Opinion ID: 2998255
Heading Depth: 1
Heading Rank: 1

Heading: factual background and disposition

Text: BELOW While this case presents several nuanced legal questions, the underlying facts are not disputed.1 The plaintiffs served as Internal Security Investigators II (ISI 2s) in the Office of the Inspector General (OIG) in the Illinois Department of Human Services (DHS) at all times relevant to this suit.2 The OIG is responsible for investigating reports of abuse and neglect of the mentally ill and developmentally disabled persons who receive DHS services. According to the job description, an ISI 2 performs highly responsible, sensitive, and confidential investigative work; conducts the gathering and analysis of relevant facts and data concerning abuse and neglect investigations; completes investigations by preparing 1 The facts in ths section are taken primarily from the district court’s opinion below. Wernsing v. Thompson, 286 F. Supp. 2d 983, 989-91 (C.D. Ill. 2003). 2 Jenny Wernsing was hired as an ISI II in 1998, Charles Bingaman was hired in 1997, and Troy Cannon was hired in 1996. Charles Bingaman later became an OIG Team Leader in 2000, giving him additional responsibilities from time to time. No. 03-3956 3 reports, summarizing investigative activities and recommends conclusions to findings. SPECIFICALLY: 1. Conducts confidential, sensitive, and complex investigations concerning reports of abuse and neglect at State-operated facilities and community agencies: gathers data and evidence, conducts interviews, receives reports and analyzes relevant evidence concerning cases of abuse and neglect; ensures that case reports are comprehensive and accurate; takes initial statements from staff. 2. Prepares written investigative reports upon the completion of the investigative process consisting of a summary of actions taken, findings, preservations of evidence and recommendation for corrective action and/or case closure. 3. Maintains confidential files pertaining to cases under investigation; ensures the security of all pertinent information gathered during the investigatory process. 4. Recommends revisions to investigatory procedures and practices. 5. Serves as an expert witness and provides testimony in criminal and administrative hearings related to the conducting of or results of the investigation. 6. Performs other duties as required or assigned which are reasonably within the scope of the duties enumerated above. (Doc. 38, Wernsing Dep. Exh. M8.) In the fall of 2000, the OIG was subdivided into four geographical Bureaus: the North (Chicago), the Metro (the area surrounding Chicago), the Central and the South. All ISI 2s report to a designated Team Leader, who reports to the appropriate Bureau Chief, 4 No. 03-3956 who in turn reports to the Deputy Inspector General or the Inspector General. Defendant Odell Thompson, Jr. became the Inspector General of the DHS on July 1, 2000. On or about November 27, 2000, Thompson received an e-mail from five employees in the OIG’s Southern Bureau, including plaintiffs Wernsing, Bingaman and Cannon, which stated: Several investigators in the Southern Bureau have some concerns we wish to discuss with you as soon as possible. These concerns are relative as to who we understand you are going to appoint as the Southern Bureau Chief. These concerns are very important and need your attention before any appointment is made. (Doc. 38, Wernsing Dep., Exh. 1.) Thompson received the e- mail but did not respond to it. On November 30, 2000, Thompson received another e-mail from the same five employees, stating in relevant part: We contacted you on 11/27/00 asking that you meet with us and discuss our serious concerns over who we understand to be the tentative selection for Bureau Chief. We have not heard from you. We once again ask that you meet with us. We would like if at all possible to keep this matter in house out of respect for the chain of command and in keeping with respect for your position. However, if we are not afforded this opportunity we will feel compelled to air our concerns to the Secretary or those at the legislative level. Again, Thompson did not respond to the request for a meeting and made no inquiries into the basis for the e-mail. The concerns referenced in the two e-mails apparently stemmed from rumors that Thompson was going to ap- point Ron Fuentes as Bureau Chief of the OIG Southern Bureau. Each of the plaintiffs had worked with Fuentes No. 03-3956 5 when he had previously served as Bureau Chief, and they had concerns about his ability to manage the Bureau effectively. Specifically, plaintiffs allege that Fuentes had presided over a large backlog of investigations which caused staffing shortages in the DHS and delays in OIG investigations, had misplaced OIG files which were later found in the trunk of his car, had worked short days and was on-site at the Bureau office only two days out of the week and was generally considered an incompetent and frustrating supervisor. (See Wernsing Br. at 12-14.) The backlog in investigations was particularly troubling since any delay in investigating cases of neglect or abuse could compromise the investigators’ ability to