Federal Circuits, 1st Cir. (August 23, 1995)
Docket number: 95-1223
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U.S. Supreme Court - Siegert v. Gilley, 500 U.S. 226 (1991)
U.S. Supreme Court - Rankin v. McPherson, 483 U.S. 378 (1987)
U.S. Supreme Court - Mitchell v. Forsyth, 472 U.S. 511 (1985)
U.S. Supreme Court - Mt. Healthy City Bd. of Ed. v. Doyle, 429 U.S. 274 (1977)
U.S. Court of Appeals for the 1st Cir. - Guilloty-Perez v. Pierluisi (1st Cir. 1999)
U.S. Court of Appeals for the 1st Cir. - Berdecia-Perez v. Zayas-Green (1st Cir. 1997)
U.S. Court of Appeals for the 1st Cir. - 74 Fair Empl.Prac.Cas. (Bna) 1086, 71 Empl. Prac. Dec. P 44,944 Rhoda Tang, Plaintiff, Appellee, v. State of Rhode Island, Department of Elderly Affairs and Maureen Maigret and Susan Sweet, in Their Individual and Official Capacities, Defendants, Appellants., 120 F.3d 325 (1st Cir. 1997) 71 Empl. Prac. Dec. P 44,944 Rhoda Tang, Plaintiff, Appellee, v. State of Rhode Island, Department of Elderly Affairs and Maureen Maigret and Susan Sweet, in Their Individual and Official Capacities, Defendants, Appellants.
Richard E. Brody, with whom Thomas M. Elcock and Morrison, Mahoney & Miller, Boston, MA, were on brief, for appellants.
Harvey A. Schwartz, with whom Schwartz, Shaw & Griffith, Boston, MA, was on brief, for appellees.Before SELYA, CYR and LYNCH, Circuit Judges.SELYA, Circuit Judge.This appeal, which requires us to apply the teachings of Johnson v. Jones, --- U.S. ----, 115 S.Ct. 2151, 132 L.Ed.2d 238 (1995), furnishes virtually a textbook model of the limits of interlocutory review of qualified immunity matters in the post-Johnson era. We conclude that we have jurisdiction over only one facet of the appeal and, on that facet, we affirm the challenged order.I. BACKGROUNDThis case comes before us for the second time. See Stella v. Town of Tewksbury, 4 F.3d 53 (1st Cir.1993). We retell the tale only to the extent necessary to put the issues that we must decide into workable perspective.In Tewksbury, Massachusetts (the Town), the five members of the Zoning Board of Appeals (the Board) are appointed for fixed terms by the Town's governing body (the Board of Selectmen) and may be removed during their terms only for cause. Plaintiffs Charles Stella, J. Peter Downing and Bruce Gordon formerly served on the Board. In that capacity, they voted to grant several controversial variances. When residents complained and the selectmen urged stricter enforcement of the Town's zoning code, the Board balked. Even after the selectmen instigated a citizens' petition demanding greater rigor, and succeeded in attracting over 1,000 signatures, the Board did not mend its ways.In October of 1989, the selectmen created a two-member subcommittee to investigate the Board's performance. The subcommittee held public hearings at which various complaints were aired. When the Board refused to change course, the selectmen decided to clean house. After the Commonwealth's attorney general thwarted an effort by two selectmen, John J. Kelley, Jr. and William J. Hurton, to reduce the size of the Board from five members to three, the selectmen instituted proceedings regarding the possible removal of Board members for cause.1 This time, a bare majority of the selectmen--Kelley, Hurton, and Thomas Camara--succeeded in ousting members of the Board from office on a series of three-to-two votes.2In May 1991, three of the casualties of this putsch filed suit against Kelley, Hurton, Camara, and the Town pursuant to 42 U.S.C. Sec . 1983 (1988). Their flagship claim was that the selectmen cashiered them in retaliation for their speech (the votes they had cast), thus abridging the First Amendment.3We need not recount the murmur of skirmishes that ensued. It suffices to say that after two notoriously false starts (one of which sparked the parties' earlier journey to this court) the selectmen moved for summary judgment on qualified immunity grounds. The district court at first granted the motion but, on reconsideration, reversed its field. The selectmen now appeal from the order denying summary judgment.II. DISCUSSIONWe begin with the architecture of the qualified immunity defense. We then consider the teachings gleaned from Johnson v. Jones. Finally, we apply the lessons we have learned to the problems that confront us.