DocketNumber: No. 18-1012
Citation Numbers: 920 F.3d 651
Judges: Ebel, Lucero, Tymkovich
Filed Date: 3/29/2019
Status: Precedential
Modified Date: 10/19/2024
The First Amendment protects a government employee's speech (1) made as a citizen (2) on a matter of public concern (3) if the employee's right to speak outweighs the government's interest as an employer in an efficient workplace. These are the first three steps of the familiar five-part Garcetti/ Pickering analysis
Plaintiff-Appellant Jerud Butler is a government employee, a supervisor for the San Miguel County, Colorado, Road and Bridge Department. He alleges that his supervisors violated his First Amendment freedom of speech when they demoted him for testifying truthfully in state court as a character witness for his sister-in-law. The state-court proceeding concerned a domestic child custody dispute between Butler's sister-in-law and her ex-husband, who also works for the County's Road and Bridge Department.
The district court dismissed Butler's First Amendment claim with prejudice under Fed. R. Civ. P. 12(b)(6), concluding at step two of the Garcetti/ Pickering analysis that Butler's testimony at the custody hearing, given as a private citizen, was not on a matter of public concern. Having jurisdiction under
I. BACKGROUND
At the motion-to-dismiss stage, we accept as true all of Butler's well-pled factual allegations and view them in the light most favorable to him. See Straub v. BNSF Ry. Co.,
Almost two weeks later, Mike Horner, who was San Miguel County's Road and Bridge Director, and Kristl Howard, the County's Human Resources Director, "conducted an investigation into Butler's testimony at the hearing." (Id. 10 ¶ 22.) "Following the investigation, Horner and Howard gave Butler a Written Reprimand and demotion."
Butler sued the two County directors who demoted him, Horner and Howard, under
II. DISCUSSION
We review de novo the district court's decision to grant Defendants' Rule 12(b)(6) motion to dismiss and in doing so we accept as true all well-pled factual allegations, viewing those facts in the light most favorable to Butler. See Straub,
The individual Defendants, Horner and Howard, sought dismissal of Butler's First Amendment claim, asserting they were each entitled to qualified immunity. To overcome Defendants' qualified-immunity defense, Butler had to allege that (1) the individual Defendants violated Butler's constitutional rights, and that (2) those rights were clearly established at the time of the alleged violation. See Pearson v. Callahan,
In reaching that decision, the district court applied the five-part Garcetti/ Pickering analysis, which asks:
(1) whether the speech was made pursuant to an employee's official duties; (2) whether the speech was on a matter of public concern; (3) whether the government's interests, as employer, in promoting the efficiency of the public service are sufficient to outweigh the plaintiff's free speech interests; (4) whether the protected speech was a motivating factor in the adverse employment action; and (5) whether the defendant would have reached the same employment decision in the absence of the protected conduct.
Bailey v. Indep. Sch. Dist. No. 69,
In this case, Defendants conceded the first Garcetti/ Pickering inquiry, that Butler testified as a private citizen, but moved to dismiss arguing that Butler had failed to allege adequate facts to succeed on either the second or third Garcetti/ Pickering inquiry. The district court granted the motion to dismiss, ruling at the second Garcetti/ Pickering step that Butler had failed to allege that his testimony was on a matter of public concern.
"Speech involves matters of public concern when it can be fairly considered as relating to any matter of political, social, or other concern to the community, or when it is a subject of legitimate news *656interest; that is, a subject of general interest and of value and concern to the public." Lane,
The Garcetti/ Pickering analysis limits the First Amendment protection of a government employee's speech to speech on matters of public concern-"the core value of the Free Speech Clause of the First Amendment," Pickering, 391 U.S. at 573,
when a public employee speaks not as a citizen upon matters of public concern, but instead as an employee upon matters only of personal interest, absent the most unusual circumstances, a federal court is not the appropriate forum in which to review the wisdom of a personnel decision taken by a public agency allegedly in reaction to the employee's behavior.
Id."When employee expression cannot be fairly considered as relating to any matter of political, social, or other concern to the community, government officials should enjoy wide latitude in managing their offices, without intrusive oversight by the judiciary in the name of the First Amendment."
On appeal, Butler asserts two reasons why the district court erred in concluding that his testimony was not on a matter of public concern. First, he argues that any sworn testimony given by a public employee should per se always be a matter of public concern. Secondly, he contends that even if we do not adopt a per se rule, in *657this case his testimony was, in fact, on a matter of public concern, based on the state's general interest in child welfare and fair custody proceedings. We are not persuaded by either argument.
