, he admitted
attempting to have other witnesses lie for him.
FN11. Harassment is a criminal violation under New York Penal
Law § 240.25 (McKinney's Consol.Laws, c. 40, 1967) when
with intent to harass a person follows another in a public place,
inflicts physical contact or engages in any annoying conduct
without legitimate cause. Galella was found to have engaged in
this proscribed conduct. Conduct sufficient to invoke criminal
liability for harassment may be the basis for private action.
Cf. Long v. Beneficial Finance Co. of New York, 39 A.D.2d 11,
330 N.Y.S.2d 664 (1972).
[9][10] Finding that Galella had "insinuated himself
into the very fabric of Mrs. Onassis' life . . ." the court
framed its relief in part on the need to prevent further invasion
of the defendant's privacy. Whether or not this accords with
present New York law, there *995 is no doubt that it is sustainable
under New York's proscription of harassment. [FN12]
FN12. See n. 11, supra. Although the New York courts have
not yet recognized a common law right of privacy, if we were
required to reach the question, we would be inclined to agree
with the court below that when again faced with the issue the
Court of Appeals may well modify or distinguish its 1902 holding
in Roberson v. Rochester Folding-Box Co., 171 N.Y. 538, 64 N.E.
442 (1902), that "The so-called right of privacy has not
as yet found an abiding place in our jurisprudence." There
is substantive support today for the proposition that privacy
is a "basic right" entitled to legal protection, Time
v. Hill, 385 U.S. 374, 415, 87 S.Ct. 534, 17 L.Ed.2d 456 (1967)
(Fortas, J., dissenting), nor can the "power of a State
to control and remedy such intrusion [even] for news gathering
purposes . . . be denied." Id. at 404, 87 S.Ct. at 550 (Harlan,
J., concurring and dissenting). Privacy essential to individual
dignity and personal liberty underlies the fundamental rights
guaranteed in the Bill of Rights. See Katz v. United States,
389 U.S. 347, 350 n. 5, 88 S.Ct. 507, 19 L.Ed.2d 576 (1967);
Tehan v. U. S. ex rel. Shott, 382 U.S. 406, 416, 86 S.Ct. 459,
15 L.Ed.2d 453 (1966) (Fifth Amendment); Stanley v. Georgia,
394 U.S. 557, 564-566, 89 S.Ct. 1243, 22 L.Ed.2d 542 (1969) (First
and Fourteenth Amendments). See also Time v. Hill, supra, 385
U.S. at 412-415, 87 S.Ct. 534; Bloustein, Privacy As An Aspect
of Human Dignity: An Answer to Dean Prosser, 39 N.Y.U. L.Rev.
962, 971 (1964); Fried, Privacy, 77 Yale L.J. 475, 482ff (1968).
There is an emerging recognition of privacy as a distinct, constitutionally
protected right. Roe v. Ingraham, 480 F.2d 102 (2d Cir., 1973),
(Friendly, J.)
While the Constitution provides protection for specific manifestations
of privacy ". . . the protection of a person's general right
to privacy-his right to be let alone by other people is like
the protection of his property and his very life left largely
to the law of the individual states. . . ." Katz, supra,
389 U.S. at 350-351, 88 S.Ct. at 511, citing Warren & Brandeis,
Right to Privacy, 4 Harv. L.Rev. 193 (1890).
The vast majority of states have now recognized and protect
a right to privacy. Restatement of Torts 2d § 652(a), comment
a (Tent.Draft No. 13, 1967). Statutory protection has been afforded
the right in New York through imposition of criminal sanctions
for invasion of privacy through the use of mechanical devices
for wiretap and eavesdropping and for tampering with certain
private communications. New York Penal Code §§ 250.00-250.35
(McKinney, 1967).
Although not recognizing a right to privacy as such except
as defined by statute, the New York courts have softened this
rule in many cases by recognizing and liberally applying freedom
from emotional distress as a protectable interest. See Long v.
Beneficial Finance Co. of New York, 39 A.D.2d 11, 330 N.Y.S.2d
664, 667-668 (1972); Halio v. Lurie, 15 A.D.2d 62, 222 N.Y.S.2d
759, 763-764 (1961); Callarama v. Associates Discount Corp. of
Delaware, 69 Misc.2d 287, 329 N.Y.S.2d 711 (1972); Ruiz v. Bertolotti,
37 Misc.2d 1067, 236 N.Y.S.2d 854 (1962), aff'd mem. 20 A.D.2d
628, 245 N.Y.S.2d 1003 (1963).
[11][12] Of course legitimate countervailing social needs
may warrant some intrusion despite an individual's reasonable
expectation of privacy and freedom from harassment. However the
interference allowed may be no greater than that necessary to
protect the overriding public interest. Mrs. Onassis was properly
found to be a public figure and thus subject to news coverage.
See Sidis v. F. R. Publishing Corp., 113 F.2d 806 (2d Cir.),
cert. denied, 311 U.S. 711, 61 S.Ct. 393, 85 L.Ed. 462 (1940).
