Lane v. Franks
Lane v. Franks
Opinion
As Director of Community Intensive Training for Youth (CITY), a program for underprivileged youth operated by Central Alabama Community College (CACC), petitioner Edward Lane conducted an audit of the program's expenses and discovered that Suzanne Schmitz, an Alabama State Representative on CITY's payroll, had not been reporting for work. Lane eventually terminated Schmitz' employment. Shortly thereafter, federal authorities indicted Schmitz on charges of mail fraud and theft concerning a program receiving federal funds. Lane testified, under subpoena, regarding the events that led to his terminating Schmitz. Schmitz was convicted and sentenced to 30 months in prison. Meanwhile, CITY was experiencing significant budget shortfalls. Respondent Franks, then CACC's president, terminated Lane along with 28 other employees in a claimed effort to address the financial difficulties. A few days later, however, Franks rescinded all but 2 of the 29 terminations-those of Lane and one other employee. Lane sued Franks in his individual and official capacities under
The District Court granted Franks' motion for summary judgment, holding that the individual-capacity claims were barred by qualified immunity and the official-capacity claims were barred by the Eleventh Amendment. The Eleventh Circuit affirmed, holding that Lane's testimony was not entitled to First Amendment protection. It reasoned that Lane spoke as an employee and not as a citizen because he acted pursuant to his official duties when he investigated and terminated Schmitz' employment.
Held :
1. Lane's sworn testimony outside the scope of his ordinary job duties is entitled to First Amendment protection. Pp. 2377 - 2381.
(a)
Pickering v. Board of Ed. of Township High School Dist. 205, Will Cty.,
(b) Lane's testimony is speech as a citizen on a matter of public concern. Pp. 2378 - 2380.
(1) Sworn testimony in judicial proceedings is a quintessential example of citizen speech for the simple reason that anyone who testifies in court bears an obligation, to the court and society at large, to tell the truth. That obligation is distinct and independent from any separate obligations a testifying public employee might have to his employer. The Eleventh Circuit read Garcetti far too broadly in holding that Lane did not speak as a citizen when he testified simply because he learned of the subject matter of that testimony in the course of his employment. Garcetti said nothing about speech that relates to public employment or concerns information learned in the course of that employment. The critical question under Garcetti is whether the speech at issue is itself ordinarily within the scope of an employee's duties, not whether it merely concerns those duties. Indeed, speech by public employees on subject matter related to their employment holds special value precisely because those employees gain knowledge of matters of public concern through their employment. Pp. 2378 - 2380.
(2) Whether speech is a matter of public concern turns on the "content, form, and context" of the speech.
Connick v. Myers,
(c) Turning to Pickering 's second step, the employer's side of the scale is entirely empty. Respondents do not assert, and cannot demonstrate, any government interest that tips the balance in their favor-for instance, evidence that Lane's testimony was false or erroneous or that Lane unnecessarily disclosed sensitive, confidential, or privileged information while testifying. Pp. 2380 - 2381.
2. Franks is entitled to qualified immunity for the claims against him in his individual capacity. The question here is whether Franks reasonably could have believed that, when he fired Lane, a government employer could fire an employee because of testimony the employee gave, under oath and outside the scope of his ordinary job responsibilities. See
Ashcroft v. al-Kidd,
563 U.S. ----, ----,
3. The Eleventh Circuit declined to consider the District Court's dismissal of the claims against respondent Burrow in her official capacity as CACC's acting president, and the parties have not asked this Court to consider them here. The judgment of the Eleventh Circuit as to those claims is reversed, and the case is remanded for further proceedings. P. 2383.
SOTOMAYOR, J., delivered the opinion for a unanimous Court. THOMAS, J., filed a concurring opinion, in which SCALIA and ALITO, JJ., joined.
Tejinder Singh, Irvine, CA, for Petitioner.
Ian H. Gershengorn, for the United States as amicus curiae, by special leave of the Court, supporting affirmance in part and reversal in part.
