Opinion ID: 365900
Heading Depth: 1
Heading Rank: 3

Heading: policymakers

Text: 20 The district court found, as a matter of fact, that the position of Circuit Clerk was a policymaking position. Recognizing that the Deputy Circuit Clerk is vested with powers concurrent to the Circuit Clerk's, the district court then concluded that the office of Deputy Clerk was also a policymaking position. 21 Our review of this factual finding 8 is limited by the clearly erroneous standard of Rule 52(a). Fed.R.Civ.P. 52(a). A finding is clearly erroneous when the reviewing court, although finding some evidence to support the finding, is left with the definite and firm conviction that a mistake has been committed. United States v. United States Gypsum Co., 333 U.S. 364, 395, 68 S.Ct. 525, 542, 92 L.Ed. 746 (1948); Mercer v. C. A. Roberts Co., 570 F.2d 1232, 1236 n. 5 (5th Cir. 1978). Where, as in the case sub judice, the case was submitted to the district judge solely upon the basis of the pleadings and affidavits, the burden of showing findings clearly erroneous is somewhat less than where the factual findings were based in part upon the credibility of witnesses. Village Fair Shopping Center Co. v. Sam Broadhead Trust, 588 F.2d 431, 434 n. 2 (5th Cir. 1979); Volkswagen of America, Inc. v. Jahre, 472 F.2d 557, 559 (5th Cir. 1973). In the light of these general principles we conclude that the district court was clearly erroneous in finding as a matter of fact that the position of Circuit Clerk is a policymaking position within the meaning ascribed to that term in Elrod v. Burns : applicable Alabama constitutional and statutory provisions 9 clearly reflect that policymaking decisions with regard to the operation of the Circuit Clerk's office in the Alabama unified judicial system are made by the Administrative Director of the Courts, not Circuit Clerks. 22 Under Elrod v. Burns the question of whether a particular public employee is a policymaker can be answered only by analyzing the nature of the employee's responsibilities. 427 U.S. at 367, 96 S.Ct. at 2687. (T)itles alone do not provide the answer. Note, Will the Victor Be Denied the Spoils? Constitutional Challenges to Patronage Dismissals, 4 Hastings L.Q. 165, 182 (1977). Elrod also requires that in close cases doubt should be resolved in favor of the public employee subjected to patronage dismissal. 427 U.S. at 368, 96 S.Ct. at 2687. Unfortunately, Elrod does not provide any definition of policymaking positions other than intimating that policy makers have broad responsibilities with ill-defined objectives, and may act as advisers or formulate plans for the implementation of broad goals. 427 U.S. at 367-68, 96 S.Ct. at 2687. Policymakers also may be identified as public employees whose responsibilities require more than simple ministerial competence, whose decisions create or implement policy, and whose discretion in performing duties or in selecting duties to perform is not severely limited by statute, regulation, or policy determinations made by supervisors. See Johnson v. Bergland, 586 F.2d 993 (4th Cir. 1978); Newcomb v. Brennan, 558 F.2d 825 (7th Cir.), Cert. denied, 434 U.S. 968, 98 S.Ct. 513, 54 L.Ed.2d 455 (1977). A policymaker also may be an individual who controls or exercises a role in a decision making process as to the goals and general operating procedures of (an) office. Ramey v. Harber, 431 F.Supp. 657, 666 n. 15 (W.D.Va.1977), Aff'd in part & rev'd in part on other grounds, 589 F.2d 753 (4th Cir. 1978), Cert. denied, --- U.S. ----, 99 S.Ct. 2823, 61 L.Ed.2d 275, (1979). The statutory duties and authority of Circuit and Deputy Circuit Clerks under Alabama's unified judicial system do not fall within the scope of the term policymaker as that term has been defined above. 23 In 1973 Article VI of the Alabama Constitution was amended to provide for a unified judicial system. Ala.Const. art. VI, § 6.01(a) (Amendment No. 328, ratified Dec. 27, 1973). Under this constitutional provision Circuit Clerks are elected by qualified voters in each county for six-year terms. Id. § 6.20(b). On October 9, 1975, the Alabama Legislature adopted a measure designed to implement the new judicial article of the Alabama Constitution. Act No. 1205, 1975 Ala.Acts (codified in scattered sections of Ala.Code tit. 12 (1975)). Under this act the administrative office of courts was created. Ala.Code tit. 12, § 12-5-1 (1975). The administrative office of the courts was given authority to serve as an agency to apply for and receive grants or other assistance and to coordinate or conduct studies and projects in connection with the improvement of the administration of justice. Id. § 12-5-2(a). 24 Under Alabama's unified judicial system the state department charged with the duty of assisting the Chief Justice of the Supreme Court of Alabama in connection with his duties as chief administrative officer of the courts is the department of court management. Id. § 12-5-3(a). Among other duties, the department of court management is required to work with the clerks of all state courts to collect, obtain, compile and digest information and statistics concerning the administration of justice in the state. Id. § 12-5-3(b)(1). Unless the chief justice otherwise directs, the department of court management, Under the direction of the administrative director of courts, shall have the responsibility for trial court administration. Id. § 12-5-6 (emphasis added). See also id. § 12-5-8 (administrative director of courts ex officio head of department of court management and head of administrative office of courts). 