Nonetheless, Galella's action went far beyond the reasonable
bounds of news gathering. When weighed against the de minimis
public importance of the daily activities of the defendant, Galella's
constant surveillance, his obtrusive and intruding presence,
was unwarranted and unreasonable. If there were any doubt in
our minds, Galella's inexcusable conduct toward defendant's minor
children would resolve it.
[13][14] Galella does not seriously dispute the court's finding
of tortious conduct. Rather, he sets up the First Amendment as
a wall of immunity protecting newsmen from any liability for
their conduct while gathering news. There is no such scope to
the First Amendment right. Crimes and torts committed in news
gathering are not protected. See Branzburg v. Hayes, 408 U.S.
665, 92 S.Ct. 2646, 33 L.Ed.2d 626 (1972); Rosenbloom v. Metromedia,
403 U.S. 29, 91 S.Ct. 1811, 29 L.Ed.2d 296 (1971); Dietemann
v. Time, Inc., 449 F.2d 245, 249-250 (9th Cir. 1971). See *996
Restatement of Torts 2d § 652(f), comment k (Tent. Draft
No. 13, 1967). There is no threat to a free press in requiring
its agents to act within the law.
[15][16][17][18][19][20][21] In addition to his substantive
claims, Galella challenges the court's (a) refusal to remand
the case; (b) refusal to allow a jury trial despite an untimely
request; (c) exclusion of Galella from defendant's deposition;
(d) failure to recuse himself; (e) consolidation of the temporary
injunctive proceedings and trial on the merits. Numerous claims
of error in evidentiary rulings are also raised. Little need
be said about most of these evidentiary rulings; [FN13] the rulings
were either clearly correct or if error, harmless. [FN14] Galella's
procedural claims must fail.
FN13. (a) The propriety of defendant's testimony as to mental
distress- this was plainly admissible on the claim of harassment;
(b) the admission of the children's affidavits into evidence-this
was questionable since the children were not shown to be no longer
available; (c) the admission of the hearsay declartion of one
of the children-this was clearly admissible to show the children's
reaction to Galella's antics; (d) the admission of the record
of the Secret Service investigation-it was conceded that this
was made in the regular course of Secret Service business; (e)
the admission of defendant's impression or understanding of a
card received from Galella- since her state of mind was at issue
this was properly admitted; (f) denial of plaintiff's request
to produce a statement made to defense counsel by defendant's
witness, Duchin-no use was made of the statement in the trial;
(g) failure to draw an inference of unfavorable testimony from
the failure of defendant to call her husband as a witness-such
an inference was surely not compelled here; and (h) refusal to
direct defense counsel to produce an expert witness' work product-the
ruling may be sustained in the light of the availability to plaintiff
of experts on photography.
FN14. The ruling on the affidavits of the children may well
be error but in the light of the overwhelming other proof the
ruling was surely harmless.
[22][23][24] Galella's claim against Mrs. Onassis, originally
in federal court as an action joined with that against the Secret
Service agents, was not automatically stripped of federal pendent
jurisdiction by the dismissal of the claim against the agents.
United Mineworkers v. Gibbs, 383 U.S. 715, 86 S.Ct. 1130, 16
L.Ed.2d 218 (1966); see Almenares v. Wyman, 453 F.2d 1075, 1084
(2d Cir. 1971), cert. denied, 405 U.S. 944, 92 S.Ct. 962, 40
L.Ed.2d 815 (1972). Whether the claim was to be remanded was
within the court's discretion after consideration of judicial
economy and fairness to the litigants. United Mineworkers v.
Gibbs, supra, 383 U.S. at 726, 86 S.Ct. 1130. The motion to remand
was made six months after dismissal of the suit against the agents
and on the eve of trial; the United States Government had then
intervened in the case, [FN15] a series of hearings on the substantive
claims had been heard by the federal court, a special master
in charge of discovery had been appointed and a number of motions
had been heard, and others were pending. [FN16] As no claim of
unfairness has been raised, considerations of judicial economy
govern and support the court's denial of the motion to remand.
A great deal of judicial effort had been expended in covering
ground that must be gone over anew had remand been ordered.
FN15. The United States' presence in the case created a real
threat of two trials-one federal and one state-on the same operative
facts if the Onassis-Galella claims were remanded. The government
claim would remain in federal court. While predominance of state
law questions is an important factor, the probability of two
trials on the same facts has been deemed generally sufficient
to weigh in favor of retaining pendent jurisdiction; Note, Federal
Pendent Subject Matter Jurisdiction-The Doctrine of United Mineworkers
v. Gibbs Extended to Persons Not Party to the Jurisdiction- Conferring
Claim, 73 Colum.L.Rev. 153, 165-67 (1973).
FN16. Two temporary restraining orders had been issued, two
protective orders made, summary judgment motions heard and one
granted and approximately fourteen other motions made and some
were still pending.
[25][26] Untimely requests for jury trial must be denied unless
some cause beyond mere inadvertence is shown. Noonan v. Cunard
Steamship Co., 375 *997 F.2d 69 (2d Cir. 1967). Galella explains
the delay in making the request as a result of the removal proceedings
and the fact that New York does not require a written request
for a jury trial. Precisely the same allegations were made and
correctly rejected in Leve v. General Motors Corp., 248 F.Supp.
