Knopf v. Williams
Opinion of the Court
Paul E. Knopf, the former Director of the Planning and Development Department ("City Planner") in Evanston, Wyoming ("City"), sued Mayor Kent Williams under
In federal district court, Mayor Williams moved for summary judgment based on qualified immunity, which the court denied. In this interlocutory appeal, he asks us to reverse the district court's denial. This court has jurisdiction under
Because this opinion and Judge Briscoe's concurrence conclude that Mr. Knopf has failed to show a violation of clearly established federal law on an essential element of his claim, this court reverses the district court's denial of qualified immunity to Mayor Williams.
I. BACKGROUND
A. Factual History
1. Mr. Knopf's Position as City Planner
Mr. Knopf began working for the City in 1985 in the Planning and Development Department ("Department"). He was appointed to the position of City Planner in 1987. His job as City Planner included the following responsibilities:
1. Managing the Department, which consisted of the associate city planner and an administrative assistant.
2. Addressing citizen inquiries concerning fencing and building permits and responding to development requests.
3. Preparing for planning and zoning commission meetings and hearings.
4. Preparing conditional-use permit reports, variances, zone changes, and amendments for planning commission consideration.
5. Collaborate in crafting site plans for various city projects.1
*9426. Representing the Department to other City departments in explaining its programs and in resolving sensitive, significant, and controversial issues.
7. Coordinating activities with other departments and outside agencies and organizations.
8. Ensuring compliance with codes and regulations related to planning and development matters.2
2. Mr. Knopf's Involvement in the Bear River Project
One of the Department's projects was the Bear River Project ("Project"), which aimed to develop a public greenway along the Bear River over a series of phases laid out in the BEAR Project Master Plan ("Master Plan"). In 1983, before Mr. Knopf's arrival, the Department identified various locations for development, including the area along the Bear River. In 1987, after joining the Department, Mr. Knopf began to develop the Master Plan, planning out the Project's sub-projects (or "phases"). The Project's main goals were to establish and maintain a public greenway for recreation, water conservation, flood control, reclamation, rehabilitation, and wildlife resources preservation.
As part of the Project, Mr. Knopf started a citizens committee that would provide input about the greenway's development. The committee eventually incorporated as the nonprofit BEAR Project, Inc. ("Non-Profit"), and played a major role in planning and executing the Project even though the Non-Profit was unaffiliated with the City. The Non-Profit worked on the Master Plan with Mr. Knopf, raised money, sought private and public partners, oversaw the Project's execution, and coordinated the stakeholders.
The Project involved many phases and many participants over three decades. In addition to the Department and the Non-Profit, private groups-including a private engineering firm and its contractors and sub-contractors-and other City department employees-including the Parks and Recreation Director and the City Engineer-have participated in planning and executing the Master Plan.
Although the Project involved multiple phases of development, only one is at issue here-the Meadows Project. Mr. Knopf and his Department's role in the Meadows Project differed from the other phases, such as the Bear Paw Trailhead Project and the Greenway Entryway Project, which preceded the Meadows Project. The Non-Profit coordinated the parties in these three phases, reporting to the City with any issues or concerns. The Department was involved in the planning of all three phases, developing the site plan, attending meetings with other parties, and advising them about the three phases' place in the overall Master Plan.
Mr. Knopf, as the department head, also acted as the point person between the City and the private groups (i.e. the Non-Profit and the private engineering firm), but only for the first two phases-not for the Meadows Project. The Department facilitated communication between the parties and coordinated project reviews, payments, and orders, passing them along to the City, for the first two projects. But for the Meadows Project, Brian Honey, the City Engineer, was the point person.
3. Mr. Knopf's Email Concerning the Meadows Project and his Dismissal
Disagreement arose over the Meadows Project in October 2015. T-Bar, a subcontractor *943for irrigation, topsoil, and sod, requested $22,300 more than the originally budgeted amount for topsoil. The private engineering firm's project engineer, Brent Sanders, recommended denying T-Bar's request because he believed T-Bar performed substandard work and had improperly calculated its costs. But Mr. Honey, the City Engineer and the City's point person on the Meadows Project, recommended fulfilling T-Bar's request. Mr. Sanders became increasingly concerned about possible collusion among Mr. Honey, Mayor Williams, and City Councilman Tom Welling, whose brother-in-law owned T-Bar.
Mr. Knopf learned of the dispute from Mr. Sanders and from a public City Council meeting. On October 7, 2015, Mr. Knopf emailed the City Attorney, Dennis Boal, with his concerns. He believed that Mr. Honey's friendship with the owner of T-Bar was "clouding [Mr. Honey's] better judgment." ROA, Vol. I at 15. Further, he stated that Mr. Honey was impeding Mr. Sanders's ability to perform his duties as the project engineer. Mr. Knopf did not receive a response from Mr. Boal.
On December 11, 2015, Mayor Williams met with Mr. Knopf. Mr. Knopf expressed his concerns about Mr. Honey and the Meadows Project and told the Mayor about his October 7 email to Mr. Boal. On January 4, 2016, Mayor Williams again met with Mr. Knopf and informed Mr. Knopf that he would not be reappointing him as City Planner. Mayor Williams said Mr. Knopf's email to the City Attorney was unacceptable and that he had lost confidence and trust in him.