25 Section 12-5-10 of the Alabama Code prescribes the duties and authorities of the administrative director of the courts. That section provides: 26 In addition to any other duties and responsibilities that may be assigned to the administrative director of courts by the chief justice, he shall have the following duties and authority with respect to all courts, subject to the direction of the chief justice: 27 (1) To require the filing of reports, the collection and compilation of statistical data and other information on the judicial and financial operation of the courts and on the operation of other offices directly related to and serving the courts; 28 (2) To determine the state of the dockets and evaluate the practices and procedures of the courts and make recommendations concerning the number of judges and other personnel required for the efficient administration of justice; 29 (3) To prescribe uniform administrative and business methods, systems, forms and records to be used in the offices of the clerks and registers of courts; 30 (4) To prepare and submit budget recommendations for state appropriations necessary for the maintenance and operation of the unified judicial system, with the exception of appellate courts, and to authorize expenditures from funds appropriated for these purposes as permitted or authorized by law; 31 (5) To investigate, make recommendations concerning and assist in the securing of adequate physical accommodations for the unified judicial system; 32 (6) To procure, distribute, exchange, transfer and assign such equipment, books, forms and supplies as are acquired with state funds or grant funds or otherwise for the unified judicial system; 33 (7) To make recommendations for the improvement of the operations of the unified judicial system; 34 (8) To prepare and submit an annual report on the work of the unified judicial system to the chief justice; 35 (9) To assist the chief justice in performing his duties relating to the transfer and assignment of justices and judges for temporary or specialized duty; 36 (10) To assist the judicial conference in its tasks; 37 (11) To promote, carry on and assist in programs designed to aid in the continuing education of justices, judges and other court personnel; 38 (12) To take necessary steps in the collection of unpaid court costs, fines and forfeitures; 39 (13) To serve as a liaison with the executive and legislative branches of the state government; and 40 (14) To perform such additional administrative duties as may be assigned by the chief justice. 41 Ala.Code tit. 12, § 12-5-10 (1975). 42 The administrative director of courts also is responsible for the direction of expenditure of funds for all courts, for all functions, directly or indirectly affecting the operation of any court. Id. § 12-5-13(b). He also is authorized to employ consultants for the purpose of conducting studies and projects pertaining to the administration of justice and improvement of courts in Alabama. Id. § 12-5-14. In connection with studies, projects and functions designed to improve or effect the administration of justice, section 12-5-18 is also relevant. That section provides: 43 In connection with studies, projects and functions designed to improve or effect the administration of justice, the operation of courts and continuing legal and judicial education, the administrative director of courts, the department of court management and the chief justice are authorized to Use the services of any member of the judiciary of any court and court-supportive personnel, including, but not limited to, court reporters, Clerks, registers, bailiffs, law clerks, court administrators, secretaries and employees in clerks' offices and registers' offices. 44 Id. § 12-5-18 (emphasis added). 45 In contrast to the broad duties and responsibilities of the administrative director of the courts, the authority and duties of the office of Circuit Clerk are Specifically delineated by statute. Although elected under the Alabama Constitution, Circuit Clerks are employed and paid by the State of Alabama. Id. § 12-17-80. The authority of the Circuit Clerk is found in section 12-17-93 which provides: 46 Clerks of the circuit court have authority: 47 (1) To administer oaths and take acknowledgments and affidavits in all cases in which the authority to administer such oath or take such affidavit is not confined to some other officer. 48 (2) To appoint deputies, with full power to transact all business of such clerks, such deputies first taking an oath to support the Constitution and laws of this state and faithfully to discharge the duties of deputy clerks of the court for which they act. 49 (3) To receive the amount of any judgment entered in the courts of which they are clerks, either before or after the issue of execution thereon. 50 (4) To exercise such other powers as are, or may be, conferred by law, including administrative rules of procedure promulgated by order of the supreme court of Alabama. 