DocketNumber: No. 66352-1
Judges: Johnson, Sanders, Smith
Filed Date: 7/22/1999
Status: Precedential
Modified Date: 10/19/2024
— Appellant G. Andrew H. Benjamin seeks direct review of a King County Superior Court partial summary judgment which dismissed his claims that termination of his employment by the Washington State Bar Association violated his free speech rights under both the federal and state constitutions and of a summary judgment granting qualified immunity to Respondent Dennis E Harwick, Executive Director of the Association. We granted review. We affirm.
The questions presented in this case are whether the trial court was correct in dismissing Appellant G. Andrew H. Benjamin’s free speech claims and in granting Respondent Dennis E Harwick qualified immunity on Appellant’s free speech claims.
STATEMENT OF FACTS
On January 16, 1995, Appellant G. Andrew H. Benjamin filed in the King County Superior Court a complaint against Respondents Dennis E Harwick, in his individual capacity, and Rebecca Harwick, his wife.
In his complaint against Respondents Harwick, Appellant claimed his termination as director of the Lawyer Assistance Frogram (LAP)
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress, except that in any action brought against a judicial officer for an act or omission taken in such officer’s judicial capacity, injunctive relief shall not be granted unless a declaratory decree was violated or declaratory relief was unavailable. For the purposes of this section, any Act of Congress applicable exclusively to the District of Columbia shall be considered to be a statute of the District of Columbia.
In his complaint against the WSBA, Appellant contended that the WSBA violated article I, section 5 of the Washington Constitution in not supporting a grant proposal he had submitted and in threatening not to accredit a Continuing Legal Education seminar if he participated in it after his termination.
Appellant was hired by the WSBA and on November 10, 1986 was assigned as director of the WSBA’s Lawyer Assistance Program.
Appellant Benjamin in his complaint asserted the LAP achieved “national prominence”
Appellant claimed that on November 5, 1993, the day following the meeting of the Steering Committee, he received from Mr. Harwick an unsatisfactory performance appraisal dated November 4, 1993 and was told he was being ter
Appellant filed two grievances with the WSBA Grievance Committee which unanimously rejected both.
Appellant claimed in addition that, after his termination, the WSBA took retaliatory action against him by refusing to support a grant proposal he had submitted which Mr. Harwick previously had supported before the adverse employment decision.
Appellant Benjamin on January 16, 1995 filed claims in the King County Superior Court against Respondents Harwick and on August 1, 1995 against Respondent WSBA for violation of his free speech rights under 42 U.S.C. § 1983, the First Amendment of the United States Constitution, and article I, section 5 of the Washington Constitution; and
On September 6, 1996, Respondents Harwick and the WSBA moved for partial summary judgment to dismiss Appellant’s free speech claims under the federal and state constitutions and 42 U.S.C. § 1983.
Respondents also contended there was no violation of article I, section 5 of the Washington Constitution because there was no state action either when Mr. Harwick terminated Dr. Benjamin or in the post-termination actions Appellant claims the WSBA took against him as retaliation.
In addition to the motion for partial summary judgment
On November 8, 1996, the King County Superior Court, the Honorable Michael J. Trickey, granted both the motion for partial summary judgment on Appellant’s free speech claims and Respondents Harwick’s supplemental motion for summary judgment under the doctrine of qualified immunity.
In granting Mr. Harwick qualified immunity, the court found that, at the time of Dr. Benjamin’s termination, the law was not “clearly established” that the WSBA was a “public entity for purposes of Benjamin’s termination,” nor was it clearly established that “Dr. Benjamin’s speech
Appellant sought direct review by this court which was initially denied on February 27, 1997 because the trial court’s orders did not dispose of the entire lawsuit.
DISCUSSION
Standard of Review
Under Civil Rule (CR) 56(c), a complaint may be dismissed on a motion for summary judgment “if the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.” A dismissal under this rule involves a question of law which is reviewed de novo by an appellate court.