B. Procedural History
Mr. Knopf filed a complaint in Wyoming state court against Mayor Williams in his individual and official capacities. It alleged a First Amendment retaliation claim under
The district court denied Mayor Williams summary judgment on Mr. Knopf's First Amendment retaliation claim. It determined that Mr. Knopf had sufficiently alleged facts that if proven would constitute a First Amendment violation and that Mayor Williams's conduct violated clearly established law. On clearly established law, the court said that, "since at least 1998, it is clearly established that a public employer cannot retaliate against an employee for exercising their First Amendment right to free speech." Dist. Ct. Op. 17.
II. DISCUSSION
A. Legal Background
1.
Under
"Once an individual defendant asserts qualified immunity, the plaintiff carries a two-part burden to show: (1) that the defendant's actions violated a federal constitutional or statutory right, and, if so, (2) that the right was clearly established at the time of the defendant's unlawful conduct." Gutierrez v. Cobos ,
"A plaintiff may show clearly established law by pointing to either a Supreme Court or Tenth Circuit decision, or the weight of authority from other courts, existing at the time of the alleged violation." T.D. v. Patton ,
Courts must not define "clearly established law at a high level of generality." Ashcroft v. al-Kidd ,
2. First Amendment Retaliation
"[P]ublic employees do not surrender all their First Amendment rights by reason of their employment." Garcetti v. Ceballos ,
*945In striking this balance, the First Amendment prohibits public employers from taking adverse action against employees because of their protected speech. To determine if an employer's adverse employment action against an employee is an impermissible retaliation under the First Amendment, we apply the Garcetti / Pickering test. Trant v. Oklahoma ,
(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.
Trant ,
Although the parties dispute four of the five elements, this opinion focuses on the first element to resolve this case. "If the employee speaks pursuant to his official duties, then there is no constitutional protection because the restriction on speech simply reflects the exercise of employer control over what the employer itself has commissioned or created." Couch v. Bd. of Trs. of Mem'l Hosp. ,
We have "taken a broad view of the meaning of speech that is pursuant to an employee's official duties." Chavez-Rodriguez v. City of Santa Fe ,
"There are no bright line rules" in making this determination. Chavez-Rodriguez ,
We must "take a practical view of all the facts and circumstances surrounding the speech and the employment relationship." Brammer-Hoelter ,
B. Standard of Review
"We review summary judgment de novo, applying the same legal standard as the district court." Gutierrez ,
"When the defendant has moved for summary judgment based on qualified immunity, we still view the facts in the light most favorable to the non-moving party and resolve all factual disputes and reasonable inferences in its favor." Henderson v. Glanz ,
"We may, at our discretion, consider the two parts of this test in the sequence we deem best in light of the circumstances in the particular case at hand." Bowling v. Rector ,
C. Analysis
The following considers only the second requirement to overcome qualified immunity-whether the law was clearly established-and determines the district court erred in denying Mayor Williams summary judgment. Mr. Knopf did not meet his burden of showing that any violation of the First Amendment he may have suffered was based on clearly established law.
1. General Statements of Law Not Sufficient
The district court's discussion of the second qualified immunity prong consisted only of the general statement that "it is clearly established that a public employer cannot retaliate against an employee for exercising their First Amendment right to free speech." Dist. Ct. Op. at 17. Mr. Knopf relies on the district court's statement and similarly argues that at the time of his dismissal, it was clearly established that a public employer cannot retaliate against an employee for speaking on matters of public concern. See Aplee. Br. at 26. But these are general statements of law. As the Supreme Court has cautioned, we must not "define clearly established law at a high level of generality." al-Kidd ,
2. Mr. Knopf's Four Cases Not Sufficient
Mr. Knopf's reliance on the four cases cited in his brief for clearly established law is misplaced. Two those cases- Conaway v. Smith ,
Mr. Knopf cannot rely on his third case, Glover v. Mabrey ,
His fourth case, Helget v. City of Hays ,
*9483. Dill Not Sufficient
Mr. Knopf does not discuss the only case the district court cited to support its clearly established law ruling- Dill v. City of Edmond ,
The district court dismissed Mr. Dill's claim for First Amendment retaliation, ruling he had failed to state a claim. This court reversed, holding his statements addressed a matter of public concern and that the City had failed to show its interests outweighed his speech interests, the second and third elements of the Garcetti / Pickering test.
Dill does not supply Mr. Knopf with clearly established law to overcome Mayor Williams's qualified immunity defense.
First, Dill preceded the 2006 decision in Garcetti , which added the restrictive element of "whether the speech was pursuant to official duties" to the test for a First Amendment retaliation claim. See Leverington ,
Second, the Supreme Court's Garcetti decision shows why Dill does not provide Mr. Knopf clearly established law. The Court considered whether adverse employment action against a deputy district attorney for statements to his supervisors that criticized the adequacy of a search warrant affidavit was a First Amendment retaliation violation. It held "that when public employees make statements pursuant to their official duties, the employees are not speaking as citizens for First Amendment purposes, and the Constitution does not insulate their communications from employer discipline."