51 Id. § 12-17-93 (1975) (emphasis added). 52 The Circuit Clerk's duties are also specifically defined by statute: 53 (a) It is the duty of the clerks of the circuit court: 54 (1) To sign and issue all summons, subpoenas, writs, executions and other processes, under the authority of the court; 55 (2) To keep a consolidated docket sheet of civil and criminal cases, the names of the parties, the character of action or offense, the names of the attorneys and the sheriff's return, which must be entered in all civil and criminal cases standing for trial, in the order in which they are brought, and the bench notes, orders, rulings on motions and pleadings, other preliminary matters and final judgment which have been made in each case by the judge, which shall be the official minutes; 56 (3) To keep all papers, books, dockets and records belonging to their office with care and security, with the papers filed, arranged, numbered and labeled, so as to be of easy reference, and the books, dockets and records properly lettered; and to allow parties to inspect the records free of charge; 57 (4) To make out and deliver, on application and payment of the legal fees therefor, to any person applying for the same, a correct transcript, properly certified, of any paper or record in their offices; and 58 (5) To exercise such duties as are, or may be, conferred upon them by law, including administrative rules promulgated by order of the supreme court of Alabama. 59 (b) Any clerk of any circuit court who fails to perform any duty imposed on him, for the failure to perform which no other punishment is provided, shall, on conviction, be fined not exceeding $200.00. 60 Id. § 12-17-94 (1975). Other duties of Circuit Clerks include: certifying a copy of indictments against convicts sentenced to the penitentiary, Id. § 12-17-96; paying money in his possession at the expiration of his term of office to his successor upon demand, Id. § 12-17-97; preparing monthly reports on forms approved by the chief examiner of public accounts, showing the amount of fines, trial tax, district attorney fees and other fees that accrue to the benefit of the state, county or municipality that were collected the preceding month, Id. § 12-1-19; notifying the parties or one of their attorneys of record of the date of a court-ordered special session of court, Id. § 12-11-7; transferring a case to the docket of the appropriate court when filed in a court lacking jurisdiction, Id. § 12-11-9; accepting payment from parents legally obligated to support a child after a judicial determination that such support is required under state law, id. § 12-15-11; retaining charges moved for by a party which the trial judge refuses to give, Id. § 12-16-13; issuing jury venires, Id. § 12-16-74; filing and retaining books and lists prepared by grand jury foremen, Id. § 12-16-199; serving as ex officio clerk of the district court and having administrative responsibility for and supervision of records and clerical services of the district courts, id. § 12-17-160. 61 Circuit Clerks, therefore, have No authority to make policy decisions with regard to: compilation of data and statistics; prescription of administrative and business methods, systems, forms, and records used in the Clerk's office; preparation of budgetary recommendations; investigation and recommendation regarding physical facilities; and procurement, distribution, and assignment of equipment, books, forms, and supplies. This authority is expressly vested in the administrative director of the courts. Ala.Code tit. 12, § 12-5-10 (1975). The only role the Circuit Clerk plays in the broad scheme of policy determination is ministerial the clerk's services are available to the administrative director of the courts. Id. § 12-5-18. 62 The district court was clearly erroneous in finding that the Circuit Clerk occupies a policymaking position. Consequently, even though the Deputy Circuit Clerk has authority concurrent to the Circuit Clerk's, the deputy cannot be deemed a policymaker. This conclusion, however, does not require reversal of the judgment entered below: it is firmly established that an appellate court must affirm the lower court's judgment if the result is correct even though it is based upon an improper ground. SEC v. Chenery Corp., 318 U.S. 80, 88, 63 S.Ct. 454, 459, 87 L.Ed. 626 (1943); Eltra Corp. v. Ringer,579 F.2d 294, 298 & n. 12 (4th Cir. 1978); Lum Wan v. Esperdy, 321 F.2d 123, 125 (2d Cir. 1963); Cf. Raven v. Panama Canal Co., 583 F.2d 169, 171 (5th Cir. 1978), Cert. denied, --- U.S. ----, 99 S.Ct. 1787, 60 L.Ed.2d 240 (1979) (successful party in the district court may sustain its judgment on any ground that finds support in the record). 63 We must decide, therefore, whether the district court's judgment must be affirmed because appellant Stegmaier occupied a position of confidence, loyalty, and trust. This requires consideration of two questions: (1) whether there is a confidential employee exception to Elrod v. Burns in addition to the policymaking employee exception; and (2) if there is such an exception, whether appellant Stegmaier falls within its scope even though the elected official with whom she would have to enjoy a relationship of confidence, loyalty, and trust is not a policymaking public official.