A. We reject Butler's argument that any sworn testimony given by a public employee is per se always a matter of public concern
Butler first argues for a sweeping per se evidentiary rule that would treat any sworn testimony given by a public employee in a judicial proceeding as always a matter of public concern. We reject such a per se rule because the Supreme Court has, instead, mandated a case-by-case approach, directing us to consider the content, form and context of the testimony in light of the record as a whole in a particular case.
1. The Supreme Court's mandate
The Supreme Court has directed courts, "[i]n assessing whether speech pertains to a matter of public concern," to "consider 'the content, form, and context of a given statement, as revealed by the whole record.' " Bailey,
Specifically as to a government employee's speech in the form of sworn testimony given in a court proceeding, the Supreme Court itself applied Connick's case-by-case approach in Lane v. Franks,
[t]he content of Lane's testimony-corruption in a public program and misuse of public funds-obviously involves a matter of significant public concern. See, e.g., Garcetti, 547 U.S. at 425,126 S.Ct. 1951 ... ("Exposing governmental inefficiency and misconduct is a matter of considerable significance"). And the form and context of the speech-sworn testimony in a judicial proceeding-fortify that conclusion. "Unlike speech in other contexts, testimony under oath has the formality and gravity necessary to remind the witness that his or her statements will be the basis for official governmental action, action that often affects the rights and liberties of others." United States v. Alvarez, 567 U.S. [709, 721],132 S.Ct. 2537 ,183 L.Ed.2d 574 , ... (2012) (plurality opinion).
Lane,
In Lane, then, the Supreme Court applied the case-specific analysis that the Court previously set forth in Connick, considering the content, form and context of a public-employee's speech in order to decide whether Lane's sworn testimony in that case was on a matter of public concern. Although Lane, in considering the form and context of the government employee's speech, held that sworn testimony in a judicial proceeding "fortifies" a matter-of-public-concern finding, the Court did not declare that sworn testimony in a judicial proceeding is per se a matter of public *658concern. See Helget v. City of Hays,
Following Lane's analytical framework leads us to familiar territory. Applying Connick's case-by-case consideration of the content, form, and context is how we usually decide whether other types of government-employee speech address a matter of public concern. For example, in Bailey, this court had to determine whether "a letter written by a public employee, seeking a reduced sentence for his relative," was "speech on a matter of public concern."
2. The circuit split that developed prior to Lane
Butler points out that, prior to Lane, the Fifth and Third Circuits adopted a per se rule treating any truthful sworn testimony given by a government employee as always a matter of public concern. See Johnston v. Harris Cty. Flood Control Dist.,
As a general rule, when a public employee speaks about matters that are of personal interest only, the speech does not address matters of public concern. Connick,461 U.S. at 147 ,103 S.Ct. 1684 .... Under certain circumstances, however, the context in which the employee speaks may be sufficient to elevate the speech to the level of public concern....
*659When an employee testifies before an official government adjudicatory or fact-finding body he speaks in a context that is inherently of public concern. Our judicial system is designed to resolve disputes, to right wrongs. We encourage uninhibited testimony, under penalty of perjury, in an attempt to arrive at the truth. We would compromise the integrity of the judicial process if we tolerated state retaliation for testimony that is damaging to the state. If employers were free to retaliate against employees who provide truthful, but damaging, testimony about their employers, they would force the employees to make a difficult choice. Employees either could testify truthfully and lose their jobs or could lie to the tribunal and protect their job security.... Thus, a grand jury witness speaks on matters of public concern when he furnishes truthful information to the grand jury on a matter that the grand jury properly is investigating. Likewise, when one state employee testifies in another employee's civil action against their mutual state employer, the witness's testimony constitutes a matter of public concern for First Amendment purposes. The goal of grand jury proceedings, of criminal trials, and of civil trials is to resolve a dispute by gathering the facts and arriving at the truth, a goal sufficiently important to render testimony given in these contexts speech "of public concern."