Four justices dissented. Justice Stevens, asserting it "is quite wrong" that "there is a categorical difference between speaking as a citizen and speaking in the course of one's employment," called the majority's rule "new," "novel," and "perverse."
For our purposes, the contrasting views in Garcetti confirm there was no clearly established law dividing official speech from citizen speech when Dill was decided.
Third, although Dill may be interpreted as implicitly recognizing that Mr. Dill's speech was not part of his official duties, the court was not squarely presented with that issue. As mentioned above, there was no "official duties" element at that time. Moreover, we recognized that "Defendants' motion to dismiss focused solely on whether Plaintiff's speech involved a matter of public concern." Id. at 1203. And Dill did not analyze whether the detective's statements fell within his responsibilities. A reasonable official in Mayor Williams's position could hardly understand Dill as providing clear guidance on *949whether Mr. Knopf's speech exceeded his official duties when this court in Dill said the only issue before it was whether Mr. Dill's speech was a matter of public concern.
Fourth, although Dill may bear some factual similarity to this case-e.g., Mr. Dill had worked on the criminal investigation for five weeks before it was referred to a multi-district task force, id. at 1200 -it also varies factually. For one thing, Mr. Knopf had worked on the Project for almost 30 years, including development of the master plan and coordination with multiple stakeholders in his role as City Planner. And unlike Mr. Dill, who served as a rank-and-file detective without supervisory responsibilities, Mr. Knopf's job as City Planner tasked him with a broad oversight role for matters like the Bear River Project.
Fifth, perhaps Mr. Knopf could argue, though he has not here, that under Garcetti / Pickering , the Dill court would have decided that Mr. Dill spoke to his supervisors and police chief as a private citizen and not as part of his official duties, and therefore his speech was protected. But even if that argument may have merit, so would the argument that, as a detective having worked on the case, Mr. Dill raised his concerns as part of his official duties. It is not certain how the Dill decision would have come out under the "official duties" element of Garcetti / Pickering , or that "the law [here, Dill ,] was sufficiently clear that" a reasonable person in Mayor Williams's position "would understand that what he is doing is unlawful." District of Columbia v. Wesby , --- U.S. ----,
4. Failure to Carry Burden
Though Mr. Knopf need not cite " 'a case directly on point,' " Henderson ,
Because Mr. Knopf has not "carried [his] burden to show violation of a clearly established constitutional right, the district court erred in denying [Mayor Williams] qualified immunity." See Henderson ,
5. The Dissent's Theory of Qualified Immunity
The dissent's approach to qualified immunity analysis under the first element of Garcetti / Pickering runs counter to precedent. Instead of "identify[ing] a case where an [official was] acting under similar circumstances," White
*950Dissent at 957.
The Supreme Court has warned against "defin[ing] clearly established law at a high level of generality." al-Kidd ,
The dissent also suggests, again without precedent, that the first step of Garcetti / Pickering warrants different treatment than other qualified immunity cases because of its focus on the plaintiff-employee's speech as opposed to the defendant-official's conduct. See Dissent at 961-62. But we rarely focus on one party's conduct in qualified immunity analysis. See, e.g., A.M. v. Holmes ,
III. CONCLUSION
Based on the foregoing opinion and Judge Briscoe's concurrence, this court reverses the district court's denial of qualified immunity on Mr. Knopf's First Amendment retaliation claim.
These first five responsibilities are taken from Mr. Knopf's own description of his duties in his deposition testimony.
These last three responsibilities are taken from "Examples of Important and Essential Duties" laid out in the job description for the City Planner.
Mr. Knopf also alleged a Fourteenth Amendment deprivation of property claim. He also had brought both these claims against the City. The district court dismissed his due process claim on summary judgment.
An employee may also bring a First Amendment retaliation claim under an alternative three-part test set forth in Worrell v. Henry ,
In Morris v. Noe ,
Further examination of these cases reinforces their shortcomings regarding clearly established law. Three of the cases do not address official duties, the first element of Garcetti /Pickering . See Conaway ,
Glover briefly discusses the first Garcetti /Pickering step in a footnote. See
The dissent attempts to distinguish the first Garcetti /Pickering element from the other four: Because "the inquiry at the first step.... present[s] a legal determination [and].... may turn, in part, on legal authorities such as government regulations or job descriptions setting forth the employee's job responsibilities," the first step is "a very different inquiry." Dissent at 962 (citing Helget ,
The three out-of-circuit opinions the dissent cites-Anderson v. Valdez ,
The dissent overstates this opinion's treatment of clearly established law. Although the facts must be "particularized," they need not be "directly on point." al-Kidd ,
Our "sliding scale" approach to qualified immunity in Fourth Amendment excessive force cases comes closest to supporting the dissent's approach, but not nearly close enough. Under that approach, we have stated that "[t]he more obviously egregious the conduct in light of prevailing [Fourth Amendment] constitutional principles, the less specificity is required from prior case law to clearly establish the violation." Casey v. City of Fed. Heights ,
Although we examine the legal landscape, the plaintiff must paint it. See Henderson ,
Concurring Opinion
I agree with Judge Matheson that "Knopf did not meet his burden of showing that any violation of the First Amendment he may have suffered was based on clearly established law." Maj. Op. at 946. But I also conclude, as a preliminary matter, that Knopf failed to establish that defendant Williams violated his First Amendment rights by declining to reappoint him. And, because the analysis of these two questions is so intertwined in this case, I find it useful to address both of them.