Luther J. Strange, III, Attorney General, for Respondent Susan Burrow.
Mark T. Waggoner, Birmingham, AL, for Respondent Steve Franks.
Luther Strange, Alabama Attorney General, Andrew L. Brasher, Solicitor General, Counsel of Record, Megan A. Kirkpatrick, Assistant Solicitor General, Office of the Alabama Attorney General, Montgomery, AL, for Respondent Susan Burrow.
Tejinder Singh, Counsel of Record, Thomas C. Goldstein, Kevin K. Russell, Goldstein & Russell, P.C., Washington, DC, for Petitioner.
Collin O'Connor Udell, Jackson Lewis P.C., Hartford, CT, Mark T. Waggoner, Counsel of Record, Jennifer Morgan, Hand Arendall LLC, Birmingham, AL, for Respondent Steve Franks.
Almost 50 years ago, this Court declared that citizens do not surrender their First Amendment rights by accepting public employment. Rather, the 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 State, as an employer, in promoting the efficiency of the public services it performs through its employees."
Pickering v. Board of Ed. of Township High School Dist. 205, Will Cty.,
I
In 2006, Central Alabama Community College (CACC) hired petitioner Edward Lane to be the Director of Community Intensive Training for Youth (CITY), a statewide program for underprivileged youth. CACC hired Lane on a probationary basis. In his capacity as Director, Lane was responsible for overseeing CITY's day-to-day operations, hiring and firing employees, and making decisions with respect to the program's finances.
At the time of Lane's appointment, CITY faced significant financial difficulties. That prompted Lane to conduct a comprehensive audit of the program's expenses. The audit revealed that Suzanne Schmitz, an Alabama State Representative on CITY's payroll, had not been reporting to her CITY office. After unfruitful discussions with Schmitz, Lane shared his finding with CACC's president and its attorney. They warned him that firing Schmitz could have negative repercussions for him and CACC.
Lane nonetheless contacted Schmitz again and instructed her to show up to the Huntsville office to serve as a counselor. Schmitz refused; she responded that she wished to " 'continue to serve the CITY program in the same manner as [she had] in the past.' "
Lane v. Central Ala. Community College,
Schmitz' termination drew the attention of many, including agents of the Federal Bureau of Investigation, which initiated an investigation into Schmitz' employment with CITY. In November 2006, Lane testified before a federal grand jury about his reasons for firing Schmitz. In January 2008, the grand jury indicted Schmitz on four counts of mail fraud and four counts of theft concerning a program receiving federal funds. See
United States v. Schmitz,
Schmitz' trial, which garnered extensive press coverage, 1 commenced in August 2008. Lane testified, under subpoena, regarding the events that led to his terminating Schmitz. The jury failed to reach a verdict. Roughly six months later, federal prosecutors retried Schmitz, and Lane testified once again. This time, the jury convicted Schmitz on three counts of mail fraud and four counts of theft concerning a program receiving federal funds. The District Court sentenced her to 30 months in prison and ordered her to pay $177,251.82 in restitution and forfeiture.
Meanwhile, CITY continued to experience considerable budget shortfalls. In November 2008, Lane began reporting to respondent Steve Franks, who had become president of CACC in January 2008. Lane recommended that Franks consider layoffs to address the financial difficulties. In January 2009, Franks decided to terminate 29 probationary CITY employees, including Lane. Shortly thereafter, however, Franks rescinded all but 2 of the 29 terminations-those of Lane and one other employee-because of an "ambiguity in [those other employees'] probationary service." Brief for Respondent Franks 11. Franks claims that he "did not rescind Lane's termination ... because he believed that Lane was in a fundamentally different category than the other employees: he was the director of the entire CITY program, and not simply an employee."
In January 2011, Lane sued Franks in his individual and official capacities under Rev. Stat. § 1979,
The District Court granted Franks' motion for summary judgment. Although the court concluded that the record raised "genuine issues of material fact ... concerning [Franks'] true motivation for terminating [Lane's] employment,"
The Eleventh Circuit affirmed.