Johnston,
Although Johnston's examples include circumstances that would frequently involve testimony relating to matters of public concern even without a per se rule-testimony about government employers or matters being investigated by a grand jury-these circuits have also applied this per se rule to testimony that is less obviously about matters of public concern. For example, the Third Circuit applied its per se rule to hold that a government employee called by her boss's wife to testify as a character witness for the wife in a divorce proceeding was engaged in speech of a public concern, even though she was called to testify in "a purely private matter." Pro v. Donatucci,
In adopting a per se rule, the Third and Fifth Circuits focus on the form (sworn testimony) and context (speech before a government adjudicatory or fact-finding body) of the government employee's speech, to the exclusion of its content, concluding that "the context of a courtroom appearance raises speech to a level of public concern, regardless of its content," Green,
In light of that, other circuits, even before Lane, declined to adopt a per se rule that always treats a government employee's truthful sworn testimony as a matter of public concern. The Seventh Circuit explained:
Drawing on Fifth Circuit cases, [Plaintiff] suggests that we ought to conclude that an employee who testifies before an official government adjudicatory or fact-finding body speaks in a context that is inherently of public concern. See Johnston v. Harris County Flood Control Dist.,869 F.2d 1565 , 1578 (5th Cir.1989) (citations omitted). Although we share our colleagues' concern for the integrity of the judicial process, our cases have *660rejected a blanket rule according absolute First Amendment protection to communications made in the course of a lawsuit. Such a rule would contravene both the rationale of [Supreme Court] cases like Connick and Pickering that public employee speech is protected against employer retaliation only if it addresses matters of public concern and the premise of McDonald v. Smith,472 U.S. 479 , 484-85,105 S.Ct. 2787 ,86 L.Ed.2d 384 ... (1985), that there is no sound basis for granting greater constitutional protection to statements made under the Petition Clause than to other run-of-the-mill speech or expression. In short, airing private gripes in the form of a complaint or testimony cannot alter their status as private gripes.
Wright v. Ill. Dep't of Children & Family Servs.,
These conflicting pre- Lane authorities bolster our decision to reject a per se rule that would treat all public employees' sworn testimony as always a matter of public concern. First and foremost, such a rule contradicts the Supreme Court's mandate, set forth in Connick and applied in Lane, that we decide whether speech is on a matter of public concern on a case-by-case basis, considering the content, form and context of the speech in a given case, on the record as a whole. In addition, although we, like the Seventh Circuit, share the Fifth and Third Circuits' concern for maintaining the integrity of the truth-seeking functions of courts, protecting the integrity of judicial proceedings is not the purpose of the Garcetti/ Pickering analysis. That analysis, instead, determines when the First Amendment protects a public employee's speech, as well as the public's interest in having well-informed views of public employees contribute to our civic discourse. See Garcetti, 547 U.S. at 419,
Giving sworn testimony publicly in court often has consequences, even for non-public employees. Witnesses to crimes, witnesses to domestic abuse, witnesses to serious torts or business fraud all can encounter serious repercussions because of their testimony. We, and our nation, salute the courage of such witnesses and recognize that our system of justice depends on such witnesses of courage and integrity. Society seeks to protect such witnesses in a variety of ways, and for public employees testifying as citizens about a matter of public concern, Garcetti/ Pickering affords such witnesses significant First Amendment *661protection when their interest in speaking outweighs their government employer's interest in an efficient workplace. But we cannot, nor do we see the need to, apply that First Amendment protection using per se rules that contradict the Supreme Court's mandate in Connick and Lane.
3. The Tenth Circuit did not adopt a per se rule prior to Lane
For the first time on appeal, Butler contends that this court has already joined the Fifth and Third Circuits in adopting a per se rule treating all sworn testimony by a government employee as a matter of public concern.
Instead, Butler relies on language in some of our earlier case law which he misconstrues to suggest a per se rule. Butler specifically points to Melton v. City of Oklahoma City,
These general statements on which Butler relies are unremarkable. Of course the First Amendment protects sworn testimony as speech. But that protection, like most constitutional protections, is not absolute. See Virginia v. Black,
Interpreting the general language Butler cites from our earlier, pre- Lane cases in such an absolute way is, any event, contrary to the actual analyses this court applied in those cases. In Melton, for example, this court in fact applied a case-by-case analysis, considering the content, form and context of the testimony at issue, just as Connick required, before concluding that the testimony at issue there was on a matter of public concern. See
In our other published cases that followed Melton, we used similar general language indicating that the First Amendment protects testimony only in dicta; in those cases, this court did not need to address whether the testimony at issue was on a matter of public concern because the parties agreed that it was. See Worrell,
All of these cases, in any event, came before Lane, and none addressed whether to adopt a per se rule treating all truthful sworn testimony given by a government employee in court as always a matter of public concern. Moreover, later Tenth Circuit cases recognize that this court has never expressly considered whether to adopt a per se rule treating all testimony by government employees as a matter of *663public concern. See Deutsch v. Jordan,
4. In conclusion: We reject Butler's argument for a per se rule and instead apply the case-by-case approach the Supreme Court mandated in Connick and applied in Lane
We, therefore, decline to adopt the per se rule that Butler seeks, which would automatically treat all truthful sworn testimony by government employees as always a matter of public concern, regardless of its content. Instead, following the Supreme Court's mandate in Connick, as applied in Lane and a majority of other circuits, we consider on a case-by-case basis the content, form, and context of a government employee's testimony at issue in a given case in order to determine whether it involves a matter of public concern.
