Opinion ID: 381263
Heading Depth: 2
Heading Rank: 2

Heading: Plaintiff's Possible First Amendment Claim

Text: 57 Plaintiff alleges that she was terminated for asking legitimate questions about the possible discriminatory effects of the Exchange Policy. Stated this way it is clear that there is a thread of first amendment theory interwoven with plaintiff's fifth amendment claims. The thread is especially prominent when the causal relationship between the underlying fifth amendment right and plaintiff's dismissal is examined. This is because the right to explore and discuss constitutional rights springs both from the substantive right itself, and from the fundamental right of free speech. 58 This record does not reveal the scope or nature of the questions which triggered the rather remarkable penalty of dismissal. The reaction itself, however, suggests that Ms. Hanson's questions might have been understood to be, if they were not in fact intended to be, an expression of criticism and a plea for reform rather than a simple request for clarification. 59 Both the Supreme Court and this court have on several occasions discussed the nature and limitations of a government employee's right to be publicly critical of his or her employer's actions and policies. In each case the availability of first amendment protection has turned upon the result of a balancing test. 60 Pickering v. Board of Education, 391 U.S. 563, 88 S.Ct. 1731, 20 L.Ed.2d 811 (1968), involved a schoolteacher who was dismissed from his position for sending a letter to a local newspaper in connection with a recently proposed tax increase that was critical of the way in which the Board and the district superintendent of schools had handled past proposals to raise new revenue for the schools. Id. at 564, 88 S.Ct. at 1732-33. The Court determined that the outcome of the case depended on a balance between the interests of the teacher, 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. Id. at 568, 88 S.Ct. at 1734-35. Balancing these interests, the Court found the teacher's dismissal unjustified (absent proof of false statements knowingly or recklessly made) and accordingly reversed the state court judgment to the contrary. Id. at 569-75, 88 S.Ct. at 1735-1738. 61 The Court recently reaffirmed the Pickering balancing test, albeit in the context of a decision concerning the necessary causal connection between protected conduct or speech and the public employer's challenged action. Mt. Healthy City School District Board of Education v. Doyle, 429 U.S. 274, 284, 97 S.Ct. 568, 574, 50 L.Ed.2d 471 (1976) (protected conduct will not immunize employee from actions for which employer has valid independent reasons). 62 We have ourselves reviewing the balancing process in several cases involving public employees' exercise of their right to speak out. In Tygrett v. Washington, 177 U.S.App.D.C. 355, 543 F.2d 840 (D.C.Cir.1974), we said that a probationary policeman could not be discharged for speaking to the press about a bill proposing a pay raise and for suggesting to the press the possibility of a sick in if the bill did not pass. We there held that discharge for the policeman's conduct would not be proper unless it could be shown that his statements adversely affected his efficiency as a police officer or the efficiency of the Department as a police force. Id. 177 U.S.App.D.C. at 365, 543 F.2d at 850. 63 Governmental action affecting fundamental rights does not enjoy a presumption of constitutionality; rather, the burden is upon government to show a compelling governmental interest justifying the intrusion. Governmental infliction of a penalty for speech arguably protected by the First Amendment falls squarely within the compass of this requirement. 64 Id. 177 U.S.App.D.C. at 364, 543 F.2d at 849 (footnote omitted). 65 In Ring v. Schlesinger, 164 U.S.App.D.C. 19, 502 F.2d 479 (D.C.Cir.1974) we applied Pickering, supra, to the dismissal of a federally-employed teacher for writing portions of a memorandum critical of her school's principal and sending the memo both to the commanding officer of the Naval station where she taught and to other senior officials. We there held that the evidentiary record before the district court was insufficient to support summary judgment for the government defendants.Mrs. Ring has had no hearing, and there was no evidentiary material based on the sworn testimony of witnesses from which the District Court might have gleaned the facts. There was no evidence that the statements made by Mrs. Ring were true or false, or, if false, whether she knew they were so or whether she made the statements with reckless disregard of their truth or falsity. 66 In granting summary judgment to the Government without a hearing, the District Court held that the Commanding Officer had balanced (the respective parties' interests) . . .. 67 (But t)he balancing here of First Amendment freedoms against an asserted governmental interest requires the judgment of the District Court. 68 Id. 164 U.S.App.D.C. at 29-30, 502 F.2d at 489-90 (emphasis supplied). 69 In Waters v. Peterson, 161 U.S.App.D.C. 265, 495 F.2d 91 (D.C.Cir.1973), we said that the Census Bureau employees who displayed a placard demanding Pigs Off Census during a lunchtime demonstration at the agency cafeteria could not be suspended if their suspension 70 was predicated, . . . on the mere content of the sign they displayed as part of their demonstration. Government employees have protection of First Amendment freedoms even when their speech is critical of or embarrassing to their superiors, albeit this doctrine is subject to certain limitations. Pickering, supra; Meehan v. Macy, (infra). As already noted, the fighting words concept is an exception to protected speech, but we do not think that present record established a predicate for that exception. This is so even though the immunity of government employees from sanction is not necessarily co-extensive with the immunity of citizens from prosecution for speech on the public way. 71 Id. 161 U.S.App.D.C. at 272, 495 F.2d at 98. 