We granted certiorari, 571 U.S. ----,
II
Speech by citizens on matters of public concern lies at the heart of the First Amendment, which "was fashioned to assure unfettered interchange of ideas for the bringing about of political and social changes desired by the people,"
Roth v. United States,
Our precedents have also acknowledged the government's countervailing interest in controlling the operation of its workplaces. See,
e.g.,
Pickering,
Pickering
provides the framework for analyzing whether the employee's interest or the government's interest should prevail in cases where the government seeks to curtail the speech of its employees. It requires "balanc[ing] ... the interests of the [public employee], as a citizen, in commenting upon matters of public concern and the interest of the State, as an employer, in promoting the efficiency of the public services it performs through its employees."
In Garcetti, we described a two-step inquiry into whether a public employee's speech is entitled to protection:
"The first requires determining whether the employee spoke as a citizen on a matter of public concern. If the answer is no, the employee has no First Amendment cause of action based on his or her employer's reaction to the speech. If the answer is yes, then the possibility of a First Amendment claim arises. The question becomes whether the relevant government entity had an adequate justification for treating the employee differently from any other member of the general public."
In describing the first step in this inquiry,
Garcetti
distinguished between employee speech and citizen speech. Whereas speech as a citizen may trigger protection, the Court 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."
III
Against this backdrop, we turn to the question presented: whether the First Amendment protects a public employee who provides truthful sworn testimony, compelled by subpoena, outside the scope of his ordinary job responsibilities. 4 We hold that it does.
A
The first inquiry is whether the speech in question-Lane's testimony at Schmitz' trials-is speech as a citizen on a matter of public concern. It clearly is.
1
Truthful testimony under oath by a public employee outside the scope of his ordinary job duties is speech as a citizen for First Amendment purposes. That is so even when the testimony relates to his public employment or concerns information learned during that employment.
In rejecting Lane's argument that his testimony was speech as a citizen, the Eleventh Circuit gave short shrift to the nature of sworn judicial statements and ignored the obligation borne by all
witnesses testifying under oath. See
In holding that Lane did not speak as a citizen when he testified, the Eleventh Circuit read
Garcetti
far too broadly. It reasoned that, because Lane learned of the subject matter of his testimony in the course of his employment with CITY,
Garcetti
requires that his testimony be treated as the speech of an employee rather than that of a citizen. See
The sworn testimony in this case is far removed from the speech at issue in
Garcetti
-an internal memorandum prepared by a deputy district attorney for his supervisors recommending dismissal of a particular prosecution. The
Garcetti
Court held that such speech was made pursuant to the employee's "official responsibilities" because "[w]hen [the employee] went to work and performed the tasks he was paid to perform, [he] acted as a government employee. The fact that his duties sometimes required him to speak or write does not mean that his supervisors were prohibited from evaluating his performance."
But
Garcetti
said nothing about speech that simply relates to public employment or concerns information learned in the course of public employment. The
Garcetti
Court made explicit that its holding did not turn on the fact that the memo at issue "concerned the subject matter of [the prosecutor's] employment," because "[t]he First Amendment protects some expressions related to the speaker's job."
It bears emphasis that our precedents dating back to
Pickering
have recognized that speech by public employees on subject matter related to their employment holds special value precisely because those employees gain knowledge of matters of public concern through their employment. In
Pickering,
for example, the Court observed that "[t]eachers are ... the members of a community most likely to have informed and definite opinions as to how funds allotted to the operation of the schools should be spent. Accordingly, it is essential that they be able to speak out freely on such questions without fear of retaliatory dismissal."