gather information (since many of the victims have difficulty remembering what happened to them) or could render grievances against offending DHS employees time-barred under Illinois law. Unaware of the specific concerns that lay behind the two e-mails, Thompson became concerned at the suggestion that the signatories might contact the Secretary of the DHS or individuals “at the legislative level.” Thompson was apparently in the midst of reorganizing the OIG, and he feared that OIG employees might be trying to “sabotage” these efforts. On or about December 5, 2000, Thompson sent a letter to the five e-mail signatories that stated, in relevant part: The Office of Inspector General staff are not authorized to communicate about Office of Inspector Gen- eral policies or operations directly to the Secretary [head of the DHS], to the press, or to any external agent except with my prior knowledge and approval. This directive was repeated in a second communication sent to all employees in the OIG in January, 2001. Thompson later testified that there was nothing other than the two e- mails from the plaintiffs that led him to issue the December 6 No. 03-3956 5 directive and that his concern was that he “didn’t want to be sabotaged in some way” because he “just didn’t know what their motives were.” He admitted that he didn’t make any effort to ascertain plaintiffs’ motives in threatening to contact the Secretary of DHS or legislators. It is undisputed that the release of confidential information by OIG employees and contacts with the press were already governed by both statute and internal DHS rules. Believing that these directives potentially barred her from speaking to anyone outside of the OIG, Wernsing asked her supervisor, Sandy Mott, if the directives applied to conversations she might have with her union representative, an attorney or her legislator. At Mott’s suggestion, Wernsing telephoned Thompson on January 26, 2001, and Thompson “yelled” at her, telling her she was “walking down the road to getting fired” and accusing her of “playing games.” That same day, Mott sent an e-mail to the Inspector General’s Office relaying Wernsing’s question. Sydney Roberts, who was then serving as the Deputy Inspector General at the time, responded to Mott’s e-mail with two messages. The first read simply: “Your people really want to try me don’t they.” The second e-mail stated: No one in the OIG is represented by a Union that is in any sort of contractual agreement with DHS. Thus we don’t have to honor anything that their union representative requests unless it is consistent with the rights all employees are entitled to by state or federal law. In other words, they follow the direction of their union representative at their own peril. With respect to the statements made to union personnel, the courts have said that employers may regulate the speech of certain employees in certain circumstances. Thus, they should know the law on this matter, before discussing OIG matters with outside individuals. (Italics in original.) On February 7, 2001, Mott then No. 03-3956 7 e-mailed Wernsing the following response: In answer to your question, Deputy I.G. Sydney Roberts indicated to me that no one in the OIG is represented by a Union that has a contractual agreement with DHS. Thus, we don’t have to honor anything that their union representative requests unless it is consistent with the rights all employees are entitled to by state or federal law. Further, with respect to statements made to union personnel, the courts have said that employer may regulate the speech of certain employees in certain circumstances. Thus, you should know the law on this matter before discussing OIG matters with outside individuals. In March 2001, Thompson attended a meeting of the Southern Bureau staff where he finally met with the plaintiffs and the other e-mail signatories face-to-face. He asked them if they had any concerns they wanted to discuss, and they told him of the rumors concerning Fuentes’ imminent appointment, and of their grave concerns about Fuentes’ ability to manage the Southern Bureau effectively. They cited Fuentes’ work habits, the enormous backlog of cases that had occurred under his supervision and his general inability to manage the Bureau. Plaintiffs allege that, on the heels of these e-mail exchanges, Thompson committed several acts of retaliation for their inquiries and requests for a meeting. These included: (1) Thompson’s denial of overtime pay and mileage to Wernsing and Bingaman after requests for the same had been approved by their immediate supervisor and the Bureau Chief, (2) a warning to Wernsing by the Bureau Chief to watch out because Thompson was watching everything that she did, (3) the downgrading of Wernsing and Bingaman’s annual performance evaluations, (4) the introduction of false and misleading evidence at Bingaman’s grievance hearing, (5) denial of Bingaman’s application for 8 No. 03-3956 the position of Southern Bureau Chief, (6) denial of appropriate and customary travel and lodging expenses for both Wernsing and Bingaman on different occasions and (7) Thompson’s denial of a pre-approved salary increase for the time Bingaman