I
Standard of review
"[W]e review summary judgment orders deciding qualified immunity questions differently from other summary judgment decisions." Bowling v. Rector,
Did Williams violate Knopf's First Amendment rights?
Knopf claims that Williams decided not to reappoint Knopf as City Planner in retaliation for Knopf having exercised his First Amendment rights-more specifically, for having emailed City Attorney Dennis Boal-regarding the Bear Meadows project. The threshold question, in deciding whether Knopf can survive summary judgment on this claim, is whether he can establish that Williams actually violated his First Amendment rights.
"A public employer may not 'discharge an employee on a basis that infringes that employee's constitutionally protected interest in freedom of speech.' "
*952Helget v. City of Hays, KS,
"Nevertheless, a public employer must be able to control the operations of its workplace."
The so-called Garcetti / Pickering test, which is derived from these principles, governs our review of Knopf's First Amendment retaliation claim. See Helget,
After the Supreme Court's recent decision in Garcetti, it is apparent that the " Pickering" analysis of freedom of speech retaliation claims is a five step inquiry which we now refer to as the " Garcetti / Pickering" analysis. First, the court must determine whether the employee speaks "pursuant to [his] official duties." Garcetti,126 S.Ct. at 1960 ; see also Mills, 452 F.3d at 647 (" Garcetti... holds that before asking whether the subject matter of particular speech is a topic of public concern, the court must decide whether the plaintiff was speaking 'as a citizen'...."). If the employee speaks pursuant to his official duties, then there is no constitutional protection because the restriction on speech "simply reflects the exercise of employer control over what the employer itself has commissioned or created." Garcetti,126 S.Ct. at 1960 . Second, if an employee does not speak pursuant to his official duties, but instead speaks as a citizen, the court must determine whether the subject of the speech is a matter of public concern. See Green v. Bd. of County Commr's,472 F.3d 794 , 798 (10th Cir. 2007) ; Mills, 452 F.3d at 647-48. If the speech is not a matter of public concern, then the speech is unprotected and the inquiry ends. Third, if the employee speaks as a citizen on a matter of public concern, the court must determine "whether the employee's interest in commenting on the issue outweighs the interest of the state as employer." Casey v. W. Las Vegas Indep. Sch. Dist.,473 F.3d 1323 , 1327 (10th Cir. 2007). Fourth, assuming the employee's interest outweighs that of the employer, the employee must show that his speech was a "substantial factor or a motivating factor in [a] detrimental employment decision." Lybrook, 232 F.3d at 1338 (internal quotation marks omitted). Finally, if the employee establishes that his *953speech was such a factor, "the employer may demonstrate that it would have taken the same action against the employee even in the absence of the protected speech." Id. at 1339 (internal quotation marks omitted).
The district court in this case concluded with respect to the first three of these steps that (1) "the email communication was not pursuant to [Knopf's] official duties," Aplt. App., Vol. V at 116, (2) "the subject matter of the email regarded a matter of public concern,"
Williams argues in his appeal that the district court applied the first and third steps "too narrowly and did not properly evaluate the undisputed facts when considering the defense of qualified immunity." Aplt. Br. at 10. Because the first and third steps involve conclusions of law, Williams' challenge to the district court's conclusion on each of these steps is properly before us in this interlocutory appeal and we review those determinations de novo. See Helget,
a) Step One
Step One of the Garcetti / Pickering test requires us to decide whether Knopf's email communication to Boal was pursuant to Knopf's official duties. It is well-established that "when public employees make statements pursuant to their official duties, the employees are not speaking as citizens for First Amendment purposes, and the Constitution does not insulate their communications from employer discipline." Seifert v. Unified Gov't of Wyandotte Cty., 779 F.3d at 1151 (internal quotation marks omitted).
Unfortunately, "[t]here are no bright line rules to make this determination." Chavez-Rodriguez v. City of Santa Fe,
As an initial matter, it appears to be undisputed that Knopf drafted the email on and sent it from his work computer. Further, the email was sent exclusively to *954Boal, who was also a City employee (albeit a contract employee as opposed to a full-time employee). Attached to the email was a prior email thread discussion between a group of City employees, including Knopf. Thus, the entire context of the speech was "more akin to a work discussion between two public officials" than a communication between a private citizen and a public official or between two private citizens. Chavez-Rodriguez, 596 F.3d at 714. But that context, standing alone, does not appear to be sufficient under Tenth Circuit law to establish that the email was made pursuant to Knopf's official duties. Id. Moreover, the fact that the email "concerns information acquired [by Knopf] by virtue of his public employment does not transform that speech into employee-rather than citizen-speech." Lane,
The purpose of the email appears to have been two-fold: to inform Boal, in his official capacity as City Attorney responsible for overseeing the City's contracts, of the issues regarding T-Bar's change request (i.e., Honey's position regarding it and his potential conflict of interest) and to persuade Boal, again in his official capacity, to take some type of action, such as speaking with Williams and/or Honey, to ensure that T-Bar's change request was rejected.
