T hi s di s pos i t i on i s notappr opr i a t e f orpubl i c a t i on and i s notpr e c e de nt * e xc e pta s pr ovi de d by 9th C i r . R . 36- 3.

Th e H o n o r ab l e Ro b e r tJ . Ti ml i n , Se n i o rD i s tr i c tJ u d g e f o rth e U . S. ** D i s tr i c tC ourtf

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orni a , s i tt i ng by de s i gna t i on. NOT F OR P UB L I CAT I ON UN I TE D STATE S C OU RT OF APPE ALS FOR T HE NI NTH CI RC UI T VA N A . P E NA , P la in tif

f - A p p e lla n t, v. T I M O T H Y M E E K E R ; e t a l., D efen d an t s - A p p el l ees. N o. 10- 15326 D . C. N o . 4 : 0 0 - c v - 0 4 0 0 9 - CW ME MOR AN DU M *

A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt f o rth e N o r th e rn D is tr ic t o f C a lif o rn ia C l audi aA . W i l ke n, D i s tr i c tJ udge , P r e s i di ng A r gue d a nd S ubm i tt e d A pr i l 15, 2011 P a s a d e n a , C a lif

o rn ia B ef ore: R E IN H A R D T and G O U L D , C i rc ui tJudg es , and T IM L IN , S eni or D i stri ct Judg e. ** Pe n aa l l e g e s th a th e w a s t e rmi n a t e d i n r e t a l i a t i o n f o raFe b ru a ry 2 0 0 1 me mo i n w hi ch he report ed suspec t ed m i stre atm entof a S on om a D evel op m ent al C ent er (S D C ) pat i entt o the defendant , S D C M edi ca l D i re ct or Judi th Bj ornd al . “ [W ] hen 

# FI LED MA Y27 2 011 M OLLY C. DW Y ER, CLERK U . S. C O U R T OF APPE ALS2

pu bl i c e m pl oyee s m ake s t at em ent s pursuantt o thei r off i ci al du t i es , the em pl oyee s a r e nots pe a ki ng a s c i t i z e ns f orF i r s tA m e ndm e ntpurpos e s , a nd the C ons t i tut i on do es no ti nsul at e thei r c om m un i ca t i on s f rom em pl oyerdi sc i pl i ne. ” G arce t t iv. C e bal los , 54 7 U . S . 41 0, 42 1 (20 06 ). S D C P ol i cyS ec t i on 40 0, “ A bu se , M i s tr e a tm e ntorN e gl e c tP r e ve nt i on, ” r e qui r e s a ny S D C s t a f f ha vi ng know l e dge of p a tie n t m is tr e a tm e n t o rn e g le c t to “r e p o r t th e e v e n ts in q u e s tio n to ap p r o p r ia te autho ri t i es . ” T he re po rt i ng re qu i re m ent s di re ctst af f m em bers t o reportsuch in c id e n ts to th e irs u p e rv is o r s , o r“[ i]f as ta f f [ m e m b e r ] is u n c o m f

o r tab le w ith r e p o r tin g to h is /h e rs u p e rv is o r , as ta f f p e r s o n m a y r e p o r t th r o u g h a n o th e rc h a n n e l, s uc h a s pr ogr a m di r e c t or , pr ogr a m a s s i s t a nt , nur s i ng c oor di na t or , de pa r tm e nthe a d, S D C p o lic e , s p e c ia l in v e s tig a to r , q u a lity a s s u r a n c e s ta f f , o raf a c ility a dm i ni s tr a t or . ” B e c aus e P e na ’ s r e por t i ng of m i s tr e a tm e ntt o a n S D C s upe r i orthus f e ll s q u a r e ly w ith in h is o f f ic ia l d u tie s a s a n S D C p h y s ic ia n , h e w a s n o t e n title d to F i r s tA m e ndm e ntpr ot e c t i on f ortha ta c t i on, a nd the di s tr i c tc our t ’ s gr a ntof s um m a ry j udgm e ntt o Bj ornda l on P e na ’ s c l a i m s a r i s i ng f r om the F e brua ry 2001 m e m o i s a f

f i rm e d. P e n af u rth e rap p e a ls th e d is tr ic t c o u r t’s g r a n t o f s u m m a ry ju d g m e n t to Bj ornda l on hi s c l a i m tha the w a s f i r e d i n r e t a l i a t i on f

orac onf i de nt i a l c om pl a i nt tha the s ubm i tt e d t o the C a l i f orni aD e pa r tm e ntof