344 (S.D.N.Y.1965). No error was made in refusing to excuse the
untimeliness of the motion; any other decision would have been
reversible error. See Noonan, supra, 375 F.2d at 70.
[27][28] Circumstances of a deposition may be governed by
the court's protective order. The court may order that "discovery
be conducted with no one present except persons designated by
the court." Fed.R.Civ.P. 26(c). The extent of the court's
authority to determine those present was enlarged by the 1970
revision of the Rules of Discovery. Prior to the revision, Rule
30(b) allowed the court to order discovery to be conducted "with
no one present except the parties to the action and their officers
or counsel. . . ." In view of the revision, it is clear
that the court has the power to exclude even a party, [FN17]
although such an exclusion should be ordered rarely indeed.
FN17. The order is appropriate to protect the deponent from
embarrassment or ridicule intended by the calling party. See
4 J. Moore, Federal Practice ¶26.73.
[29][30] The grant and nature of protection is singularly
within the discretion of the district court and may be reversed
only on a clear showing of abuse of discretion. Chemical &
Industrial Corp. v. Druffel, 301 F.2d 126, 129 (6th Cir. 1962);
Essex Wire Corp. v. Eastern Electric Sales Co., 48 F.R.D. 308,
310 (E.D.Pa.1969). While we might have assessed the need to exclude
Galella differently, we cannot find the court's ruling clearly
erroneous. At the time the order was issued, Galella had already
been charged with violation of the court's temporary restraining
order which was entered to protect the defendant from further
harassment. Such conduct could be deemed to reflect both an irrepressible
intent to continue plaintiff's harassment of defendant and his
complete disregard for judicial process. Anticipation of misconduct
during the examination could reasonably have been founded on
either.
[31][32] The court's refusal to recuse himself was correct.
See United States ex rel. Brown v. Smith, 200 F.Supp. 885, 930
(D.Vt.1961), rev'd on other grounds, 306 F.2d 596 (2d Cir. 1962),
cert denied, 372 U.S. 959, 83 S.Ct. 1012, 10 L.Ed.2d 11 (1963);
United States v. Sclafani and Ross, 487 F.2d 245 at 255 (2d Cir.
1973). A judge may be disqualified for bias only on motion supported
by a written affidavit of facts supporting the claim of bias
and a certificate of good faith from the counsel of record. 28
U.S.C. § 144. Galella failed to comply with the statute;
no showing was made of a legal basis for the claim, no motion
was made nor affidavit filed. Informal requests to the court,
or failure to comply with the statute because of an expectation
of denial, however well founded, cannot be substituted for compliance
with § 144.
[33][34] Galella claims that notice given him of consolidation
under Rule 65(a)(2) of preliminary injunction proceedings and
the trial was inadequate in that he was not advised of the consolidation
sufficiently in advance of trial to properly prepare. The claim
borders on the frivolous. The required notice under Rule 65 is
solely for the purpose of alerting the parties that the hearing
is to be the final determination of the action. See 7 J. Moore,
Federal Practice ¶ 65.04[4]. Galella knew five weeks before
trial that the actions on the preliminary and permanent injunction
had been consolidated. There is thus no merit to an attack on
sufficiency of notice under Rule 65.
[35] Essentially Galella's challenge is one of denial of due
process; he contends *998 that the court's scheduling of trial
unfairly limited his preparation for trial. The claim is based
generally on depositions and discovery either not made or not
completed. [FN18] Here any lack of discovery was due to plaintiff's
own dilatory actions; it was not error for the court to proceed.
See Eli Lilly & Co. v. Generix Drug Sales, 460 F.2d 1096,
1105 (5th Cir. 1972). Issue was joined and counterclaim filed
by September, 1970, and the case removed in October, 1970. Yet
even by the time of trial in 1972 Galella had not yet noticed
for deposition defendant's husband (a witness Galella says he
was deprived of deposing by the scheduling.) [FN19]
FN18. Galella's claim of lack of time to review the deposition
of defendant is patently without merit. The initial deposition
was taken a month prior to trial; a second session on questions
raised and previously unanswered in the first session was held
six days before trial.
FN19. Of the four persons noticed for deposition within six
weeks of trial, three were Secret Service agents known to Galella
from the commencement of the suit. The fourth witness was made
known in December, 1971; there was no surprise in his testifying
and he was fully cross- examined at trial.
[36] Scheduling of trials is for the trial courts. Only where
actual and substantial prejudice can be shown will a court's
calendar orders be reviewed. Galella has made no such showing.
He himself requested consolidation in October, 1971; that motion
was withdrawn in January, 1972; the court however indicated that
it would consolidate the proceedings as both the plaintiff and
defendant had requested, and planned to go to trial as soon as
a space opened on his calendar. Galella had five weeks' notice
of the expected date of trial.