It is undisputed that Boal was not Knopf's supervisor and was instead simply another department head, similar to Knopf, albeit one who had responsibility for overseeing City contracts. Although "an employee's decision to go outside of their ordinary chain of command does not necessarily insulate their speech," Rohrbough v. Univ. of Colo. Hosp. Auth.,
Another relevant inquiry in analyzing the first step is whether, in considering Knopf's email to Boal, there is a "relevant analogue to speech by citizens who are not government employees." Garcetti, 547 U.S. at 424,
In the end, although it is a close question, I agree with the district court that Knopf's email did not fall within the scope of his official duties as a City employee. Thus, I conclude that the district court did not err in analyzing the first step of the Garcetti / Pickering framework.
b) Step Three
Williams also takes issue with the district court's conclusion regarding the third step of the Garcetti / Pickering test, i.e., that "the interest of the City d[id] not outweigh the interest of [Knopf] regarding *955the particular speech at issue in this matter." Aplt. App., Vol. V at 121.
The Supreme Court "ha[s] recognized that government employers often have legitimate interests in the effective and efficient fulfillment of their responsibilities to the public, including promoting efficiency and integrity in the discharge of official duties, and maintaining proper discipline in public service." Lane, 134 S.Ct. at 2381 (internal quotation marks and brackets omitted). Thus, the Court has "recognized as pertinent considerations whether the statement impairs discipline by superiors or harmony among co-workers, has a 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." Rankin v. McPherson,
Williams argues that, as part-time Mayor of the City, he must have faith and confidence in his department heads, including Knopf, and that the department heads, including Knopf and Boal, must work together. Williams in turn argues that Knopf's email was contrary to these goals and had a significant likelihood of being disruptive. Indeed, Williams argues that "[w]hat [Knopf] did here was an intentional 'end run' around his supervisor [Williams] to undermine [Williams'] position and to undermine Honey." Aplt. Br. at 24. Further, Williams argues, Knopf "was concealing information from the Mayor, communicating with other City employees without including the Mayor, and was insubordinate."
I conclude that these are legitimate concerns on the part of Williams specifically and the City in general. Although the record indicates that it was not part of Knopf's official duties to deal with T-Bar's change request, it is undisputed that T-Bar's change request fell clearly within the scope of the Mayor's official duties. More specifically, it was part of the Mayor's official duties to consider and vote on the change request and, according to the record, the Mayor ultimately voted to approve T-Bar's change request. Presumably, Knopf, a longtime City employee, was aware that Williams would ultimately be voting on T-Bar's change request and both could and should have approached Williams, who was his direct supervisor, with any concerns he had about T-Bar's change request. By failing to do so, and instead contacting another City department head (Boal) and calling into question the judgment and ethics of yet another department head (Honey), Knopf's actions created a potential for disruption (between at least himself and Boal, as well as possibly Honey and others) and also undermined Williams' trust and confidence in Knopf. And that in turn would have had a detrimental impact on the working relationship between Williams and Knopf.
*956To be sure, Boal conceded in his deposition that Knopf had correctly interpreted the contract provisions regarding the Meadows Project and that, consequently, it would have been justified for the City to reject T-Bar's change request. That said, however, there is no evidence that it was illegal for the Mayor and City Council to approve the change request. Moreover, the fact that there was a legitimate contractual basis for rejecting T-Bar's change request does not override the legitimate interests expressed by Williams and the City.
For these reasons, I conclude, contrary to the determination made by the district court, that the interests expressed by Williams and the City were significant enough to outweigh Knopf's interest in speaking to Boal. Consequently, I conclude that Knopf failed to establish that Williams violated his First Amendment rights by failing to reappoint him as City Planner.
Did Williams violate clearly established law?
In denying summary judgment in favor of Williams, the district court also concluded that Knopf established that the law applicable to his First Amendment retaliation claim was clearly established at the time that Williams decided not to reappoint him as City Planner. Judge Matheson concludes, and I agree, that the district court erred in reaching this conclusion.
According to the Supreme Court, "[a] clearly established right is one that is sufficiently clear that every reasonable official would have understood that what he is doing violates that right." Mullenix v. Luna, --- U.S. ----,
As discussed above, it is a very close question whether, under step one of the Garcetti / Pickering framework, Knopf's email was made pursuant to his official duties or was, instead, a matter of private speech. The difficulties posed by that analysis highlight why it may not have been clearly established in late 2015 that Knopf's email constituted protected First Amendment speech, rather than simply work-related speech. Moreover, Knopf has not pointed to any case that is remotely factually similar from 2015 or before, i.e., a case in which a court held that a similar email constituted protected First Amendment speech by a public employee.
Likewise, Knopf has not pointed to a single case that is remotely factually similar in terms of discussing whether a public employee can be terminated (or not reappointed) in response to having sent an *957email to another public employee regarding a matter of public concern. Thus, again, he has failed to demonstrate that it was clearly established, in late 2015 or early 2016, that it was unconstitutional for a supervisor to terminate a subordinate for having sent an email like the one that Knopf sent.