72 On the other hand, in Meehan v. Macy, 129 U.S.App.D.C. 217, 392 F.2d 822 (D.C.Cir.) modified, 138 U.S.App.D.C. 38, 425 F.2d 469 (1968) (scope of inquiry on remand enlarged in light of Pickering, supra ), aff'd on rehearing en banc, 138 U.S.App.D.C. 41, 425 F.2d 472 (1969), we sanctioned dismissal of Panama Canal Zone policemen for publicity disseminating intemperate and sarcastic criticism of the Governor's planned use of native Panamanians to augment the police force in a riot-prone situation. At the same time we recognized: 73 One who enters the routine service of the Government cannot be forced to cede all of his protections from Governmental excesses. Whatever liberties a private employer might have or take, the Government cannot disregard the Bill of Rights merely by calling on its prerogative to hire and fire employees. 74 129 U.S.App.D.C. at 227, 392 F.2d at 832 (footnote omitted). 75 Some of the factors that appear to have entered into the balancing in such cases include the sensitivity and confidential nature of the employee's position and the government's consequently legitimate need for secrecy; the nature of the subject on which the employee speaks out; the truth or falsity of the employee's statement; any interference with the performance of his job resulting from the speech; the context of the speech and accompanying conduct; its anticipated effect on agency morale and upon working relationships with immediate superiors. See Meehan, supra, at 227-230, 392 F.2d at 832-35; Waters, supra, 161 U.S.App.D.C. at 268-273, 495 F.2d at 94-99; Pickering, supra, 391 U.S. at 568-74, 88 S.Ct. at 1734-1737; Goldwasser v. Brown, 135 U.S.App.D.C. 222, 228-229, 417 F.2d 1169, 1176-77 (D.C.Cir.1969). See also Harper v. Blumenthal, 478 F.Supp. 176, 182 (D.D.C.1979) (Sirica, J.). 76 The relevance of these cases to this plaintiff's situation derive from the Supreme Court's pronouncement in Givhan v. Western Line Consolidated School District, 58 L.Ed.2d 619, 99 S.Ct. 693, 439 U.S. 410, (1979) that private expression of one's views is (not) beyond constitutional protection. Id. at 695.This Court's decisions in Pickering, Perry (v. Sindermann, 408 U.S. 593, 92 S.Ct. 2694, 33 L.Ed.2d 570 (1972)) and Mt. Healthy do not support the conclusion that a public employee forfeits his protection against governmental abridgement of freedom of speech if he decides to express his views privately rather than publicly. 77 The First Amendment forbids abridgement of the freedom of speech. Neither the Amendment itself nor our decisions indicate that this freedom is lost to the public employee who arranges to communicate privately with his employer rather than to spread his views before the public. 78 Id. at 695-97. 79 In the Givhan case, the plaintiff schoolteacher had complained to her principal about blacks not being hired in the school cafeteria, failure to integrate the school's administrative staff and assignment of Neighborhood Youth Corps workers to exclusively janitorial jobs. See Ayers v. Western Line Consolidated School District, 555 F.2d 1309, 1313 (5th Cir. 1977). The district court had found that the failure to renew her contract was traceable to her criticism of the policies and practices of the school, and that contrary to the school authorities' contention plaintiff's requests 80 were neither 'petty' nor 'unreasonable', insomuch as all of the complaints in question involved employment policies and practices at (the) school which (petitioner) conceived to be racially discriminatory in purpose or effect 81 99 S.Ct. at 695 (quoting the district court). 82 We have no record here on the nature of Ms. Hanson's inquiries or complaints about the maternity leave policy, e. g., how many there were, how they were delivered, the tone of her questions or demands, the effect, if any, of her questioning on her peers and superiors. Proof on such matters would have to be tendered for the district court to do any proper balancing. See Ring v. Schlesinger, supra. The Givhan Court noted that the balancing test might work differently when applied to private expressions, with more weight given to the effect of the manner, time and place of delivery, as well as to the content of the expression. Id. at 696 n. 4. 83 We take Ms. Hanson's inquiries to have been facially addressed to or understood to be related to an underlying substantive right to be free of sex discrimination in employment. A request to clarify an ambiguous policy even if unrelated either objectively or subjectively to an underlying constitutional or statutory right, however, is not clearly unprotected by the first amendment. 8 We assume, however, that a line must be drawn somewhere in the balancing process to exclude from protection entirely petty or frivolous questions or complaints. See Givhan, supra at 695 (noting the district court's conclusion that Ms. Givhan's demands were neither petty nor unreasonable). 