[37] Injunctive relief is appropriate. Galella has stated
his intention to continue his coverage of defendant so long as
she is newsworthy, and his continued harassment even while the
temporary restraining orders were in effect indicate that no
voluntary change in his technique can be expected. New York courts
have found similar conduct sufficient to support a claim for
injunctive relief. Flamm v. Van Nierop, 56 Misc.2d 1059, 291
N.Y.S.2d 189 (1968). [FN20]
FN20. The defendant in Flamm was sued for intentional infliction
of emotional distress. He was charged with having dashed at the
plaintiff in a threatening manner in various public places with
threatening gestures, grimaces, leers, distorted faces and malign
looks, accompanied by ridiculous utterances and laughs, driven
his automobile behind that of the plaintiff at a dangerously
close distance; walked behind or beside or in front of the plaintiff
on the public streets; and consistently telephoned the plaintiff
at home and place of business and hung up or remained on the
line in silence.
[38] The injunction, however, is broader than is required
to protect the defendant. Relief must be tailored to protect
Mrs. Onassis from the "paparazzo" attack which distinguishes
Galella's behavior from that of other photographers; it should
not unnecessarily infringe on reasonable effors to "cover"
defendant. Therefore, we modify the court's order to prohibit
only (1) any approach within twenty-five (25) feet of defendant
or any touching of the person of the defendant Jacqueline Onassis;
(2) any blocking of her movement in public places and thoroughfares;
(3) any act foreseeably or reasonably calculated to place the
life and safety of defendant in jeopardy; and (4) any conduct
which would reasonably be foreseen to harass, alarm or frighten
the defendant.
[39] Any further restriction on Galella's taking and selling
pictures of defendant for news coverage is, however, improper
and unwarranted by the evidence. See Estate of Hemingway v. Random
House, Inc., 49 Misc.2d 726, 268 N.Y.S.2d 531, 535, aff'd 25
A.D.2d 719, 269 N.Y.S.2d 366 (1966); Youssoupoff v. Columbia
Broadcasting, 41 Misc.2d 42, 244 N.Y.S.2d 701, 704, aff'd 19
A.D.2d 865, 244 N.Y.S.2d 1 (1963); Thompson v. C. P. Putnam's
Sons, 40 *999 Misc.2d 608, 243 N.Y.S.2d 652, 654 (1965).
[40][41][42] Likewise, we affirm the grant of injunctive relief
to the government modified to prohibit any action interfering
with Secret Service agents' protective duties. Galella thus may
be enjoined from (a) entering the children's schools or play
areas; (b) engaging in action calculated or reasonably foreseen
to place the children's safety or well being in jeopardy, or
which would threaten or create physical injury; (c) taking any
action which could reasonably be foreseen to harass, alarm, or
frighten the children; and (d) from approaching within thirty
(30) feet of the children.
[43] Taxation of costs of a daily transcript of trial may
be assessed against a party by the court, where they are "necessarily
obtained for use in the case." 28 U.S.C. § 1920. See
Oscar Gruss & Son v. Lumbermens Mutual Casualty Co., 422
F.2d 1278 (2d Cir. 1970). Galella was ordered to pay the cost
of four daily copies, one each for the government intervenor
and the court, and two for defendant. [FN21] To assess the losing
party with the premium cost of daily transcripts, necessity-beyond
the mere convenience of counsel-must be shown. Delaware Valley
Marine Supply Co. v. American Tobacco Co., 199 F.Supp. 560, 561
(E.D.Pa.1960). We cannot say that no such showing has been made
here. [FN22] There does not, however, appear any justification
for allowing multiple copies to the defendant. Galella therefore
should not be taxed for any more than the cost of a transcript
at the daily rate for three copies, one for the defendants, one
for the intervenor and one for the court. [FN23] See Farmer v.
Arabian American Oil Co., 379 U.S. 227, 235, 85 S.Ct. 411, 416,
13 L.Ed.2d 240 (1964):
FN21. Transcript costs taxed against Galella amounted to $17,561.80.
FN22. While the two primary witnesses had been extensively
deposed prior to trial and the substance of the case had been
previously heard in summary judgment motions, the amounts claimed
were large, the trial was of considerable length, and credibility
crucial.
FN23. Where no prejudice will result from an untimely motion
to retax costs, the court may excuse failure to comply with Rule
6(d)'s five-day motion period. See United States v. Kolesar,
313 F.2d 835, 837 n. 1 (5th Cir. 1963). It was thus proper to
allow the government's motion to retax.
"We do not read that Rule [Rule 54(d)] as giving district
judges unrestrained discretion to tax costs to reimburse a winning
litigant for every expense he has seen fit to incur in the conduct
of his case. Items proposed by winning parties as costs should
always be given careful scrutiny. Any other practice would be
too great a movement in the direction of some systems of jurisprudence
that are willing, if not indeed anxious, to allow litigation
costs so high as to discourage litigants from bringing lawsuits,
no matter how meritorious they might in good faith believe their
claims to be."
As modified, the relief granted fully allows Galella the opportunity
to photograph and report on Mrs. Onassis' public activities.
Any prior restraint on news gathering is miniscule and fully
supported by the findings. Affirmed in part, reversed in part
and remanded for modification of the judgment in accordance with
this opinion. Costs on appeal to be taxed in favor of appellees.