In short, Knopf has failed to identify clearly established law that is "particularized" to the facts of his case. White,
Garcetti v. Ceballos,
Dissenting Opinion
Plaintiff Paul Knopf claims his government boss, Evanston's Mayor Kent Williams, declined to reappoint Knopf as City planner in retaliation for Knopf engaging in speech protected by the First Amendment. I would affirm the district court's decision to deny the Mayor qualified immunity from Knopf's damages claim at the summary-judgment stage of this litigation. My conclusion is contrary to both of the other opinions in this case.
I would, in particular, not require for purposes of the qualified-immunity analysis that Knopf identify factually on-point precedent that clearly established that the speech in which Knopf engaged-sending an email to the City attorney expressing concern about the possible misuse of City money in a greenway development project-fell outside the scope of Knopf's job duties as City planner, which is the first prong of the Garcetti/ Pickering
There was only one Evanston planner with Knopf's job duties and responsibilities, so to require him to come up with preexisting precedent clearly establishing his job duties is not only impractical-it is in fact not possible. Requiring Knopf to come up with such precedent before he can defeat a qualified-immunity defense is to tell Knopf, and countless other government employees with unique jobs, that they have been disenfranchised from being able to assert their constitutional rights-here, First Amendment rights-against their employer. A government employee like Knopf will rarely, if ever, be able to identify a prior Supreme Court or Tenth Circuit case holding that a person with his particular job title and his same accompanying duties, engaging in the same speech under similar circumstances, was acting beyond the scope of his unique job duties.
Instead, I would apply clearly established general principles derived from Supreme Court precedent-from Lane v. Franks, --- U.S. ----,
I. Relevant analysis summarized
In Lane, the Supreme Court stated:
[T]he First Amendment protection of a public employee's speech depends on a careful balance "between the interests of the employee, as a citizen, in commenting upon matters of public concern and the interest of the [government], as an employer, in promoting the efficiency of the public service it performs through its employees."
134 S.Ct. at 2374 (quoting Pickering,
(1) whether the speech was made pursuant to the 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.
Helget v. City of Hays,
To determine whether Knopf has established a constitutional violation, I apply these five Garcetti/ Pickering factors substantively to conclude that Knopf has alleged and sufficiently supported a claim that the Mayor violated the First Amendment by not reappointing Knopf as City planner because of Knopf's email to the City attorney. In reaching that conclusion, I disagree with Judge Briscoe's concurrence at the third step in the Garcetti/ Pickering analysis. Contrary to her concurrence, I would conclude that weighing Knopf's free-speech interest against his government employer's interest in an efficient workplace, the balance tips in Knopf's favor because he was speaking as a whistleblower about possible wrongdoing by City officials and Knopf raised his concerns internally, which was less disruptive than if Knopf made his concerns public.
I then address the qualified-immunity question-whether the First Amendment violation at issue here was clearly established at the time the Mayor refused to reappoint Knopf City planner. Contrary to both my colleagues in the majority opinion, I conclude that, although there must be a prior case that clearly establishes the First Amendment violation under Garcetti/ Pickering's factors two through five, I would not require a prior case that clearly establishes, at the first Garcetti/ Pickering inquiry, that an employee in Knopf position would have been speaking outside the scope of his job duties when he sent an email to the City attorney, another City department head, complaining about the possible misuse of city money in a development project that the person in Knopf's position was not overseeing.
The analysis that follows, then, requires some redundancy in discussing the five Garcetti/ Pickering inquiries because those factors are relevant both to determine, substantively whether Knopf has established a First Amendment violation and to determine whether the First Amendment violation was clearly established at the time of the Mayor's challenged conduct.
II. Knopf established a triable First Amendment claim on the underlying claim
The first question is whether Knopf sufficiently established a claim that the Mayor *959violated the First Amendment. To answer that substantive question, I apply the five Garcetti/ Pickering inquiries.
A. Garcetti/ Pickering steps one, two and three
The first three steps of the Garcetti/ Pickering test involve legal conclusions for the court to make. See Helget,
Step one inquires whether the government employee was speaking within the scope of his official duties. See
Step two inquires whether the government employee was speaking on a matter of public concern. See Helget,
Step three requires the court to balance the government employee's constitutionally protected interest in speaking as a citizen on a matter of public concern against the government employer's interest in promoting the efficiency of the public service that the government provides. See
On the employee's side of the scale, Knopf's free-speech interest is entitled to "greater weight" here because his email concerned the possibility of government corruption or wrongdoing.
the vital interest the public has in the integrity of those who administrate their government[,] ... [i]t would be anomalous to hold that because the employee's whistle blowing might jeopardize the harmony of the office or tarnish the integrity of the department, the law will not allow him to speak out on his perception of potential improprieties or department corruption.
The weight on the employer's side of the scale is diminished, not only because Knopf was speaking about the possibility of wrongdoing by City officials, but also because Knopf only directed his concerns internally to the City attorney, rather than making his concerns public, which could have been far more disruptive to the City workplace. See Helget,
Although the Mayor asserts that Knopf should have sent the email to the Mayor, who was Knopf's supervisor, a citizen speaking on such a matter of public concern would not have been relegated to communicating only with the Mayor. Instead, the City attorney would have been available and an appropriate official to receive and act upon such a citizen complaint about the possible misuse of City funds. The City attorney, after all, had responsibility for City contracts, under which the alleged misuse of City funds at issue here was occurring. In light of these facts, I conclude as a matter of law that Knopf's First Amendment right to speak as a citizen on a matter of public concern-the possible misuse of City money-outweighed the City's interest in efficient government.