H e a l th S e rvi c e s ( D H S ) r e ga r di ng3

r e m o v a l o f

p a t i e n tp h o t o g r ap h s f

r o m f i l e s a tS DC . As ar e s u l to f P e n a ’ s DH S c o m p l a i n t , DH S i s s u e d aS t a t e m e n to f De f i c i e n c i e s t o S DC , r e q u i r i n g S DC E xe c ut i ve D i r e c t orT i m othy M e e ke rt o i m pl e m e ntaP l a n of C orr e c t i on m odi f

y i ng S DC p o l i c i e s f

o rr e m o v a l o f

p a t i e n tp h o t o g r ap h s . E x a c t l y o n e we e ka f t e rS DC i m pl e m e nt e d the P l a n of C orr e c t i on, P e na ’ s habi tof t a ki ng pa t i e ntphot ogr aphs w a s r a is e d a s a“b ig is s u e ” a t am e e tin g o f s e n io rS D C o f

f ic ia ls a tte n d e d b y b o th Bjo rn d a l a n d M e e k e r , a n d la te rth a t d a y Bjo rn d a l m e t w ith P e n aa n d in s tru c te d h im t o cea se t aki ng such ph ot os w i tho utpat i entconsent . A dd i t i on al l y, P ena pres ent ed evi dence i n o pp osi t i on t o Bj ornd al ’ s m ot i on for s um m ary j ud gm enti nd i ca t i ng that he had a reput at i on am on g h i s s up er i ors a tS D C , i ncl ud i ng M ee ker, as a r epea t wh i s t l e b l o we rwh o s e c o m p l a i n t s o f p a t i e n tm i s tr e a tm e n tth r e a t e n e d t o s u b j e c tS DC to le g a l liab ility . T h e d is tr ic t c o u rt g r a n te d s u m m a ry ju d g m e n t a g a in s t P e n ab a s e d u p o n its c o n c lu s io n th a t P e n ah a d f a ile d to r a is e ag e n u in e is s u e o f m a te r ia l f

a c t a s to w h e th e rBjo rn d a l k n e w h e w a s th e in d iv id u a l r e s p o n s ib le f o rth e D H S c o m p la in t. H ow e ve r , “ [ a ] s w i th a l l s t a t e s of m i nd, know l e dge m us tnorm a l l y be pr ove n by ci rc um st ant i al evi dence. ” U n ite d S ta te s v . J

e w e ll , 53 2 F . 2d 69 7, 70 8 (9th C i r. 19 76 ) ( K ennedy, J. , di ss ent i ng ). T hatS D C supervi sorypers on nel vi ew ed P ena a s a troub l es om e w hi st l ebl ow erand thathi s t aki ng of pat i entph ot og raph s w as ra i se d4

a tboth a n e xe c ut i ve c om m i tt e e m e e t i ng a nd i n am e e t i ng be tw e e n Bj ornda l a nd P e n ao n ly o n e w e e ka f

te rth e S D C h a d b e e n c o m p e lle d b y D H S to im p le m e n t a P l a n of C orr e c t i on on the s ubj e c tof pa t i e ntphot ogr aphs pr ovi de s s tr ong c i r c u m s t a n t i a l e v i d e n c e f r o m wh i c h ar e a s o n ab l e f a c t f i n d e rc o u l d i n f