CONCURRING/DISSENTING OPINION TIMBERS, Circuit Judge (concurring
in part and dissenting in part): With one exception, I concur
in the judgment of the Court and in the able majority opinion
of Judge Smith.
With the utmost deference to and respect for my colleagues,
however, I am constrained to dissent from the judgment of the
Court and the majority opinion to the extent that they modify
the injunctive relief found necessary by the district court to
protect Jacqueline Onassis *1000 and her children, Caroline B.
and John F. Kennedy, Jr., from the continued predatory conduct
of the self-proclaimed paparazzo Galella.
We start with what I take to be common ground that "a
district court has broad discretion to enjoin possible future
violations of law where past violations have been shown";
that "the court's determination [that permanent injunctive
relief is required] should not be disturbed on appeal unless
there has been a clear abuse of discretion"; and that "the
party seeking to overturn the district court's exercise of discretion
has the burden of showing that the court abused that discretion,
and the burden necessarily is a heavy one." SEC v. Manor
Nursing Centers, Inc., 458 F.2d 1082, 1100 (2 Cir. 1972). That
certainly is the settled law in this Circuit. And it is the command
of Fed.R.Civ.P. 52(a).
In the instant case, after a six week trial at which 25 witnesses
testified, hundreds of exhibits were received and a 4,714 page
record was compiled, Judge Cooper filed a careful, comprehensive
40 page opinion, 353 F.Supp. 194, which meticulously sets forth
detailed findings of fact and conclusions of law. As for the
provisions of the injunction requiring Galella to keep certain
distances away from Mrs. Onassis and her children (from the modification
of which I dissent), Judge Cooper stated his reasons for these
provisions as follows: "For practical reasons, the injunction
cannot be couched in terms of prohibitions upon Galella's leaping,
blocking, taunting, grunting, hiding and the like. Nor have abstract
concepts-harassing, endangering-proved workable. No effective
relief seems possible without the fixing of proscribed distances.
We must moreover make certain plaintiff keeps sufficiently
far enough away to avoid problems as to compliance with the injunction
and injurious disobedience. Disputes concerning his compliance
may be frequent, thereby necessitating repeated application to
the Court. Hence, the restraint must be clear, simple and effective
so that Galella's substantial compliance cannot seriously be
disputed unless a violation occurs.
Of major importance in determining the scope of the relief
to be afforded here is the attitude which Galella has demonstrated
toward the process of this Court in the past. Galella blatantly
violated our restraining orders of October 8 and December 2,
1971. He did so deliberately and in full knowledge of the fact
of his violation. His deliberate disobedience to the subpoena
and his attempts to obstruct justice with respect to Exhibit
G, together with the perjury that infected his testimony, do
not warrant mere token relief.
In light of Galella's repeated misbehavior, it is clear that
only a strong restraint-an injunction which will clearly protect
Mrs. Onassis' rights and leave no room for quibbling about compliance
and no room for evasion or circumvention-is appropriate in this
case.
As for the actual distance to be proscribed, we must bear
in mind that plaintiff never moved to modify the distances heretofore
imposed by our restraining order, even after the Court had clearly
and explicitly invited him to do so if he could prove it was
too harsh. (Minutes, Proceedings January 19, 1972, p. 31)."
353 F.Supp. at 237.
I have set forth the foregoing explanation by Judge Cooper
of his reasons for the critical distance provisions of the injunction
because they are weighty findings by the trial judge who had
the benefit of seeing the parties before him and who obviously
was in a better position than we to judge their demeanor. I feel
very strongly that such findings should not be set aside or drastically
modified by our Court unless *1001 they are clearly erroneous;
and I do not understand the majority to suggest that they are.
FN* As pointed out below, the majority appears further to
have modified the injunction by limiting the protection of the
children to the "grant of injunctive relief to the government
modified to prohibit any action interfering with Secret Service
agents' protective duties." (emphasis added). The district
court injunction was not so limited. It granted injunctive relief
for the protection of the children as specifically prayed for
by Mrs.
Onassis. The distinction introduced by the majority, as indicated
below, substantially reduces the protection provided for the
children.
In addition to modifying the distance restrictions of the
injunction, the majority also has directed that Galella be prohibited
from blocking Mrs. Onassis' movement in public places and thoroughfares;
from any act "foreseeably or reasonably calculated"
to place Mrs. Onassis' life and safety in jeopardy (and similarly
with respect to her children); and from any conduct which would
"reasonably be foreseen" to harass, alarm or frighten
Mrs. Onassis (and similarly with respect to her children). With
deference, I believe the majority's modification of the injunction
in the respects indicated above to be unwarranted and unworkable.
Briefly summarized, the following are the reasons for my dissent
from the modification of the injunction:
(1) The majority ignores the weighty findings of the district
court. Without holding them clearly erroneous, Fed.R.Civ.P. 52(a),
the majority simply sets them aside and substitutes its own perimeters
for those carefully and wisely drawn by the district court.