Free Speech
The free speech rights of public employees under
The public employee who claims a constitutional violation of the employee’s free speech rights must demonstrate that the speech in question is entitled to constitutional protection.
Courts employ a four-part inquiry to establish whether there has been a free speech violation:
(1) The court “decides the threshold issue whether the speech involved . . . [is] on a matter of public concern”;56
(2) If the speech is on a matter of public concern, “the court decides whether the employee’s interest in exercising [the employee’s] right to freedom of speech is greater than the interest of the government in promoting efficiency in the public service it performs.”57 “Although the employee has the burden of showing that the speech is on a matter of public concern, courts generally . . . require the employer to demon*518 strate that the discharge . . . was justified because of the employer’s need to promote efficiency in the workplace”;58
(3) If the free speech interests of the public employee outweigh the government’s interest in efficient management, the public employee must show the speech was a substantial motivating factor in the adverse employment of which the employee complains;59 and
(4) If the public employee is able to meet the burden under part (3), then the public employer must demonstrate that the same decision would have been made even without the protected speech.60
While parts (1) and (2) of the inquiry are questions of law, parts (3) and (4) are questions of fact usually left to the finder of fact.
Although there is no bright-line rule for determining what constitutes constitutionally protected speech, courts have nevertheless been given some guidance for balancing employees’ free speech interests against the government’s interests in having an efficient workplace. Factors which may be considered by courts include “whether the statement impairs discipline by superiors or harmony among co-workers, has detrimental impact on close working relationships for which personal loyalty and confidence are necessary, or impedes the performance of the speaker’s duties or interferes with the regular operation of the enterprise.”
In addition, in Binkley v. City of Tacoma this court observed that the employee’s speech is not to be considered “in a vacuum,” but the court must consider whether “ ‘the
Appellant’s argument focuses on the trial court’s determination that, even though Appellant’s speech did involve a matter of public concern, the employer’s interests in an efficient workplace outweighed Appellant’s free speech interests. Appellant contends that Respondents “failed to offer a whit of evidence” on any of the factors courts must consider in balancing the public employee’s interests against the interests of the government.
Because the United States Supreme Court has not drawn a bright-line rule in public employee free speech cases, but instead has developed a balancing test, analysis in public employee free speech cases is fact-sensitive as stated in
Appellant cites Waters v. Churchill in support of the proposition thát predictions of harm through disruption “must” be based upon a “substantial showing that the speech is, in fact, likely to be disruptive.”
[W]e have consistently given greater deference to government predictions of harm used to justify restriction of employee speech than to predictions of harm used to justify restrictions on the speech of the public at large. . . . [W]e have given substantial weight to government employers’ reasonable prediction of disruption, even when the speech involved is on a matter of public concern . . . ,[71]
Appellant contends that “the manner, time and place of Benjamin’s speech suggest no potential for disruption.”
In such a context, it is reasonable for the government employee to expect that certain disagreements, particularly disagreements over revenue-enhancing strategies, might likely have a detrimental effect on close working relationships for which personal loyalty and confidence are necessary. Appellant argues that a showing of actual and significant harm is necessary,
When close working relationships are essential to fulfilling public responsibilities, a wide degree of deference to the*522 employer’s judgment is appropriate. Furthermore, we do not see the necessity for an employer to allow events to unfold to the extent that the disruption of the office and the destruction of working relationships is manifest before taking action.[81]
Under this standard, it is not unreasonable for a government employer (in this case Mr. Harwick and the WSBA) to believe that opposition by an employee (in this case Dr. Benjamin) to policies to enhance revenues during a time of a financial crisis would interfere with the regular operation of the Association.
Appellant contends that because he reported to the WSBA executive director for administrative matters and to the LAP Steering Committee for programmatic issues, his “duty of confidence or loyalty on programmatic issues ran to the LAP Steering Committee, not to the executive director.”