served as acting Investigative Team Leader. See Wernsing, 286 F. Supp. 2d at 997-98. Plaintiffs also allege that, due to Thompson’s directives prohibiting unapproved discussion of OIG business with any “external agent,” they felt compelled to restrict their communications with individuals outside the OIG. Specifically, Wernsing testified that she refused to answer questions about OIG policies from employees at state facilities or community agencies, refrained from commenting publicly on changes to an administrative rule that altered the official definitions of abuse and neglect and refrained from commenting on an OIG proposal to delegate preliminary investigations concerning serious injuries to the local facility where the injury in question occurred. Plaintiff Cannon testified that he refrained from raising concerns with his state legislators about Thompson’s qualifications as Inspector General while the State Senate was considering his appointment. However, there is also evidence that plaintiff Bingaman contacted both his local union steward and a state legislator regarding his troubles with Thompson in the months following Thompson’s directives. On August 3, 2001, Wernsing brought the present suit alleging that Thompson’s pre-clearance directive constituted an unlawful prior restraint on speech that infringes on her First and Fourteenth Amendment rights. Bingaman and Cannon later filed a motion to intervene alleging that Thompson had violated their free speech rights by issuing the directive and had impermissibly retaliated against them for exercising those rights. In January 2003, Wernsing amended her complaint to add a First Amendment retaliation claim as well. Plaintiffs requested several types of relief, including an injunction No. 03-3956 9 barring future enforcement of Thompson’s directive, declaratory relief, and money damages for humiliation, stress and emotional anguish resulting from the imposition of the directive, as well as for losses stemming from Thompson’s alleged reprisals against them. The plaintiffs also named Thompson’s Deputy Inspector General, Sydney Roberts, as a defendant in the suit. While the suit was pending, Thompson’s tenure as Inspector General ended, and he was succeeded by Roberts. Upon assuming the post of Inspector General, Roberts submitted an affidavit to the district court averring that she had “taken no action as to any employee based on the [directives],” and that she does “not consider the . . . [directives] to be the official policy of the Office of the Inspector General.” After discovery, the plaintiffs filed a motion for partial summary judgment, arguing that they are entitled to judgment as a matter of law on their prior restraint claims. Thompson responded with his own motion for summary judgment, seeking judgment as a matter of law on both the prior restraint claim and the retaliation claim. Thompson argued that he did not violate any of plaintiffs’ constitutional rights and that, in any event, he was entitled to qualified immunity as to both claims. In pressing his claim, Thompson asserted that the plaintiffs were confidential “policymaking” employees—or that he reasonably believed them to be “policymaking” employees—who could be fired for disloyal speech, and that therefore he could also place prior restraints on their expressive activity. Roberts, having formally disavowed Thompson’s pre-clearance directive, sought to be dismissed from the suit. In October, 2003, the district court ruled on the parties’ motions for summary judgment. The court granted the plaintiffs’ motion for summary judgment on the prior restraint claim, holding that Thompson’s directives consti10 No. 03-3956 tuted a prior restraint on speech, plaintiffs’ speech was constitutionally protected, Thompson’s interest in preventing the speech did not outweigh plaintiffs’ interest in commenting on matters of public concern and plaintiffs were not policymaking or confidential employees. Wernsing, 286 F. Supp. 2d at 992-97. The court next denied Thompson’s motion for summary judgment on the retaliation claim, holding that plaintiffs’ e-mails to Thompson (and Wernsing’s inquiry regarding the scope of his directive) were constitutionally protected speech and material questions of fact remained as to whether this speech was a motivating factor in Thompson’s alleged retaliatory acts against them. Id. at 997-99. The district court also rejected Thompson’s claim of qualified immunity, holding that it was clearly established that Thompson’s alleged actions restricting or retaliating against plaintiffs’ speech on matters of public concern violated plaintiffs’ constitutional rights. Id. at 999-1001. However, the district court did grant Thompson’s motion for summary judgment with respect to plaintiffs’ request for injunctive relief, holding that there was no substantial likelihood that Thompson’s successor as Inspector General (Sydney Roberts) would enforce Thompson’s directives. Id. at 100102. The court accordingly also dismissed Roberts as a defendant in the case. Id. Thompson now appeals the ruling of the district court, claiming that he is entitled to qualified immunity as to all of plaintiffs’ claims.