(2) This results, for example, in a wholly unexplained and
anomalous 84% reduction of the distance Galella is required to
keep away from Mrs. Onassis (from 50 yards to 25 feet), and an
equally implausible 87% reduction of the distance he is required
to keep away from the children (from 75 yards to 30 feet).
(3) It further results in no restriction whatsoever against
Galella's hovering at the entrance to the home of Mrs. Onassis
and her children (where he has caused such agonizing humiliation
in the past), or at the schools attended by the children-just
so he does not physically enter *1002 their schools or play areas.
This strikes me as an invitation for trouble.
(4) The majority, in substituting its own injunctive provisions
for those of the district court, has couched its prohibitions
in terms of conduct "foreseeably or reasonably calculated"
to endanger the life or safety of Mrs. Onassis or her children,
or conduct which would "reasonably be foreseen" to
harass, alarm or frighten them. (emphasis added). These are just
the sort of abstract concepts which the district court found
to be unworkable and ineffective. 353 F.Supp. at 237. They do
not comply with the specificity requirement of Fed.R.Civ.P. 65(d)
("Every order granting an injunction . . . shall be specific
in terms. . . ."). This has been construed by our Court
to require that "the party enjoined must be able to ascertain
from the four corners of the order precisely what acts are forbidden."
Sanders v. Air Line Pilots Association, 473 F.2d 244, 247 (2
Cir. 1972). See International Longshoremen's Association v. Philadelphia
Marine Trade Association, 389 U.S. 64, 76 (1967); Brumby Metals,
Inc. v. Bargen, 275 F.2d 46, 49 (7 Cir. 1960). The district court
was justifiably concerned-in view of Galella's record of outrageous
disregard of the court's previous restraining orders-that it
would be confronted with repeated compliance applications in
the future. The majority's substitution of such abstract concepts
as "reasonably foreseen" and "foreseeably calculated"
for the clear, simple and effective distance restrictions in
the district court injunction seems to me virtually to assure
the compliance disputes that the district court wisely sought
to avert.
(5) In modifying the injunctive relief granted by the district
court, I fear that the majority has overlooked the fact that
the record shows that Galella in the past has jeopardized the
lives and safety of Mrs. Onassis and her children and has done
so in the teeth of previous restraining orders of the district
court. One of the particularly weighty findings of the district
court in support of the scope of injunctive relief granted was
that "Galella blatantly violated our restraining orders
of October 8 and December 2, 1971. He did so deliberately and
in full knowledge of the fact of his violation." 353 F.Supp.
at 237. Our Court has been particularly adamant against disturbing
a district court's grant of injunctive relief when the parties
enjoined "continued to violate the . . . laws even after
a consent decree had been entered enjoining them from such conduct"
and when "[t]hey have persisted in their contention that
their past conduct was not improper . . . ." SEC v. Koenig,
469 F.2d 198, 202 (2 Cir. 1972), citing SEC v. MacElvain, 417
F.2d 1134, 1137 (5 Cir. 1969), cert. denied, 397 U.S. 972 (1970),
and SEC v. Manor Nursing Centers, Inc., supra.
(6) All else aside, the wisdom and fairness of the distance
restrictions which the district court provided for in its permanent
injunction-which are substantially identical to those in its
temporary restraining order of December 2, 1971 and which were
in effect until July 20, 1972-appear to be borne out by the failure
of Galella ever to request the district court to modify such
restrictions, despite the express invitation of the district
court to Galella to do so: "As for the actual distance to
be proscribed, we must bear in mind that plaintiff never moved
to modify the distances heretofore imposed by our restraining
order, even after the Court had clearly and explicitly invited
him to do so if he could prove it was too harsh." 353 F.Supp.
at 237.
Pursuant to the district court's decision of July 5, 1972
requesting that the form of injunction be settled on three days
notice, both sides submitted proposed judgments which were identical
in all respects here material; neither in his proposed form of
judgment nor in his memorandum accompanying it did Galella interpose
any objection whatsoever to the distance restrictions on the
ground that they were too harsh or onerous. Since the district
court never was afforded an opportunity to pass upon such questions
which are raised for the first time on appeal, I see no compelling
reason for departing from the long settled rule in this Circuit
that such matters should not be reached by us on appeal. Ring
v. Authors' League of America, 186 F.2d 637, 641 (2 Cir.) (L.
Hand, C. J.: "If a party's sensibilities are so tender,
the least we must demand is that he make known his complaint
at a time when it can be remedied."), cert. denied sub nom.
Ring v. Spina, 341 U.S. 935 (1951); United States v. Five Cases,
179 F.2d 519, 523-24 (2 Cir.) (Swan, C. J., aff'g judgment entered
on jury verdict after trial before Hincks, D. J.), cert. denied,
339 U.S. 963 (1950). At the very least, if there is to be any
modification of the injunction with respect to the distance provisions
(and I believe none is warranted), then the case should be remanded
to the district court which obviously is in a far better position
to make such determinations after a hearing than are we. After
all, what possible basis is there in this record for us as appellate
judges to say that Galella should keep 25 feet, rather than 50
yards, away from Mrs. Onassis; or that he should remain 30 feet,
rather than 75 yards, away from the children?