B. Garcetti/ Pickering steps four and five
While the first three Garcetti/ Pickering inquiries involve legal conclusions for the court, steps four and five instead involve questions of fact. See Helget,
Therefore, I conclude, as the district court did, that Knopf sufficiently established a First Amendment claim that, on the merits, was sufficient to survive the Mayor's summary-judgment motion. The qualified-immunity question, which I address next, is whether Knopf's claimed First Amendment violation was clearly established at the time the Mayor refused to reappoint Knopf City planning director.
III. For qualified-immunity purposes, this First Amendment violation was clearly established when the Mayor declined to reappoint Knopf as City planner
Even if a reasonable jury could find that the Mayor violated Knopf's First Amendment rights, the Mayor is entitled to qualified immunity and, thus, will not be liable for damages, unless the First Amendment right the Mayor violated was clearly established *961at the time he refused to reappoint Knopf City planner. See Dist. of Columbia v. Wesby, --- U.S. ----,
A. Garcetti/ Pickering step one qualified-immunity analysis: It would have been clear to a reasonable person in the Mayor's position that Knopf's email was outside the scope of his government job duties
Although, as just mentioned, ordinarily to defeat a qualified-immunity defense, the plaintiff must identify a case clearly establishing the unconstitutional nature of the defendant government official's challenged conduct, I would not require, as the majority does, that Knopf locate a factually on-point case clearly establishing that a city department head, like Knopf, would be acting outside the scope of his job duties, analogous to Knopf's employment responsibilities, if he sent an email to the City attorney, a co-equal city department head, complaining about the misuse of city money in a development project that the person in Knopf's position was not overseeing. The fact of the matter is that a senior government employee will rarely, if ever, be able to find such a close factually analogous prior case addressing whether a person with his same job title and responsibilities, employed by the same employer or one with a closely similar job description and employment duties and reporting responsibilities, engaging in the particular speech at issue, was acting outside the scope of his or her official or ordinary job responsibilities as those job responsibilities were both legally and factually applied to this particular plaintiff. Even if a plaintiff-employee could somehow find a prior case addressing the job responsibilities of his exact or closely comparable government position, whether speech undertaken in a particular case fell outside his job duties as applied would still turn on myriad details unique to a given case-including not only the plaintiff-employee's (1) official job duties, but also (2) the informal customs developed around the performance of those duties and (3) further nuances involving, for example, the plaintiff-employee's understanding from his supervisors of how and what exactly the plaintiff's job entails in the particular factual scenario presented. It will be virtually impossible for any plaintiff-employee to find such a closely analogous prior Supreme Court or Tenth Circuit case, unless the prior case happened to involve this same plaintiff or, at the very least, involved another employee of the same government employer with a similar job description who chose a closely similar route to protest a similarly serious transgression of government law and ethics. That is just not a realistic possibility. To require the plaintiff to find such a directly analogous prior case would essentially grant all government employers qualified immunity on any employee's First Amendment claim at the first Garcetti/ Pickering prong before even getting to the substance of the alleged wrongdoing. It is not surprising, then, that Knopf could not cite to any prior Supreme Court or Tenth Circuit case with closely analogous facts addressing whether a government employee was acting outside the scope of his job duties. That should not be *962fatal to Knopf's First Amendment retaliation claim.
Nor do I think such a close factually analogous case is required at this first step in the Garcetti/ Pickering analysis. The usual qualified-immunity inquiry-asking whether "at the time of the [official's] conduct, the law was sufficiently clear that every reasonable official would understand what he is doing is unlawful," Wesby,
To remain true to the purpose of the qualified-immunity analysis, of course, it must be clear to a reasonable person in the defendant government official's position that the plaintiff-employee was acting outside his job duties. But who better to make that determination, which is typically a sui generis legal question, see
The Supreme Court has set forth governing principles to guide the determination of whether an employee's speech clearly fell outside the scope of his official or ordinary duties, but at the same time the Court has made it clear that this inquiry does not involve per se rules. Those principles indicate, for example, that it is not dispositive that the employee's speech concerned the subject matter of the plaintiff's employment or involved information that the plaintiff obtained as a result of his public employment or was expressed inside, rather than outside, his office. See Lane,
I would apply these clearly established general principles to determine, at the first Garcetti/ Pickering inquiry, whether it was clear that the government employee's speech fell outside his job duties, instead of requiring the employee to find a close factually analogous Supreme Court or Tenth Circuit case to establish that the particular employee at issue was acting outside the scope of his job duties when engaging in the particular speech that was the basis for the discipline or discharge.
Other circuits, though not directly addressing my point, have also taken a more general approach in addressing whether it is clearly established that a government employee was speaking outside his job duties in a particular case instead of requiring the employee to identify a case directly on point factually. See Anderson v. Valdez,
*963Carollo v. Boria,
Here, as in these other cases, it was clearly established at the time that the Mayor declined to reappoint Knopf that a government employee's speech made outside the scope of his job duties was protected by the First Amendment. And the Supreme Court's clearly established principles for making that determination, set forth in Garcetti and Lane and applied by prior Tenth Circuit cases, provide sufficient guidance for us to determine whether it was clear to a reasonable government employee that the plaintiff employee's speech was constitutionally protected because it fell outside his job duties. That was enough to satisfy the first Garcetti/ Pickering inquiry under the qualified-immunity analysis.