84 We think that the clarity or ambiguity of the underlying right to which the inquiry relates is one and perhaps an important factor in the determination whether the inquiry is made in good faith. The good or bad faith of the inquiry is in turn one factor to be considered in determining whether the inquiry is protected under the first amendment. All we decide here is that the existence of the underlying right asserted was not so clearly foreclosed either as a matter of construction of the plan or as a matter of the controlling law as to mandate a finding that the inquiry was made in bad faith. Cf. Pickering, supra, 391 U.S. at 574 n. 6, 88 S.Ct. at 1738 (reserving question whether knowingly or recklessly false statements might still be protected by first amendment). 85 We recognize too that in context the asking of questions may prove as disruptive as, or more disruptive than, the making of statements. But neither the first amendment nor common sense can draw a bright line between questions and statements. Questions often if not always express views. 86 We think our decision is supported by the rationale underlying the prohibition against retaliatory treatment which plays so prominent a role in the creation of statutory rights in employment. Employees protected by Title VII, for example, are protected against retaliation for opposition to any practice made an unlawful employment practice by this title and for participation in any investigation, proceeding or hearing under this title. 42 U.S.C. § 2000e-3(a) (1976). See Pettway v. American Cast Iron Pipe Co., 411 F.2d 998, 1005-06 (5th Cir. 1969). The National Labor Relations Act protects employees against reprisal for some organizational activities, e. g., 29 U.S.C. § 158(a) (3) (1976) (unfair labor practice for employer by discrimination in regard to hire or tenure of employment . . . to encourage or discourage membership in a labor organization) (see NLRB v. Erie Resistor Corp., 373 U.S. 221, 83 S.Ct. 1139, 10 L.Ed.2d 308 (1963)); 29 U.S.C. § 158(a)(4) (1976) (unfair labor practice for employer to discharge or otherwise discriminate against an employee because he has filed charges or given testimony under the Act). 87 The creation of a right is often meaningless without the ancillary right to be free from retaliation for the exercise or assertion of that right. Cf. United States v. Jackson, 390 U.S. 570, 88 S.Ct. 1209, 20 L.Ed.2d 138 (1968) (death penalty may not be imposed solely on those who exercise their constitutional right to a jury trial); Griffin v. California, 380 U.S. 609, 85 S.Ct. 1229, 14 L.Ed.2d 106 (1965) (penalty in form of comment by court and prosecutor may not be imposed on the exercise of one's fifth amendment right to silence). See also Shapiro v. Thompson, 394 U.S. 618, 89 S.Ct. 1322, 22 L.Ed.2d 600 (1969) (burden in form of residency requirement for welfare benefits may not be imposed on constitutional right to travel, absent compelling justification); Sherbert v. Verner, 374 U.S. 398, 83 S.Ct. 1790, 10 L.Ed.2d 965 (1963) (burden in form of choice between receiving unemployment benefits or observing the Sabbath may not be imposed on right of free exercise of religion, absent compelling state interest). But see Wyman v. James, 400 U.S. 309, 91 S.Ct. 381, 27 L.Ed.2d 408 (1971) (termination of benefits under New York's Aid to Families With Dependent Children program for refusal of required home visit not violative of fourth amendment right to be free of unreasonable searches). As Pettway, supra, recognized, the need for such protection is especially great in the employment context. Retaliation for mere inquiries relating to one's right is a subtle and insidious means of evading a statutory mandate or a constitutional command. Drawing the scope of first amendment protection too narrowly would permit a public employer who is not otherwise forbidden from retaliation to evade his constitutional responsibilities. We recognize that the standards of protection applied under the first amendment may not be strictly analogous to the standards applied under Title VII, but the principle of protection is essentially similar, and similarly essential. 88 We raise the first amendment questions implicit in plaintiff's complaint with the realization both that she did not explicitly rely on the first amendment theory and that if, on remand, she decides to pursue this theory by amendment or otherwise, the defendant must be given his opportunity to answer on the merits. We recognize that the application of first amendment analysis to protect the intra-office inquiries of government employees raises many questions for which firm answers do not seem possible. A few of these questions have been adverted to in our discussion above. 9 89 We believe, however, that plaintiff should be permitted to avail herself of the opportunity to make out a first amendment claim on remand. One reason why she did not explicitly do so before may be that prior to Givhan it was not clear that a public employee's private communications to superiors were constitutionally protected. 10 On this account alone we would be inclined to permit plaintiff to proceed under the first amendment. The basic factual allegation is already there, i. e., that her dismissal resulted from her inquiries about the plan. A generous reading of her present complaint can encompass a free speech claim. 90 The Federal Rules of Civil Procedure require only a short and plain statement of the claim showing that the pleader is entitled to relief. Fed.R.Civ.P. 8(a). The liberal concepts of notice pleading embodied in the Federal Rules do not require the pleading of legal theories. Siegelman v. Cunard White Star, 221 F.2d 189 (2d Cir. 1955) (Harlan, J.). 11 Defendant will of course have an opportunity to defend against such a claim. 91 We cannot tell at this point whether plaintiff can make out a successful case to warrant constitutional protection for her inquiries. But we think she should have the chance.