In determining whether the government employer has demonstrated the need for loyalty and confidentiality from an employee, courts have examined whether the employee is a policy maker. In Dicomes v. State,
This court stated in Dicomes: “[A] public employee’s interest in freedom of speech may be overridden where the State shows a need for political loyalty and confidentiality of its employees who are vested with discretionary authority and policy-making responsibilities.”
Appellant Benjamin’s own declaration that the director of the LAP does not make policy is the only support he provides for his contention that he was not a policy maker.
At least two of the factors outlined in Dicomes are implicated in Dr. Benjamin’s seeking funding for a study of job-related stress in women: procuring funding and conducting studies.
In addition to examining the time, manner and place of the speech in question and whether the speaker is a policy maker, this court in Binkley observed: “Where the employee’s speech is a matter of public concern in only a limited sense, the employer’s burden of justification is lighter.”
In Wilson v. State, the director of a state hospital pharmacy department claimed that his free speech rights had been violated when he was demoted after he made certain comments concerning his superiors’ management.
was not seeking to inform the public that the administration was derelict in serving Hospital patients. Rather, he was justifying his own actions and philosophy and attempting to protect his own position. Although the general topic of quality patient care is one of public import, the connection between that topic and Wilson’s speech is tenuous.[104]
In White v. State, the court concluded that the speech in question (a nurse’s report of suspected abuse of nursing home patients) clearly was connected to a matter of public concern because to find otherwise would be “contrary to the public policy of the state as reflected in RCW 70.124 (abuse of nursing home patients).”
The Wilson and White cases illustrate the difficulties in determining the public significance of an employee’s speech. General Rule (GR) 12(b)(8) gives the WSBA authority to establish a program to help impaired attorneys. That program is not mandated. The administrative detail of determining how much to charge LAP clients is of less public concern than was the speech in White. The evidence in this case supports a conclusion that the speech of the employee, Dr. Benjamin, occurred within the context of a fiscal crisis of the WSBA and that the employee was a policy maker. From this we conclude that the trial court was correct in dismissing the free speech claims of Appellant. There was no constitutional violation when the interests of Appellant, as a public employee, are weighed against the
Qualified Immunity
The doctrine of qualified immunity limits the exposure of public officials to liability for damages under 42 U.S.C. § 1983.
The first step in this analysis is to determine whether a violation of a constitutional right has occurred.
SUMMARY AND CONCLUSIONS
The King County Superior Court on summary judgment dismissed Appellant G. Andrew H. Benjamin’s free speech claims, finding that, while there was state action and that the speech involved a matter of public concern, the employer’s interests in efficient management outweighed the employee’s free speech interests. In addition, the trial court found that Appellant was a “policymaker.” The court granted Respondent Dennis E Harwick qualified immunity, finding that, at the time of the termination, the law was not clearly established that the action constituted state action and that the speech involved a matter of public concern.
An analysis of public employee free speech cases includes a balancing test first announced by the United States Supreme Court in 1968 in Pickering v. Board of Education
Examining the evidence in the light most favorable to the nonmoving party leads us to the determination there is sufficient evidence on the record in this case to conclude that Appellant Benjamin’s exercise of his right to speak
We affirm the judgment of the King County Superior Court which dismissed on summary judgment Appellant G. Andrew H. Benjamin’s complaints against the Washington State Bar Association and Dennis E and Rebecca Harwick.
Guy, C.J., Durham, J., and Dolliver and Brown, JJ. Pro Tern., concur.
Clerk’s Papers at 3 and 8.
Id. at 620 and 626.
Id. at 633-34.
The WSBA Employee Handbook refers to the program as the Lawyer Assistance Program. Clerk’s Papers at 43. It is also referred to in the record as the Lawyers’ Assistance Program.
Clerk’s Papers at 7.