* Public officials accused of civil rights violations may raise the defense of qualified immunity as a shield against claims for damages arising out of their actions. If, however, the official's conduct violated some right emanating from federal law, and if the law was clearly established at the time of the infringement, so that an objectively reasonable actor would have realized that his conduct violated the plaintiff's rights, then the qualified immunity defense is unavailable. See Harlow v. Fitzgerald, 457 U.S. 800, 818-19, 102 S.Ct. 2727, 2738-39, 73 L.Ed.2d 396 (1982); Buenrostro v. Collazo, 973 F.2d 39, 42 (1st Cir.1992). Thus, the doctrine of qualified immunity limits a plaintiff's damages against state actors "insofar as their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known." Harlow, 457 U.S. at 818, 102 S.Ct. at 2738.The meaning of the adjectival phrase "clearly established," as it operates in the qualified immunity arena, has not always been clearly established. The Court has, however, attempted to explicate the phrase:The contours of the right must be sufficiently clear that a reasonable official would understand that what he is doing violates that right. This is not to say that an official action is protected by qualified immunity unless the very action in question has previously been held unlawful, but it is to say that in the light of preexisting law the unlawfulness must be apparent.Anderson v. Creighton, 483 U.S. 635, 640, 107 S.Ct. 3034, 3039, 97 L.Ed.2d 523 (1987) (citation omitted); see also Crooker v. Metallo, 5 F.3d 583, 585 (1st Cir.1993); Rodi v. Ventetuolo, 941 F.2d 22, 30 (1st Cir.1991). We recently wrote: "The inquiry into the nature of a constitutional right for the purpose of ascertaining clear establishment seeks to discover whether the right was reasonably well settled at the time of the challenged conduct and whether the manner in which the right related to the conduct was apparent." Martinez v. Colon, 54 F.3d 980, 988 (1st Cir.1995).BThe qualified immunity defense is, in part, an immunity from trial as well as an immunity from damage awards. See Siegert v. Gilley, 500 U.S. 226, 232, 111 S.Ct. 1789, 1793, 114 L.Ed.2d 277 (1991). Thus, the defense may be asserted by a pretrial motion and, if the motion is rejected, immediate appellate review is sometimes available. See Mitchell v. Forsyth, 472 U.S. 511, 530, 105 S.Ct. 2806, 2817, 86 L.Ed.2d 411 (1985).In Johnson v. Jones, the Supreme Court cast new light on the circumstances under which an immediate appeal will lie from the denial of a pretrial motion asserting a qualified immunity defense. The plaintiff, Houston Jones, brought a section 1983 action against five police officers, claiming that they used excessive force incident to his arrest and detention. Three of the five officers proffered a qualified immunity defense and moved for summary judgment, contending that they knew nothing about the alleged beating. The district court denied the motion, finding enough circumstantial evidence to raise genuine issues of material fact anent the movants' liability. The movants pursued an interlocutory appeal, arguing that the record reflected no trialworthy questions. The Seventh Circuit dismissed the appeal, discerning an absence of appellate jurisdiction. 26 F.3d 727, 728 (7th Cir.1994).The Supreme Court granted certiorari and, resolving a split in the circuits,4 held that "a defendant, entitled to invoke a qualified-immunity defense, may not appeal a district court's summary judgment order insofar as that order determines whether or not the pretrial record sets forth a 'genuine' issue of fact for trial." Johnson, --- U.S. at ----, 115 S.Ct. at 2159. Thus, on the one hand, a district court's pretrial rejection of a proffered qualified immunity defense remains immediately appealable as a collateral order to the extent that it turns on a pure issue of law, notwithstanding the absence of a final judgment. See id. at ----, 115 S.Ct. at 2158; Mitchell, 472 U.S. at 530, 105 S.Ct. at 2817. On the other hand, a district court's pretrial rejection of a qualified immunity defense is not immediately appealable to the extent that it turns on either an issue of fact or an issue perceived by the trial court to be an issue of fact. See Johnson, --- U.S. at ----, 115 S.Ct. at 2159. In such a situation, the movant must await the entry of final judgment before appealing the adverse ruling. See id.; see also 28 U.S.C. Sec . 1291 (1988).The bottom line, then, is simply this: a summary judgment order which determines that the pretrial record sets forth a genuine issue of fact, as distinguished from an order that determines whether certain given facts demonstrate, under clearly established law, a violation of some federally protected right, is not reviewable on demand. In reaching this branch of its holding, the Court abrogated our earlier decision in Unwin v. Campbell, 863 F.2d 124, 132 (1st Cir.1988) (determining that appellate jurisdiction exists in qualified immunity cases for interlocutory appeals brought to test denials of summary judgment that turn on questions of alleged evidentiary insufficiency). Consequently, we acknowledge that Unwin and its progeny are no longer good law.5CThe threshold question for our consideration is whether Johnson applies retroactively to cases pending on direct appeal on the date the Court handed down its opinion. We hold that it does. When dealing with matters that govern a court's jurisdiction, there is no conceivable bar to retroactive application of a "new," judicially declared