(7) Finally, I am utterly unable to find any basis in the
record or any justification as a matter of law for the majority's
modification of the injunction so as to limit the protection
provided for the children to the "grant of injunctive relief
to the government modified to prohibit any action interfering
with Secret Service agents' protective duties." (emphasis
added). Supra at p. 999. Just two paragraphs before this, the
majority has modified the injunction to prohibit Galella from
engaging in four types of conduct directed at "defendant
Jacqueline Onassis", with no mention of the children. Id.
And yet the claim for injunctive relief sought in the counterclaim
filed March 8, 1971 was explicitly "for the personal safety
of defendant [Mrs. Onassis] and of her infant children".
The judgment entered July 20, 1972 provided, in paragraph 4,
for injunctive relief for the protection of Mrs. Onassis and
both of her children; the only reference to the government in
the injunctive provisions of the judgment is in subparagraph
(viii) of paragraph 4 where Galella is enjoined from "otherwise
interfering with any agent of the United States of America in
the performance of protective duties relating to Caroline B.
Kennedy or John F. Kennedy, Jr." As I read the majority's
modification of the injunction, to the extent that it distinguishes
between protection for Mrs. Onassis and that for the children,
limiting the latter to the grant of injunctive relief to the
government, the net effect is to strip the children of any protection
under the injunction after they reach age 16 when their protection
by the Secret Service ceases. 18 U.S.C. § 3056 (1970). For
Caroline, who was born November 27, 1957, this means that one
of her birthday presents-less than two months away-will be exposure
to the resumed predatory conduct of the paparazzo Galella who
will be totally unrestrained with respect to her by the injunction
as modified by the majority. For John, who was born November
25, 1960, he has only three *1004 years to wait for similar exposure.
To strip these children, before they reach their majority, of
the protection of the injunction of the United States District
Court below, is to deny to them and to their mother the very
least to which they are entitled under the law.
I most respectfully dissent.
A petition for a rehearing having been filed herein by counsel
for appellee Jacqueline Onassis, Upon consideration thereof,
it is Ordered that said petition be and it hereby is denied.
TIMBERS, Circuit Judge, votes to grant the petition for rehearing.
A petition for a rehearing containing a suggestion that the
action be reheard en banc having been filed herein by counsel
for appellee Jacqueline Onassis, and a poll of the judges in
regular active service having been taken on the request of such
a judge, and Chief Judge Kaufman, Circuit Judges Friendly, Hays,
Feinberg, Mansfield and Mulligan having voted to deny the petition,
and Circuit Judges Oakes and Timbers having voted to grant the
petition, and a per curiam opinion and an opinion by Circuit
Judge Timbers having been filed,
Upon consideration thereof, it is Ordered that said petition
be and it hereby is denied.
PER CURIAM:
Our brothers Oakes and Timbers have, as they characterize
it, dissented "once again" [FN1] from this Court's
denial of en banc reconsideration of a panel decision. In their
dissenting opinion, they have recognized that en banc review
is not appropriate simply to resolve a mere disagreement with
the outcome reached by a panel of this Court. Our dissenting
brothers note, however, that they find in this case not merely
an erroneous decision but a substantial question of unusual importance.
Wholly aside from our view whether it was proper for the panel
to modify the district court's decree, we cannot agree with their
assessment of the importance of the question before us.
FN1. The three cases cited by our dissenting brothers as illustrative
of our failure to "be more gingerly about declining to act
as a full court in ruling upon substantial questions of unusual
importance," Eisen v. Carlisle & Jacquelin, 479 F.2d
1005, 1020-1026 (2 Cir. 1973), cert. granted, 414 U.S. 908, 94
S.Ct. 235, 38 L.Ed.2d 146 (1973); Boraas v. Village of Belle
Terre, 476 F.2d 806. 824-827 (2 Cir. 1973), prob. juris. noted,
414 U.S. 907, 94 S.Ct. 234, 38 L.Ed.2d 145 (1973); Zahn v. International
Paper Co., 469 F.2d 1033, 1040-1042 (2 Cir. 1972), cert. granted,
410 U.S. 925, 93 S.Ct. 1370, 35 L.Ed.2d 585 (1973), indeed only
prove the wisdom of our careful selectivity. At a time of burgeoning
calendars, we do well at least to recognize those cases which
should not tarry in this Court many months during en banc proceedings
when resolution by the Supreme Court is inevitable. Surely our
insight was confirmed when the highest court agreed to review
our panel decisions in the cited cases.
Although we sympathize with the plight of Mrs. Onassis, it
hardly need be stated that the importance of a decision does
not turn on whether the litigants stand in the limelight of public
recognition or in the shadows of anonymity. Rather, significance
rests on the precedential impact that a determination of this
Court is likely to have on the future course of the law and hence
on the lives of countless others.