Id. The federal Civil Rights Act of 1871, 42 U.S.C. § 1983, provides a cause of action for damages against any person who, under color of law, subjects another to the deprivation of any right guaranteed under the United States Constitution. Allen K. Chen, The Burdens of Qualified Immunity: Summary Judgment and the Role of Facts in Constitutional Tort Law, 47 Am. U. L. Rev. 1, 10 (1997). In response to southern Black Codes, Congress enacted the Ku Klux Act in which this section originated. The Act was a means to enforce the 14th Amendment. Cristine Kuhn, Note, Between Scylla and Charybdis: Can the Supreme Court Rescue the Inimical Qualified Immunity Doctrine? 43 Drake L. Rev. 681, 683 (1995).
Clerk’s Papers at 623-24.
Id. at 624-25.
Id. at 3. Appellant Benjamin holds a J.D. degree and has been admitted to the Arizona State bar, but not the Washington State bar. Id. at 73. He also holds a Ph.D. degree in clinical psychology. Id. at 340.
Id. at 249.
GR 12(b)(14).
Clerk’s Papers at 341.
Id. at 4.
Id.
Id. at 4.
Id. at 57, 343.
Id. at 58.
The record indicates two different dates for the staff retreat, October 17, 1993 and October 19, 1993. Id. at 4 and 58.
Id. at 58-59. Appellant described the LAP staff meeting as “very acrimonious” and stated that two of three staff supported increasing fees. Id. at 58. Appellant also stated that indigent lawyers made up “a lot” of his case load. Id. at 59.
Id. at 59.
Id. at 47-48, 361A. The comments by Dennis E Harwick in Appellant’s employee performance appraisal are dated November 3, 1993, the day before the Steering Committee meeting. The form shows it was given to Appellant on November 4, 1993. Id. at 361-361A.
Id. at 361A.
Id. at 75-82, 295-300.
Id. at 115.
Id. at 367, 369.
Id. at 185, 193-94.
Id. at 24-25.
Id. at 625, 8.
Id. at 111-32, Defendants’ Mot. for Partial Snmm. J.
Id. at 117.
Id.
Id. at 119.
Id. at 126.
Id. at 129-30.
Id. at 125.
Id. at 83-110.
Id. at 85-87.
Id. at 585, 590, Order Granting Def.’s Mot. for Partial Summ. J.
Id. at 586.
Id. at 587.
Id.
Id.
Id. at 591, Order Granting Defs.’ Harwicks’ Supplemental Mot. for Summ. J.
Ruling Den. Review at 2-3.
Clerk’s Papers at 595.
Br. of Resp’t Washington State Bar Association at 48.
Lamon v. McDonnell Douglas Corp., 91 Wn.2d 345, 349, 588 P.2d 1346 (1979).
Folsom v. Burger King, 135 Wn.2d 658, 663, 958 P.2d 301 (1998).
Appellant claimed protection under the free speech clauses of both the federal and Washington constitutions. The trial court granted defendants’ [Respondents’] motion for partial summary judgment under both the federal and state constitutions. Clerk’s Papers at 587. Appellant stated before this court, however, that he was not asking us to interpret the state constitution “more broadly” than the federal free speech clause. Am. Br. of Appellant at 14 n.6. It is sufficient to confine analysis of the claims against Respondents Harwick to the federal constitution. Appellant Benjamin’s claim against the WSBA rested solely on the free speech clause of the Washington Constitution. Clerk’s Papers at 624. Appellant acknowledged the WSBA could not be sued under 42 U.S.C. § 1983 because it is a state agency, but can he sued under article I, section 5 of the state constitution. Am. Br. of Appellant at 14 n.6. Assertion of more rights under the Washington Constitution than under the federal constitution requires a Gunwall analysis. State v. Gunwall, 106 Wn.2d 54, 720 P.2d 808, 76 A.L.R.4th 517 (1986). Nelson v. McClatchy Newspapers, Inc., 131 Wn.2d 523, 538, 936 P.2d 1123 cert. denied, 522 U.S. 86 (1997). See also Br. of Amicus Curiae Washington Defense Trial Lawyers at 11. Appellant has not provided that analysis. We therefore do not address whether there is an implied cause of action under the free speech clause of the state constitution.