B. Applying such a case-by-case approach here, Butler failed to allege that his testimony during the child custody hearing involved a matter of public concern
Butler's second argument is that, even if we decline to adopt a per se rule for sworn testimony, as we have, his testimony at the child custody proceeding in this particular case was in fact on a matter of public concern. Considering the content, form, and context of that testimony, we disagree.
In considering the content, form, and context of a government employee's speech in prior cases, we have noted that we "may consider the motive of the speaker, and whether the speech merely deals with personal disputes and grievances unrelated to the public's interests." Bailey,
Like the Supreme Court in Lane, we conclude in this case that the form and context of Butler's speech-sworn testimony in a court proceeding-weigh in favor of treating it as a matter of public concern. See Lane,
However, as for the content of the speech, the complaint does not tell us much about Butler's testimony. We know that he was testifying as a character witness for his sister-in-law in a child custody proceeding, which is a purely personal dispute that certainly has great significance for the parties involved but is ordinarily not of general interest to the community as a whole. We know Butler testified, among other things, as to the County Road and Bridge department's hours of operation, although we do not know what he said in this regard.
Butler asserts that his testimony at a child custody proceeding was a matter of public concern in light of the State of Colorado's concern for the welfare of children and the fair resolution of child custody matters. We accept that Colorado has a general interest in these matters. But "[i]t is not sufficient that the topic of the speech be of general interest to the public; in addition, what is actually said must meet the public concern threshold." Nixon,
Contrast Butler's testimony with the testimony at issue in the Seventh Circuit's decision in Wright,
III. CONCLUSION
For the foregoing reasons, then, we decline to adopt a per se rule that all truthful testimony given by a government employee is always a matter of public concern. We instead apply the case-by-case approach mandated by the Supreme Court, considering the content, form, and context of the specific testimony by a government employee at issue in a given case. Applying *665that approach here, we conclude Butler's specific testimony as a character witness for his sister-in-law during a child custody hearing was not a matter of public concern. Therefore, we AFFIRM the district court's dismissal of Butler's § 1983 claims against the two individual defendants, Horner and Howard.
Garcetti v. Ceballos,
In addition to these facts that Butler alleged in his complaint, Defendants also asked the district court, over Butler's objection, to consider facts contained in the written reprimand that the County issued Butler. Butler had not attached that document to his complaint and, although Defendants asserted that they attached the written reprimand to their motion to dismiss, it is not clear that they actually did so. In any event, the district court declined to consider the contents of the written reprimand when the court ruled on Defendants' motion to dismiss. Although on appeal both sides cite to facts apparently contained in the reprimand, neither side has provided us with a copy of the reprimand. Under these circumstances, we also decline to consider it. We do not need to consult the contents of the written reprimand, in any event, in order to resolve this appeal because the reprimand's contents appear to pertain only to step three of the Garcetti/Pickering test.
Butler also alleged a state-law claim against the County Board of Commissioners under Colorado's Lawful Off-Duty Conduct Act,
After Lane, the Fifth Circuit reaffirmed its per se rule in an unpublished decision. See Lumpkin v. Aransas Cty.,
While usually "we will not consider issues raised for the first time on appeal," here Butler has "simply offer[ed] new legal authority for the position he advanced before the district court." Schulenberg v. BNSF Ry. Co.,
Butler also relies on Gilchrist v. Citty,
Butler contends that, while this portion of Worrell might be dicta, later portions of Worrell that also relied upon the statement that testifying truthfully is protected by the First Amendment were not dicta. But those later portions of Worrell addressed a different question, whether government defendants that were not Worrell's employer violated his First Amendment rights.
Butler has never asserted that he could adequately plead that his testimony was on a matter of public concern by amending his complaint.