Federal Circuits, 9th Cir. (February 18, 2003)
Docket number: 00-36097
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Louisiana Law Review - Local Government Law
U.S. Court of Appeals for the 9th Cir. - Navajo Nation, Plaintiff-Appellant, v. James W. Norris; Gayle Norris, Defendants-Appellees, v. Confederated Tribes and Bands of the Yakama Indian Nation, Plaintiff-Intervenor. Navajo Nation, Plaintiff, v. James W. Norris; Gayle Norris, Defendants-Appellees, v. Confederated Tribes and Bands of the Yakama Indian Nation, Plaintiff-Intervenor-Appellant., 331 F.3d 1041 (9th Cir. 2003) Plaintiff-Appellant, v. James W. Norris; Gayle Norris, Defendants-Appellees, v. Confederated Tribes and Bands of the Yakama Indian Nation, Plaintiff-Intervenor. Navajo Nation, Plaintiff, v. James W. Norris; Gayle Norris, Defendants-Appellees, v. Confederated Tribes and Bands of the Yakama Indian Nation, Plaintiff-Intervenor-Appellant.
U.S. Court of Appeals for the 9th Cir. - FREITAG V AYERS (9th Cir. 2006)
Joseph D. Robertson, Salem, OR, for the defendants-appellees.
Appeal from the United States District Court for the District of Oregon; Thomas M. Coffin, Magistrate Judge, Presiding. D.C. No. CV-98-06039-TMC.Before: FERGUSON, W. FLETCHER, Circuit Judges, and KING,* District Judge.WILLIAM A. FLETCHER, Circuit Judge:Plaintiffs, current and former employees of the City of Salem, Oregon, sued under 42 U.S.C. 1983, alleging that defendants violated their First Amendment rights by retaliating against them for publicly disclosing health and safety hazards. The magistrate judge, hearing the case with the permission of the parties, granted defendants' motion for summary judgment after finding that most of the alleged retaliatory acts were not adverse employment actions because they did not constitute "loss[es] of ... valuable benefit[s] or privilege[s]," and that retaliation was not a substantial or motivating factor behind those few actions that were adverse employment actions.We reverse and remand. In a First Amendment retaliation case, an adverse employment action is an act that is reasonably likely to deter employees from engaging in constitutionally protected speech. Further, when adverse employment actions are taken between three and eight months after the plaintiffs' protected speech, a reasonable jury could infer that retaliation is a substantial or motivating factor.I. BackgroundPlaintiff Guido Coszalter is a current employee, and plaintiffs Steve Johnson and Gary Jones are former employees, of the City of Salem Public Works Department. During most of the events in questions, all three plaintiffs worked as members of the "main line crew" of the Sewer Division of the Public Works Department. Plaintiffs contend that, beginning in mid-1996, defendants retaliated against them for publicly disclosing health and safety hazards encountered in the course of their employment.The facts in this case are disputed. A summary of events, according to plaintiffs' evidence, follows in chronological order:1. On approximately July 8, 1996, plaintiff Coszalter contacted the news media to disclose the existence of an ongoing sewage discharge on the surface of a city street in a residential neighborhood.2. After work on the discharge was completed on July 11, 1996, defendants punitively reassigned plaintiffs Jones and Coszalter to new duties and admonished their replacements that if Coszalter was observed in the area of their work, he was not to be allowed on any sewer repair site.3. Subsequent to the reassignments in #2, plaintiff Johnson complained of unsafe working conditions and violations of safety codes to the State of Oregon Occupational Safety and Health Administration ("OR-OSHA"), and Coszalter made complaints to the Risk Manager of the City of Salem.4. Defendants thereupon initiated a disciplinary investigation of Coszalter, alleging that he was responsible for the safety violations that he had reported to management. After completion of the investigation, plaintiffs were reassigned to their previous crew organization and duties.5. On or about August 21, 1996, plaintiffs notified the Oregon Department of Environmental Quality ("DEQ") of raw sewage discharge from a sewer main at the Battlecreek pump station. The discharge allowed the sewage to escape into the environment, including a protected wetland.6. Coszalter was wrongly blamed for a cost overrun