rule. Thus, regardless of the fact that the selectmen filed their notice of appeal prior to the Court's decision, Johnson controls.In this case, Johnson requires that we parse the complaint. The plaintiffs claim that the selectmen removed them from the Board because of their voting patterns, and that this unceremonious dumping infringed a constitutionally protected right (free speech). The legal framework that applies to claims of this genre is settled beyond hope of contradiction. When a former government employee brings a First Amendment suit against his employer for taking an adverse employment action against him on the basis of his speech, the premier precedent is Mt. Healthy City Sch. Dist. Bd. of Educ. v. Doyle, 429 U.S. 274, 97 S.Ct. 568, 50 L.Ed.2d 471 (1977). Under the Mt. Healthy paradigm, the plaintiff must show both that his speech was constitutionally protected, and that it was a "substantial" or "motivating" factor for the adverse action taken against him. Id. at 287, 97 S.Ct. at 576. If the plaintiff meets these requirements, the burden of persuasion shifts, and the defendant must then prove "by a preponderance of the evidence" that the employment action was not affected by the speech, that is, that the employer would have acted in the same way toward the plaintiff "even in the absence of the protected conduct." Id. The plaintiffs' First Amendment claim tracks this model. They say, in substance, that their votes were constitutionally protected, and that the selectmen's desire to stifle this "speech" was the salient factor in their removal. The selectmen offer a twofold rejoinder. They assert, first, that the plaintiffs' votes are not constitutionally protected speech (or, at least, that the constitutional protection was not clearly established in 1990, when the selectmen acted), and, second, that the evidence conclusively shows that the plaintiffs were ousted for due cause, namely, incompetence, dereliction of duty, and an intransigent refusal to follow the law.In denying the selectmen's motion for summary judgment, the lower court resolved both of these points in the plaintiffs' favor; the court ruled that the plaintiffs' votes were entitled to free-speech protection, and that the plaintiffs had limned a trialworthy question as to the selectmen's motivation. The selectmen challenge this ruling in both its particulars.DThe interface between Johnson and the two-pronged Mt. Healthy test provides an excellent example of the newly stated limits on appellate jurisdiction in respect to interlocutory appeals from pretrial orders rejecting qualified immunity defenses. Under Johnson, we have jurisdiction to inquire into the first of the selectmen's challenges, that is, to examine the existence vel non of a constitutionally protected right. See Johnson, --- U.S. at ----, 115 S.Ct. at 2158. But we lack the power to inquire into, or address, the second of these challenges, that is, the fact-based question of what the evidence does (or does not) show concerning whether the selectmen's actions violated the asserted right--a question that depends, in this case, on the selectmen's motives in ejecting the plaintiffs from their seats on the Board. See id. at ----, 115 S.Ct. at 2159.The initial question under Mt. Healthy asks whether a constitutionally protected right is in play at all. This is essentially a legal, not a factual, inquiry. See Wright v. Illinois Dep't of Children & Family Servs., 40 F.3d 1492, 1498-99 (7th Cir.1994); Williams v. Kentucky, 24 F.3d 1526, 1532 (6th Cir.), cert. denied, --- U.S. ----, 115 S.Ct. 358, 130 L.Ed.2d 312 (1994). As the query is framed, the answer to it does not depend upon whose account of the facts is correct. Thus, Johnson--which permits immediate review of the rejection of a qualified immunity claim when the issue appealed concerns not what facts the litigants might (or might not) be able to prove, but, rather, whether a given set of facts shows a violation of a federally protected right--permits immediate review of the trial court's order in this respect. See Johnson, --- U.S. at ----, 115 S.Ct. at 2158; Mitchell, 472 U.S. at 528, 105 S.Ct. at 2816. Since appellate jurisdiction exists to this extent, we proceed to examine the selectmen's contention on its merits.Basically, the selectmen maintain that the speech at issue here--votes cast by public officials--is not a form of speech protected by the First Amendment. We do not agree. Voting by members of municipal boards, commissions, and authorities comes within the heartland of First Amendment doctrine, and the status of public officials' votes as constitutionally protected speech was established beyond peradventure of doubt at the time the selectmen defenestrated the plaintiffs.The dispositive precedent on these points is our opinion in Miller v. Town of Hull, 878 F.2d 523 (1st Cir.), cert. denied,Try vLex for FREE for 3 days
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