Binkley v. City of Tacoma, 114 Wn.2d 373, 381, 787 P.2d 1366 (1990) (citing Pickering v. Board of Educ., 391 U.S. 563, 568, 88 S. Ct. 1731, 20 L. Ed. 2d 811 (1968)). This has not always been the case. For much of the twentieth century, the common understanding was that public employees could not object to restraints placed on the exercise of constitutional rights. “The classic formulation of this position was Justice Holmes, who, when sitting on the Supreme Judicial Court of Massachusetts, observed: ‘[A policeman] may have a constitutional right to talk politics, but he has no constitutional right to be a policeman.’ ” Connick v. Myers, 461 U.S. 138, 143-44, 103 S. Ct. 1684, 75 L. Ed. 2d 708 (1983) (quoting McAuliffe v. Mayor of New Bedford, 155 Mass. 216, 220, 29 N.E. 517 (1892). The understanding shifted in the 1950s and 1960s in the United States Supreme Court’s loyalty oath cases. See Connick, 461 U.S. at 144.
Pickering, 391 U.S. at 568.
James G. Fahey, Notes and Comments, United States v. National Treasury Employees Union; Restrictions on Free Speech of Government Employees and the Re-balancing of Pickering, 15 St. Louis U. Pub. L. Rev. 555, 556 (1996).
Wilson v. State, 84 Wn. App. 332, 340, 929 P.2d 448 (1996), review denied, 131 Wn.2d 1022, 937 P.2d 1103, cert. denied, 522 U.S. 949, 118 S. Ct. 368, 139 L. Ed. 2d 286 (1997).
Dicomes v. State, 113 Wn.2d 612, 624, 782 P.2d 1002 (1989).
White v. State, 131 Wn.2d 1, 13, 929 P.2d 396 (1997).
Id. at 11. See also Binkley, 114 Wn.2d at 382; Connick, 461 U.S. at 147-48. Respondents assign error to the trial court’s threshold findings that termination of Appellant constituted state action and that the speech prompting termination was a matter of public concern. Br. of Resp’t WSBA at 1. Under RAP 2.5(a), a party may raise a claim for “manifest error affecting a constitutional right” for the first time in the appellate court. Because of the conclusions we reach in this case we do not address that assignment of error.
White, 131 Wn.2d at 11 (citing Waters v. Churchill, 511 U.S. 661, 668, 114 S. Ct. 1878, 128 L. Ed. 2d 686 (1994); Rankin v. McPherson, 483 U.S. 378, 384-85, 107 S. Ct. 2891, 97 L. Ed. 2d 315 (1987).
White, 131 Wn.2d at 14 (emphasis omitted) (citing Binkley, 114 Wn.2d at 383).
White, 131 Wn.2d at 16. See also Mt. Healthy City Sch. Dist. Bd. of Educ. v. Doyle, 429 U.S. 274, 287, 97 S. Ct. 568, 50 L. Ed. 2d 471 (1977); Binkley, 114 Wn.2d at 382.
Binkley, 114 Wn.2d at 382.
Id.
Rankin, 483 U.S. at 388.
114 Wn.2d at 384 (quoting Rankin, 483 U.S. at 388). See also Givhan v. Western Line Consol. Sch. Dist., 439 U.S. 410, 415 n.4, 99 S. Ct. 693, 58 L. Ed. 2d 619 (1979); Connick, 461 U.S. at 152-53.
James G. Fahey, Notes and Comments, United States v. National Treasury Employees Union; Restrictions of Free Speech of Government Employees and the Rebalancing of Pickering, 15 St. Louis U. Pub. L. Rev. 555, 566-67 (1996).
Am. Br. of Appellant at 20.
Id. at 14.
White, 131 Wn.2d at 15. (Emphasis added.)