The importance of public employee speech is especially evident in the context of this case: a public corruption scandal. The United States, for example, represents that because "[t]he more than 1000 prosecutions for federal corruption offenses that are brought in a typical year ... often depend on evidence about activities that government officials undertook while in office," those prosecutions often "require testimony from other government employees." Brief for United States as Amicus Curiae 20. It would be antithetical to our jurisprudence to conclude that the very kind of speech necessary to prosecute corruption by public officials-speech by public employees regarding information learned through their employment-may never form the basis for a First Amendment retaliation claim. Such a rule would place public employees who witness corruption in an impossible position, torn between the obligation to testify truthfully and the desire to avoid retaliation and keep their jobs.
Applying these principles, it is clear that Lane's sworn testimony is speech as a citizen.
2
Lane's testimony is also speech on a matter of public concern. Speech involves matters of public concern "when it can 'be fairly considered as relating to any matter of political, social, or other concern to the community,' or when it 'is a subject of legitimate news interest; that is, a subject of general interest and of value and concern to the public.' "
Snyder v. Phelps,
562 U.S. ----, ----,
The content of Lane's testimony-corruption in a public program and misuse of state funds-obviously involves a matter of significant public concern. See,
e.g.,
Garcetti,
* * *
We hold, then, that Lane's truthful sworn testimony at Schmitz' criminal trials is speech as a citizen on a matter of public concern.
B
This does not settle the matter, however. A public employee's sworn testimony is not categorically entitled to First Amendment protection simply because it is speech as a citizen on a matter of public concern. Under
Pickering,
if an employee speaks as a citizen on a matter of public concern, the next question is whether the government had "an adequate justification for treating the employee differently from any other member of the public" based on the government's needs as an employer.
Garcetti,
As discussed previously, we have recognized that government employers often have legitimate "interest[s] in the effective and efficient fulfillment of [their] responsibilities to the public," including " 'promot[ing] efficiency and integrity in the discharge of official duties,' " and " 'maintain[ing] proper discipline in public service.' "
Connick,
Here, the employer's side of the Pickering scale is entirely empty: Respondents do not assert, and cannot demonstrate, any government interest that tips the balance in their favor. There is no evidence, for example, that Lane's testimony at Schmitz' trials was false or erroneous or that Lane unnecessarily disclosed any sensitive, confidential, or privileged information while testifying. 5 In these circumstances, we conclude that Lane's speech is entitled to protection under the First Amendment. The Eleventh Circuit erred in holding otherwise and dismissing Lane's claim of retaliation on that basis.
IV
Respondent Franks argues that even if Lane's testimony is protected under the First Amendment, the claims against him in his individual capacity should be dismissed on the basis of qualified immunity. We agree.
Qualified immunity "gives government officials breathing room to make reasonable but mistaken judgments about open legal questions."
Ashcroft v. al-Kidd,
563 U.S. ----, ----,
The relevant question for qualified immunity purposes is this: Could Franks reasonably have believed, at the time he fired Lane, that a government employer could fire an employee on account of testimony the employee gave, under oath and outside the scope of his ordinary job responsibilities? Eleventh Circuit precedent did not preclude Franks from reasonably holding that belief. And no decision of this Court was sufficiently clear to cast doubt on the controlling Eleventh Circuit precedent.
In dismissing Lane's claim, the Eleventh Circuit relied on its 1998 decision in
Morris v. Crow,
The Eleventh Circuit, in a pre-
Garcetti
decision, concluded that the plaintiff's deposition testimony was unprotected. It held that a public employee's speech is
protected only when it is " 'made primarily in the employee's role as citizen,' " rather than " 'primarily in the role of employee.' "
Morris,
Lane argues that two other Eleventh Circuit precedents put Franks on notice that his conduct violated the First Amendment:
Martinez v. Opa-Locka,
Morris, Martinez, and Tindal represent the landscape of Eleventh Circuit precedent the parties rely on for qualified immunity purposes. If Martinez and Tindal were controlling in the Eleventh Circuit in 2009, we would agree with Lane that Franks could not reasonably have believed that it was lawful to fire Lane in retaliation for his testimony. But both cases must be read together with Morris, which reasoned-in declining to afford First Amendment protection-that the plaintiff's decision to testify was motivated solely by his desire to comply with a subpoena. The same could be said of Lane's decision to testify. Franks was thus entitled to rely on Morris when he fired Lane. 6
Lane argues that
Morris
is inapplicable because it distinguished
Martinez,
suggesting that
Martinez
survived
Morris.