e rth a tS DC l e a de r s hi p, i nc l udi ng Bj ornda l , s us pe c t e d P e naof ha vi ng f i l e d the D H S c om pl a i nt a nd r e t a l i a t e d a ga i ns thi m on tha tba s i s . A c c or di ngl y , the di s tr i c tc our t ’ s gr a ntof s u m m a ry ju d g m e n t to Bjo rn d a l o n th is c la im is r e v e r s e d . B ecau se P en a’ s v ari o u s ret al i at i o n cl ai m s rel at i v e t o th e ex erci se o f h i s F i rst A m e ndm e ntr i ght s w e r e e xtr e m e l y c l os e l yr e l a t e d, the di s tr i c tc our t ’ s e rr one ous grantof sum m ary j ud gm entre gardi ng the D H S cl ai m re qu i re s vac at i on of the j ury verdi cton tho se of P ena’ s r et al i at i on cl ai m s thatw entt o tri al , so thatthe re l at ed c la im s c a n b e h e a r d jo in tly a n d th e e v id e n c e e v a lu a te d in its to ta lity . See L i es v. Farre l l L i nes, Inc. , 64 1 F . 2d 76 5, 77 4 (9th C i r. 19 81 ) ( “ [A ] l tho ug h p art i al new tr ia ls a r e p e rm itte d , th e d e v ic e ‘m a y n o t p r o p e r ly b e r e s o r te d to u n le s s it c le a r ly ap p e a r s th a t th e is s u e to b e r e tr ie d is s o d is tin c t a n d s e p a r ab le f r o m th e o th e r s th a t a tr i a l of i ta l one m a y be ha d w i thouti nj us t i c e . ’ ” ( quot i ng G asol i ne P rods. C o. v. Cham pl i n R e f . C o. , 28 3 U . S . 49 4, 50 0 (19 31 )) . M o r e o v e r , a ttr i a l th e d i s tr i c tc o u rte x c l u d e d SDC P o l i c e Ch i e f Ed C on tre ra s’ s t es t i m on y thatM ee ker a nd S D C C l i ni ca l D i re ct or P atty R ee s order ed5

hi m t o “ f i nd di rt ” on P e nabe c aus e the y w e r e c onc e rne d tha tP e na ’ s w hi s t l e bl ow i ng a c tiv itie s c o u ld s u b

je c t th e S D C to liab ility . B ecau se a ret al i at i o n su i t“ req u i res a s how i ng of

a n e m pl oy e r ’ s i m pr ope rm ot i ve a nd ‘ a n e m pl oy e r ’ s true m ot i va t i ons ar e part i cul ar l y di ff

i cul tt o asc ert ai n, ” s e e Cas um pang v . I nt ’ l L ongs hor e m e n’s and W ar e hous e m e n’s U

ni on, L oc al

142 , 26 9 F . 3d 10 42 , 10 59 (9th C i r. 20 01 ), r e t a l i a t i o n c a s e s o f

t e n tu rn u p o n c i r c u m s t a n t i a l e v i d e n c e . He r e , th e f a c tth a tS DC l ead ers, i n cl u d i n g Bj o rn d al ’ s d i rectsu p eri o r, d esi red P en a’ s t erm i n at i o n so s tr ongl y tha tthe y w e r e w i l l i ng t o e nga ge the S D C P ol i c e C hi e f i n ac l oa k- a ndd a g g e rin v e s tig a tio n o f

P e n aw o u ld a llo w aju ry to in f e rth a t th o s e le a d e r s w o u ld h a v e c o m m u n ic a te d th a t d e s ir e to Bjo rn d a l. B e c au s e C o n tr e r a s ’s e v id e n c e is hi ghl y pr oba t i ve a nd be c aus e a ny undue pr e j udi c e c oul d be a ddr e s s e d thr ough te s tim o n y b y Bjo rn d a l, M e e k e r , a n d R e e s , th e d is tr ic t c o u r t ab u s e d its d is c r e tio n in ex cl u d i n g C o n treras’s t est i m o n y. P e n af u rth e rap p e a ls th e d is tr ic t c o u r t’s r e f u s a l to p r o v id e th e ju ry w ith h is p ro p o sed resp o n se t o a n o t e i tsen tt o th e co u rtd u ri n g i t s d el i b erat i o n s. B ecau se w e vac at e the verdi ctagai nstP ena a nd re m and for retri al for the re as on s di sc usse d ab o v e , w e d o n o t r e a c h th is is s u e o n ap p e a l. C ost s on app ea l ar e aw ar ded t o the pl ai nt i ff . AF F I RME D in p a rt, R EVER SED i n pa r t , a nd R E M A N D E D .