391 U.S. at 569. “Balancing tests, like all legal standards, necessitate individualized, context-specific determinations of constitutional rights because the quantum of interests may vary substantially from case to case, even under the same constitutional provision.” Allen K. Chen, The Burdens of Qualified Immunity: Summary Judgment and the Role of Facts in Constitutional Tort Law, 47 Am. U. L. Rev. 1, 45 (1997).
511 U.S: 661, 674, 114 S. Ct. 1878, 128 L. Ed. 2d 686 (1994). Am. Br. of Appellant at 19.
Waters, 511 U.S. at 674. (Emphasis added.)
71Id. at 673.
Am. Br. of Appellant at 25.
Clerk’s Papers at 216.
Id. at 218.
Id. at 353.
Id.
Id. at 359-60.
Tr. of Hr’g at 19.
Jd.
Am. Br. of Appellant at 22.
81Connick, 461 U.S. at 151-52.
Arn. Br. of Appellant at 22. Appellant argues that the dispute over whether to increase client fees was a programmatic issue. When asked if he considered increasing fees a programmatic issue, Mr. Harwick replied, “I believe that I would consider it a programmatic issue.” Clerk’s Papers at 279.
Clerk’s Papers at 43-44. Section I.F.2 of the WSBA Employee Handbook states: “The Board of Governors employs an Executive Director who is the chief of staff. The Executive Director has full administrative authority, including the authority to set staff/personnel policies, to set salaries, and to employ and terminate staff. The Executive Director’s decision on all definitions and interpretations involving this Employee Handbook shall be final.” Clerk’s Papers at 43. Section I.W states: “Termination may result at any time and for any reason not prohibited by law. Grounds for termination include, but are not limited to, violation of the provisions of the WSBA Employee Handbook, excessive absenteeism, failure to meet required work standards or objectives, dishonesty, disruptive behavior, inability to maintain proper working relationships, exceeding the limits of one’s authority, and conduct prejudicial to the best interests of the WSBA.” Clerk’s Papers at 44.
Id. at 256.
Tr. of Hr’g at 38.
113 Wn.2d 612, 613-14, 782 P.2d 1002 (1989).
Id. at 616.
Id. at 627.
Id. at 626.
Id. at 628.
Am. Br. of Appellant at 23.
Clerk’s Papers at 4.
Id. at 209.
Id. at 418-19. (Emphasis added.)
Id. at 367. In Dr. Benjamin’s 1993 Employee Performance Appraisal, Mr. Harwick mentioned five studies proposed by Dr. Benjamin. Id. at 361A.
Id. at 419-20. The other reason given by the Steering Committee member for the dual reporting responsibility was to protect the confldentialiiy of the LAE Id. at 420.
Binkley v. City of Tacoma, 114 Wn.2d 373, 383, 787 P.2d 1366 (1990).
Id. at 377.
Id. at 382-83.
Id. at 384.
84 Wn. App. 332, 335-36, 929 P.2d 448 (1996), review denied, 131 Wn.2d 1022, 937 P.2d 1103, cert. denied, 522 U.S. 949, 118 S. Ct. 368, 139 L. Ed. 2d 286 (1997).
Id. at 343.
Id. at 343 (citing Meyer v. University of Wash. 105 Wn.2d 847, 851, 719 P.2d 98 (1986)).
104Wilson, 84 Wn. App. at 347.
131 Wn.2d 1, 16, 929 P.2d 396 (1997).
Clerk’s Papers at 384-85, 460 and Reply Br. of Appellant at 19-20.
Allen K. Chen, The Burdens of Qualified Immunity: Summary Judgment and the Role of Facts in Constitutional Tort Law, 47 Am. U. L. Rev. 1, 2, 10 (1997).
Id. at 2.
Harlow v. Fitzgerald, 457 U.S. 800, 818, 102 S. Ct. 2727, 73 L. Ed. 2d 396 (1982).
Siegert v. Gilley, 500 U.S. 226, 232, 111 S. Ct. 1789, 114 L. Ed. 2d 277 (1991).
391 U.S. 563, 88 S. Ct. 1731, 20 L. Ed. 2d 811 (1968).