resulting from the additional work required to clean up the discharge in #5.7. In September 1996, Coszalter reported to defendants the spillage of raw sewage from a city pump trunk; the spillage was diverted into a municipal storm sewer. Coszalter was not involved in the spill or diversion.8. Coszalter was issued a reprimand and accused of causing the events in #7. This reprimand was revoked after negotiations.9. In December 1996, Coszalter reported to the Risk Manager that a blocked sewer main at Laurel Avenue was causing a raw sewage discharge in the basement of a residence.10. On June 4, 1997, plaintiffs performed sewer repair work underneath Rose Street. On June 5, 1997, defendants notified plaintiffs that there was chemical contamination present in the soil and groundwater under Rose Street.11. Sometime after June 4, 1997, plaintiffs notified OR-OSHA of their potentially harmful exposure to contaminants resulting from the work assignment under Rose Street.12. On or about July 11, 1997, plaintiffs contacted the Salem Statesman Journal to notify it of the Rose Street contaminants and of plaintiffs' exposure to them.13. On December 8, 1997, OR-OSHA issued a citation to the City of Salem, charging it with three serious violations of mandatory safety regulations during the Rose Street excavations.14. On or about December 10, 1997, Coszalter notified the Statesman Journal that OR-OSHA had cited the City of Salem for exposing the workers to unsafe conditions. Coszalter was quoted in a Statesman Journal article as stating that he did not feel the fine was large enough. The newspaper then interviewed the Public Works Director of the City of Salem about the citations.15. After December 10, 1997, defendants subjected Coszalter and Jones to a criminal investigation and to repeated and ongoing verbal and other harassment and humiliation.16. Employees of defendants, encouraged by management and supervisory-level personnel, circulated and presented a petition to management requesting that plaintiffs be ordered to stop complaining and disclosing violations of the law.17. On March 3, 1998, defendants accused Johnson of physically assaulting one of the organizers of the petition campaign, subsequently suspended Johnson without pay for ten days, and commenced employment termination proceedings. Johnson denied physically assaulting anyone and filed a grievance contesting the suspension.18. In March 1998, defendants accused Jones and Coszalter of "disrupting" a safety training class, issued Jones a reprimand, and reduced Coszalter's pay by two steps. (Coszalter's pay reduction was later reduced to a written reprimand.)19. In April 1998, Jones discovered that the steering wheel on his backhoe had been vandalized, and reported that fact to management.20. Defendants told Jones he would receive another reprimand because he did not report the vandalism immediately, as required by policy.21. On May 5, 1998, defendants ordered Johnson and Coszalter to perform work moving manhole covers without mechanical aid. Johnson suffered a permanent injury to his right shoulder and has been unable to perform his prior work since that time.22. On May 5, 1998, the City of Salem terminated Coszalter's employment based on a charge that he had misused a cellular phone. Coszalter filed a grievance against his termination.23. On May 11, 1998, Jones resigned from his employment.24. On May 25, 1999, an arbitrator overruled the city's decision to terminate Coszalter, finding that he did not have sufficient notice of the city's policy on cellular phone usage. The arbitrator ordered Coszalter reinstated with full back pay.25. On June 3, 1999, an arbitrator upheld Johnson's grievance and set aside the ten-day suspension in #17, ordering payment of lost wages. At that time, Johnson was medically unable to return to work and resigned.26. In June 1999, after being reinstated, Coszalter asked for his ten-year service award. The City of Salem gave it to him but skipped the customary public recognition.27. On or about October 1, 1999, Coszalter notified OR-OSHA of violations by the City of state and federal safety codes and of violations of an earlier stipulated agreement with OR-OSHA.28. On January 5, 2000, OR-OSHA cited the City of Salem for serious violations of the applicable safety regulations.29. On January 20, 2000, the City of Salem commenced a "special