See
Morris,
Finally, Lane argues that decisions of the Third and Seventh Circuits put Franks on notice that his firing of Lane was unconstitutional. See
Reilly,
There is no doubt that the Eleventh Circuit incorrectly concluded that Lane's testimony was not entitled to First Amendment protection. But because the question was not "beyond debate" at the time Franks acted, al-Kidd, 563 U.S., at ----, 131 S.Ct., at 2083, Franks is entitled to qualified immunity.
V
Lane's speech is entitled to First Amendment protection, but because respondent Franks is entitled to qualified immunity, we affirm the judgment of the Eleventh Circuit as to the claims against Franks in his individual capacity. Our decision does not resolve, however, the claims against Burrow-initially brought against Franks when he served as President of CACC-in her official capacity. Although the District Court dismissed those claims for prospective relief as barred by the Eleventh Amendment, the Eleventh Circuit declined to consider that question on appeal, see
* * *
For the foregoing reasons, the judgment of the United States Court of Appeals for the Eleventh Circuit is affirmed in part and reversed in part, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
Justice THOMAS, with whom Justice SCALIA and Justice ALITO join, concurring.
This case presents the discrete question whether a public employee speaks "as a citizen on a matter of public concern,"
Garcetti v. Ceballos,
We accordingly have no occasion to address the quite different question whether a public employee speaks "as a citizen" when he testifies in the course of his ordinary job responsibilities. See ante, at 2378, n. 4. For some public employees-such as police officers, crime scene technicians, and laboratory analysts-testifying is a routine and critical part of their employment duties. Others may be called to testify in the context of particular litigation as the designated representatives of their employers. See Fed. Rule Civ. Proc. 30(b)(6). The Court properly leaves the constitutional questions raised by these scenarios for another day.
The syllabus constitutes no part of the opinion of the Court but has been prepared by the Reporter of Decisions for the convenience of the reader. See
United States v. Detroit Timber & Lumber Co.,
See, e.g., Lawmaker Faces Fraud Charge in June, Montgomery Advertiser, May 6, 2008, p. 1B; Johnson, State Lawmaker's Fraud Trial Starts Today, Montgomery Advertiser, Aug. 18, 2008, p. 1B; Faulk, Schmitz Testifies in Her Defense: Says State Job was Legitimate, Birmingham News, Feb. 20, 2009, p. 1A; Faulk, Schmitz Convicted, Loses her State Seat, Birmingham News, Feb. 25, 2009, p. 1A.
Lane also brought claims against CACC, as well as claims under a state whistleblower statute, Ala.Code § 36-26A-3 (2013), and
Because Burrow replaced Franks as President of CACC during the pendency of this lawsuit, the claims originally filed against Franks in his official capacity are now against Burrow.
It is undisputed that Lane's ordinary job responsibilities did not include testifying in court proceedings. See
Lane v. Central Ala. Community College,
Of course, quite apart from Pickering balancing, wrongdoing that an employee admits to while testifying may be a valid basis for termination or other discipline.
There is another reason Morris undermines Martinez and Tindal . In Martinez and Tindal, the Eleventh Circuit asked only whether the speech at issue addressed a matter of public concern. Morris, which appeared to anticipate Garcetti, asked both whether the speech at issue was speech of an employee (and not a citizen) and whether it touched upon a matter of public concern. In this respect, one could read Morris as cabining Martinez and Tindal .
Reference
- Full Case Name
- Edward R. LANE, Petitioner v. Steve FRANKS, in His Individual Capacity, and Susan Burrow, in Her Official Capacity as Acting President of Central Alabama Community College.
- Cited By
- 355 cases
- Status
- Published