Applying these clearly established principles here, then, it would have been clear to a reasonable person in the Mayor's position that Knopf sent his email outside the scope of his job duties. The Mayor would, or should, have been aware that Knopf had no official duties as to the phase of the greenway development project that was the subject of the email, and that he did *964not have general oversight responsibilities for the department head involved in that phase of the project. The Mayor also would, or should, have been aware that Knopf sent the email to someone outside Knopf's chain of command, the City attorney. In fact, this was one of the Mayor's primary complaints about Knopf's email, that it bypassed the Mayor, who was Knopf's supervisor. Moreover, the Mayor would, or should, have been aware that any citizen with concerns over the misuse of City money in the greenway development project could have sent such an email to the City attorney expressing those concerns. Further, the Mayor knew or should have known that the underlying allegations of financial favoritism had been discussed at a public city council meeting. The facts that Knopf did not make his concerns public and that the email concerned information that Knopf may have acquired because of his government job do not preclude the conclusion that sending that email was outside the scope of Knopf's job duties.
B. Garcetti/ Pickering steps two through five qualified-immunity analysis: The claimed First Amendment violation here was clearly established at the time the Mayor refused to reappoint Knopf City planner
As for the rest of the Garcetti/ Pickering factors, inquiries two through five do address the defendant government official's challenged conduct (as opposed to the first factor, which addresses the legal scope of the government employee's job duties).
Like the district court, I rely as a starting point on Dill v. City of Edmond,
The Tenth Circuit held, at the motion-to-dismiss stage of that case, that Dill had alleged a First Amendment violation.
Analogous to the case at issue here, then, the Tenth Circuit in Dill held that retaliatory adverse employment action short of termination could support a First Amendment violation; and an employee's *966speech, made through internal City channels and regarding alleged wrongdoing within the City, based on information the employee discovered during the course of his work, was protected by the First Amendment.
The Tenth Circuit's prior decision in Considine v. Board of County Commissioners,
Another case analogous to ours is Conaway v. Smith,
In light of these prior Tenth Circuit cases, a reasonable person in the Mayor's position would have realized, at the time the Mayor refused to reappoint Knopf City planner, that the City could not do so based on the email Knopf sent the City attorney, which was speech protected under the First Amendment.
IV. Conclusion
For these reasons, then, I conclude, contrary to both the majority and the concurrence, that Knopf has established a First Amendment violation of his right to free speech sufficient to defeat summary judgment, has shown that it was clear to a reasonable person in the Mayor's position that Knopf's email fell outside the scope of Knopf's ordinary job responsibilities, and that the First Amendment violation was otherwise clearly established at the time the Mayor refused to reappoint Knopf City planning director. On that basis, I would affirm the district court's decision to deny the Mayor's summary judgment motion asserted he is entitled to qualified immunity.
In his response to Williams' motion for summary judgment, Knopf's discussion of qualified immunity comprised one paragraph that included four sentences. In short, Knopf did very little to demonstrate that the law applicable to his claim was clearly established.
See Garcetti, 547 U.S. at 413,
To be sure, the Supreme Court has frequently addressed qualified immunity, imploring courts not to conduct the inquiry into whether a constitutional violation was clearly established at too general a level. See, e.g., Wesby,
Lincoln v. Maketa
Citing a Fourth Amendment case, the majority opinion, at 950-51, indicates that we always consider the plaintiff's, as well as the defendant's, conduct in performing the qualified-immunity analysis. But here, in the context of a First Amendment retaliation claim, the Tenth Circuit has designated a separate prong of our five-part analysis specifically to considering whether the plaintiff's speech fell within or without the plaintiff's job duties. Further, the majority opinion relies solely on that prong to deny Knopf's damages claim.
The majority discounts Dill because the Tenth Circuit decided it before the Supreme Court's decision in Garcetti. In fact, the cases I conclude clearly establish the First Amendment violation at issue here were all decided prior to Garcetti. But Garcetti added only the first inquiry to the Garcettiem>/Pickering analysis-whether the employee's speech fell outside his job duties. My conclusion, that an employee is not required to identify a close factually analogous prior case that clearly established that the employee's particular speech fell outside the employee's precise job duties, eliminates the majority's concern with relying here on pre-Garcetti case law. That is consistent with the Supreme Court's clearly-established analysis in Lane, which conducted that analysis by relying only on pre-Garcetti decisions from the relevant circuit. 134 S.Ct. at 2381-83. In light of the Supreme Court's qualified-immunity analysis in Lane, I also rely on pre-Garcetti cases here.
I rely on Dill because the district court relied upon it. I rely on Considine and Conaway, even though Knopf does not point us to those cases, as is his burden, to complete this legal analysis and reach the correct conclusion.
Reference
- Full Case Name
- Paul E. KNOPF, Plaintiff-Appellee, v. Kent WILLIAMS, in His Individual Capacity, Defendant-Appellant.
- Cited By
- 100 cases
- Status
- Published