appraisal," or a ninety-day special review, of Coszalter's "productivity" and "performance."30. On February 7, 2000, the City of Salem commenced disciplinary action against Coszalter regarding a January 12, 2002, incident in which Coszalter was not involved.31. On April 20, 2000, the city issued another "special appraisal" of Coszalter's work, commencing a second consecutive ninety-day special review of his "productivity" and "performance."Relying on our decision in Nunez v. City of Los Angeles, 147 F.3d 867 (9th Cir. 1998), the magistrate judge held, as to most of defendants' acts, that plaintiffs had not shown the loss of a valuable benefit or privilege and therefore had not shown an adverse employment action. Under his interpretation of Nunez, the magistrate judge found the following acts not to be adverse employment actions: temporary change of duties (#2); disciplinary investigation (#4); unwarranted blame (#6); reprimand containing false accusation (#8); criminal investigation (#15); repeated and ongoing verbal harassment and humiliation (# 15); employee-circulated petition (# 16); temporary and (later) remedied suspension (# 17); threat of disciplinary action (# 20); unpleasant work assignment (# 21); withholding of customary public recognition (# 26); unwarranted disciplinary action (# 30); and special appraisals (# 29 and # 31).The magistrate judge held that the reprimand against Jones (# 18), the reduction of Coszalter's pay (# 18), and the termination of Coszalter's employment (# 22) were adverse employment actions. He held, however, that Jones and Coszalter failed to demonstrate that retaliation for their protected speech was a substantial or motivating factor behind these three actions. He noted that almost eight months elapsed between Jones's speech on July 11, 1997 and the reprimand against him; that three months elapsed between Coszalter's December 10, 1997, speech and his reduction in pay; and that five months elapsed between Coszalter's speech and the termination of his employment. Given the elapsed time between the plaintiffs' protected First Amendment speech and the retaliatory actions, and the lack of direct evidence showing that this speech constituted a substantial or motivating factor, the magistrate judge held that defendants had not violated plaintiffs' First Amendment rights.The magistrate judge granted summary judgment to defendants, and plaintiffs timely appealed. We review a grant of summary judgment de novo. See Clicks Billiards, Inc. v. Sixshooters Inc., 251 F.3d 1252, 1257 (9th Cir.2001). Viewing the evidence in the light most favorable to the plaintiffs, we must determine whether there are any genuine issues of material fact and whether the magistrate judge correctly applied the relevant substantive law. See Id. II. First Amendment ViolationIn order to state a claim against a government employer for violation of the First Amendment, an employee must show (1) that he or she engaged in protected speech; (2) that the employer took "adverse employment action"; and (3) that his or her speech was a "substantial or motivating" factor for the adverse employment action. See Bd. of County Comm'rs v. Umbehr, 518 U.S. 668, 675, 116 S.Ct. 2342, 135 L.Ed.2d 843 (1996); Nunez, 147 F.3d at 874-75; Hyland v. Wonder, 972 F.2d 1129, 1135-36 (9th Cir.1992); Allen v. Scribner, 812 F.2d 426, 430-36 (9th Cir. 1987). We analyze these three requirements in turn.A. Protected Speech Under the First AmendmentAn employee's speech is protected under the First Amendment if it addresses "a matter of legitimate public concern." Pickering v. Bd. of Educ., 391 U.S. 563, 571, 88 S.Ct. 1731, 20 L.Ed.2d 811 (1968). See also Connick v. Myers, 461 U.S. 138, 149-50, 103 S.Ct. 1684, 75 L.Ed.2d 708 (1983). "[S]peech that concerns `issues about which information is needed or appropriate to enable the members of society' to make informed decisions about the operation of their government merits the highest degree of first amendment protection." McKinley v. City of Eloy, 705 F.2d 1110, 1114 (9th Cir.1983) (quoting Thornhill v. Alabama, 310 U.S. 88, 102, 60 S.Ct. 736, 84 L.Ed. 1093 (1940)). On the other hand, speech that deals with "individual personnel disputes and grievances" and that would be of "no relevance to the public's evaluation of the performance of governmental agencies" is generally not of "public concern." Id. The determination