When examined from this perspective, it is quite clear that
the panel's decision does not rise to the threshold of importance
requisite to en banc reconsideration. To be sure the issue of
what constitutes the appropriate standard for appellate review
of the terms of an injunctive decree is indeed important. And,
if the panel had recast the traditional yardstick into a test
other than abuse of the wide discretion accorded the district
court in formulating its decree, International Salt Co. v. United
States, 332 U.S. 392, 400-401, 68 S.Ct. 12, 92 L.Ed. 20 (1947);
United States v. National Lead Co., 332 U.S. 319, 335, 67 *1005
S.Ct. 1634, 91 L.Ed. 2077 (1947), then we too would have responded
affirmatively to a request for en banc review. But it did not
do this. Although several members of the Court may dislike the
result, the principle embodied in the majority's opinion is not
a departure from the established rule. Since we foresee minimal
precedential impact for this decision, and because we are properly
concerned that the sparse judicial resources of this Court should
not be expended unnecessarily-particularly where the question
is not of unusual importance-reconsideration of the question
en banc would be wholly unwarranted.
DISSENTING OPINION TIMBERS, Circuit Judge, with whom OAKES,
Circuit Judge, concurs (dissenting from denial of rehearing en
banc)
Once again, although Judge Oakes and I have voted in favor
of en banc reconsideration of the 2-1 panel decision in this
case, we have been unsuccessful in mustering a majority vote
of the active judges to do so. While we recognize that we may
be fighting a rear guard action in our attempt to persuade our
colleagues to be more gingerly about declining to act as a full
court in ruling upon substantial questions of unusual importance,
we nevertheless have not given up hope. Moreover, the pattern
that has emerged from recent similar situations is quite clear.
See, e. g., Eisen v. Carlisle & Jacquelin, 479 F.2d 1005,
1020-26 (2 Cir. 1973) (en banc denied, 5- 3), cert. granted,
42 U.S.L.W. 3226 (U.S. Oct. 15, 1973); Boraas v. Village of Belle
Terre, 476 F.2d 806, 824-27 (2 Cir. 1973) (en banc denied, 4-4),
prob. juris. noted, 42 U.S.L.W. 3226 (U.S. Oct. 15, 1973); Zahn
v. International Paper Co., 469 F.2d 1033, 1040-42 (2 Cir. 1972)
(en banc denied, 4-3, i. e. 4 in favor of en banc, 3 against),
cert. granted, 410 U.S. 925 (1973), aff'd 42 U.S.L.W. 4087 (U.S.
Dec. 17, 1973).
I have already stated as best I can in my panel dissent, 487
F.2d at 999, the reasons I believe the majority's modification
of the injunctive relief found necessary by the district court
to protect Mrs. Onassis and her children from the continued predatory
conduct of Galella constituted an unwarranted appellate interference
with the district court's discretion, especially absent any suggestion
by the majority that the weighty findings of the district court
were clearly erroneous. We recognize at this stage of the case,
however, that an en banc rehearing normally will not be granted
" 'merely' to correct individual injustices or mistakes".
Eisen, supra, 479 F.2d at 1021-22. When a clearly erroneous panel
decision as here is rendered in the context of-or is coupled
with-a substantial question of unusual importance, then we believe
the case is ripe for en banc reconsideration.
There would appear to be few issues more vital and of more
recurring importance in the administration of federal justice
than the appropriate standard by which an appellate court reviews
the grant or denial of permanent injunctive relief by a district
court. Are we bound by the command of Fed.R.Civ.P. 52(a) that
"[f]indings of fact shall not be set aside unless clearly
erroneous"? Or are we free as appellate judges, without
the slightest basis in the record for doing so, to substitute
our own injunctive provisions for those of the district court?
With due respect to the panel majority, we believe that it is
beyond dispute that here there was an unwarranted appellate interference
with the discretion of the trial judge in fashioning relief based
upon all of the facts after hearing all of the testimony and
after judging the demeanor of all of the witnesses. It is on
the basis of excessive and wholly unwarranted appellate intrusion
into the traditional area of trial court operations that we believe
this case cries out for en banc reconsideration.
Such appellate intrusion here is particularly exacerbated
by the fact that the district court's temporary restraining order
of October 8, 1971, 353 F.Supp. at 200 n. 6, which was very similar
to the decree refashioned by the panel majority on appeal, had
already been deliberately violated by Galella. 353 F.Supp. at
*1006 237-38. It is undisputed that in the past he had jeopardized
the lives and safety of Mrs. Onassis and her children and had
done so in the teeth of previous restraining orders of the district
court.
Moreover, we believe that it is important to note the internal
inconsistency of the panel majority's condemnation of Galella's
outrageous and dangerous conduct toward Mrs. Onassis and her
children on the one hand, and its effectively stripping them
of the protection of the district court injunction on the other,
including the wholly incomprehensible elimination of any protection
whatsoever for the children after they reach age 16.
In short, here, as we suggested a year ago in Zahn, supra,
469 F.2d at 1042, "The record in this case strikes [us]
as a particularly good one on which to resolve this important
issue. The facts are not in dispute. The legal question is starkly
presented. The issue to be resolved is both important and sure
to recur." We respectfully dissent from the denial of rehearing
en banc.
HAYS, Circuit Judge, votes against en banc reconsideration
but joins in neither opinion.
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