of whether an employee's speech deals with an issue of public concern is to be made with reference to "`the content, form, and context'" of the speech. Allen, 812 F.2d at 430 (quoting Connick, 461 U.S. at 147, 103 S.Ct. 1684).The magistrate judge correctly found under this standard that all of plaintiffs' assertions of protected speech, save one, regarded matters of public concern. The magistrate judge found that the following were constitutionally protected speech: Coszalter's contacting the news media to disclose the existence of an ongoing sewage discharge (# 1); Johnson's complaints of unsafe working conditions and violations of safety codes to OR-OSHA (# 3); Coszalter's complaints to the Risk Manager of the City of Salem (# 3); plaintiffs' notifying the DEQ of a raw sewage discharge from the sewer main at the Battlecreek pump station (#5); Coszalter's reporting to defendants that raw sewage from a city pump truck had been accidentally discharged by other employees into the environment and then swept into the sewer (#7); Coszalter's reporting to the Risk Manager that a blocked sewer main at Laurel Avenue was causing a raw sewage discharge (#9); plaintiffs' notifying OR-OSHA of their exposure to the Rose Street contaminants (# 11); plaintiffs' notifying the Statesman Journal of the Rose Street contaminants and of plaintiffs' exposure to them (# 12); Coszalter's notifying the Statesman Journal that OR-OSHA had cited the city for exposing the workers to unsafe conditions (# 14); and Coszalter's notifying OR-OSHA of violations by defendants of an earlier stipulated agreement with OR-OSHA (# 27). The magistrate judge found that Jones's reporting to management that his backhoe had been vandalized was not a matter of public concern (# 19), reasoning that this disclosure was of no relevance to the public's evaluation of the performance of the government. We agree with all of the magistrate judge's findings with respect to the classification of plaintiffs' speech.B. Adverse Employment ActionThe magistrate judge based his determination that most of defendants' actions did not constitute adverse employment actions on the following language taken from our opinion in Nunez: "Although `the type of sanction ... need not be particularly great in order to find that rights have been violated,' the plaintiff must nonetheless demonstrate the loss of `a valuable governmental benefit or privilege.'" 147 F.3d at 875 (quoting Hyland, 972 F.2d at 1135-36) (other citations and internal quotation marks omitted). The magistrate judge incorrectly concluded that if an alleged retaliatory act cannot be characterized as the loss of a valuable governmental benefit or privilege, it can never constitute an adverse employment action in a First Amendment retaliation case. Such a restrictive definition of "adverse employment action" is inconsistent with our case law.A government employer "cannot condition public employment on a basis that infringes the employee's constitutionally protected interest in freedom of expression." Connick v. Myers, 461 U.S. at 142, 103 S.Ct. 1684. Simply because it is acting as an employer, the government does not gain the unfettered ability to interfere with the constitutional rights of its employees; that is, it cannot use employment conditions to "produce a result which [it] could not command directly." Perry v. Sindermann, 408 U.S. 593, 597, 92 S.Ct. 2694, 33 L.Ed.2d 570 (1972) (alteration in original) (quoting Speiser v. Randall, 357 U.S. 513, 526, 78 S.Ct. 1332, 2 L.Ed.2d 1460 (1958)). When a government employee exercises his protected right of free expression, the government cannot use the employment relationship as a means to retaliate for that expression.The precise nature of the retaliation is not critical to the inquiry in First Amendment retaliation cases. The goal is to prevent, or redress, actions by a government employer that "chill the exercise of protected" First Amendment rights. See Rutan v. Republican Party, 497 U.S. 62, 73, 110 S.Ct. 2729, 111 L.Ed.2d 52 (1990) (protection of political belief and association under the First Amendment). Various kinds of employment actions may have an impermissible chilling effect. Depending on the circumstances, even minor acts of retaliation can infringe on an employee's First Amendment rights. See id. at 75-76, 110 S.Ct. 2729.To constitute an adverse employment action, a government act of retaliation need not be severe and it need not be of a certain kind. Nor does it matter whether an act of retaliation is in the form of the removal of a benefit or the imposition of a burden. In Allen v. Scribner, the plaintiff alleged that he had been "reassigned to another position, and otherwise harassed in retaliation for ... remarks he made to the press." 812 F.2d at 428. We found this allegation sufficient to form the basis of a First Amendment claim. In Thomas v. Carpenter, 881 F.2d 828, 829 (9th Cir.1989), the plaintiff alleged that he had been banned from attending certain meetings and participating as an evaluator in training exercises in retaliation for his political activity. We found this allegation sufficient. In Ulrich v. City and County of San Francisco, 308 F.3d at 977, the plaintiff alleged that his government employer had subjected him to an investigation, refused to rescind his resignation, and filed an adverse employment report in retaliation for his protected speech. Again, we found that his allegation was sufficient to state a § 1983 claim seeking redress for violation of First Amendment rights. In Anderson v. Central Point School District, 746 F.2d 505, 506 (9th Cir.1984), the plaintiff alleged that he had been temporarily suspended from his coaching duties and insulted by his employer. We allowed the plaintiff to recover under the First Amendment for emotional distress and damage to his reputation. Our findings in these cases were not dependent on any characterization of the government action as a denial of a valuable governmental benefit or privilege. As we stated in Carpenter, the relevant inquiry is whether the state had taken "action designed to retaliate against and chill political expression." 881 F.2d at 829 (quoting Gibson v. United States, 781 F.2d 1334, 1338 (9th Cir.1986)). Or, as we had earlier stated in Allen, the inquiry is whether "the exercise of the first amendment rights was deterred" by the government employer's action. 812 F.2d at 434 n. 17.In some cases, the would-be retaliatory action is so insignificant that it does not deter the exercise of First Amendment rights, and thus does not constitute an adverse employment action within the meaning of the First Amendment retaliation cases. In Nunez, the plaintiff had only shown "that he was bad-mouthed and verbally threatened." 147 F.3d at 875. We concluded that such actions, even if taken in response to protected speech, did not constitute an adverse employment action. Nunez does suggest that the plaintiff "must ... demonstrate the loss `of a valuable governmental benefit or privilege.'" Id. (quoting Hyland, 972 F.2d at 1136). But, in light of our other cases, we cannot read this language as establishing an exclusive, category-based limitation on the kind of retaliatory action that is actionable under the First Amendment. Specifically, we cannot read Nunez as holding that the government is allowed to take severe retaliatory actions ? such as instigating unwarranted criminal investigations or disciplinary actions, or engaging in campaigns of harassment and humiliation ? because those actions do not result in the loss of a valuable governmental benefit or privilege. Such a reading would place Nunez in conflict with our long-standing precedents governing First Amendment public employee retaliation suits. The essential holding of Nunez is simply that when an employer's response includes only minor acts, such as "bad-mouthing," that cannot reasonably be expected to deter protected speech, such acts do not violate an employee's First Amendment rights.Two recent retaliation cases in analogous areas of the law are instructive. In Ray v. Henderson, 217 F.3d 1234 (9th Cir.2000), the plaintiff complained about what he perceived as unfair treatment of female employees by their common employer, the Postal Service. He alleged that the Postal Service retaliated against him for having spoken out against this treatment. Adopting the language of the EEOC Guidelines, we held that, in a Title VII retaliation suit for protected speech, an "adverse employment action" was an action "reasonably likely to deter employees from engaging in protected activity." Id. at 1243. In Moore v. California Institute of Technology Jet Propulsion Laboratory,Try vLex for FREE for 3 days
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