Lead Opinion
[¶ 1] The Department of Environmental Protection and several of its employees in their personal capacities
[¶ 2] Jon Andrews initiated this action against the DEP and against several of its employees in their personal capacities, alleging, inter alia, that they had violated his federal and state free speech rights by pursuing a course of adverse employment actions against him in retaliation for a letter he wrote to the Maine Times. Andrews sought declaratory, injunctive, and monetary relief pursuant to 42 U.S.C. § 1983 (1994 & Supp. 1998) and pursuant to article I, section 4 of the Maine Constitution. The defendants moved for a summary judgment, arguing, inter alia, that they are entitled to qualified and sovereign immunity from his suit, and that a violation of the free speech clause of the Maine Constitution cannot support a private cause of action. Andrews opposed the motion, contesting sixty-four of the 117 assertions in the defendants’ Statement of Undisputed Facts. The court denied the motion as to Andrews’s constitutional claims
I.
[¶ 3] Andrews urges us to dismiss this appeal, arguing that it is impermissibly interlocutory pursuant to the decision of the United States Supreme Court in Johnson v. Jones,
[¶4] Although our final judgment rule generally bars immediate review of the denial of a summary judgment, we have determined that “the denial of a motion for a summary judgment based on a claim of immunity is immediately reviewable pursuant to” the death knell exception to the final judgment rule. J.R.M., Inc. v. City of Portland,
[¶ 5] In this case, the Superior Court did not reach the issue of qualified immunity because it determined that the parties’ factual disputes precluded a summary judgment. We must decide whether the defendants’ willingness to stipulate to Andrews’s version of factual events for purposes of this appeal permits us to review the denial of a summary judgment in this case pursuant to the death knell exception. The Supreme Court explained its Johnson holding in its decision in Behrens v. Pelletier:
Johnson held, simply, that determinations of evidentiary sufficiency at summary judgment are not immediately appealable merely because they happen to arise in a qualified-immunity case; if what is at issue in the sufficiency determination is nothing more than whether the evidence could support a finding that particular conduct occurred, the question decided is not truly ‘separable’ from the plaintiffs claim, and hence there is no ‘final decision’ ... summary-judgment determinations are appeal-able when they resolve a dispute concerning an ‘abstract issu[e] of law5 relating to qualified immunity — typically, the issue whether the federal right allegedly infringed was ‘clearly established.’
II.
[¶ 6] The DEP employs Jon Andrews as an Oil and Hazardous Materials Specialist in its Division of Response Services. Andrews’s responsibilities include “field work responding to and directing the clean-up of
[¶ 7] In the June 25, 1993 edition of the Maine Times, an article entitled “When the system fails: How do you protect small business from the bureaucracy? ” appeared. Andrews’s August 1992 meeting with the Knowltons was a subject of this article. The article began: “[a]fter Mike and Amy Knowl-ton had a run-in with a Department of Environmental Protection official, the Legislature pushed through new laws to solve what the department claims was a personnel problem. Legislators saw the issue as calling a halt to bureaucratic arrogance.” A related article, “Making costly change: Mike and Amy Knowlton were seen as victims of a regulatory system run amok,” stated in part:
when Mike and Amy Knowlton, who own a gas station and convenience store in the tiny town of Freedom, ran into trouble with the Department of Environmental Protection (DEP), they went to an important legislator, who in turn ran into a particular regulator’s rude behavior.
T told them to look at the data,’ says Alan Prysunka, who is responsible for the oil and hazardous materials cleanup program at the DEP. ‘My field staff deal with 300 to 400 cases a year. I have one staff person who acted improperly. But are you going to change an entire program because of a personnel problem?’
‘Yes,’ responds Rep. Paul Jacques (D-Wa-terville), an eight-term lawmaker and House chairman of the energy committee. Jacques says it isn’t just because he is a friend of the Knowltons. The reason is because Prysunka’s errant staffer is really part of a pervasive ‘attitude’ problem at DEP that lawmakers feel helpless to change.
[¶8] In response to these articles, Andrews wrote a letter to the Maine Times that was published in the July 9,1993 edition. His letter stated in part:
Randy Wilson’s article, ‘When the System Fails’ (MT, 6/25/93), regarding a gasoline station/oil terminal owner and his experiences with the Department of Environmental Protection (DEP), made light of several issues that are important to a thorough understanding of that situation.
I hope that most readers were able to determine from the article that Mr. Knowl-ton, an experienced oil industry professional, is a repeat environmental offender. His violations are very directly related to the petroleum contamination that currently underlies a position of the village of Freedom.... Knowlton’s dissatisfaction with the DEP stems from a determination by DEP staff, acting in accordance with State law, that Knowlton, Inc., had failed to meet certain minimum operation standards that were specifically designed to prevent the sort of contamination that resulted at this property. Therefore, Knowlton, Inc., should bear the financial responsibility for clean-up, Mr. Knowlton (and the Maine Oil Dealer’s Association, and Representative Jacques) would prefer that remediation be conducted at public expense.
Perhaps some future Maine Times article will examine the effectiveness of State environmental policy at preventing the sort of pollution caused by Knowlton, Inc., or will investigate whether the current trend toward increasing use of public monies for clean-up of preventable industrial errors is really in the best interest of the Maine public.
This letter and the Maine Times articles to which it responded were posted on a DEP workplace bulletin board.
III.
[¶ 10] A party is entitled to a summary judgment if the material facts are undisputed and if on the basis of the undisputed facts the party is entitled to a judgment as a matter of law. See Johnson v. Samson Constr. Corp.,
[e]very person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be ha-ble to the party injured in an action at law, suit in equity or other proper proceeding for redress ....
42 U.S.C. § 1983 (1994 & Supp.1998). The DEP, a state agency, is not a “person” pursuant to section 1983. See Campaign for Sensible Transp. v. Maine Turnpike Auth.,
[¶ 11] State officials sued in their personal capacities are “persons” pursuant to section 1983. See Hafer v. Melo,
[¶ 12] “In order to determine that a right is clearly established, the contours of the right must be sufficiently clear that a reasonable official would understand that what he is doing violates that right. The unlawfulness must be apparent in light of preexisting law.” Parsons v. Wright,
[¶ 13] Whether a public official is entitled to qualified immunity is a question of law. See Struck,
[¶ 14] To determine whether a public employee’s First Amendment claim is actionable, we first must determine “whether the employee was speaking ‘as a citizen upon matters of public concern,’ or, alternatively, ‘as an employee upon matters only of personal interest.’” O’Connor,
[¶ 15] We next must “balance the strength of the employee’s First Amendment interest, and any parallel public interest in the information which -the employee sought to impart, against the strength of the countervailing governmental interest in promoting efficient performance of the public service the government agency or entity must provide through its employees.” O’Connor,
[¶ 16] We agree with the defendants’ contention that reasonable public officials could disagree as to whether the DEP’s interest in maintaining its efficient operations outweighs Andrews’s First Amendment interest in his Maine Times letter. The defendants have alleged two disruptions in their efficiency: Andrews’s letter threatens to damage the DEP’s reputation because it suggests that the DEP blamed Andrews to cover up DEP mismanagement and legislative mistakes; and his letter threatens to interfere with the DEP’s “regular operations by angering the Legislature and inducing the Legislature, led by Representative Jacques, to enact further amendments to the Oil Act which would further limit DEP’s ability to administer the Insurance Fund.” The defendants presented the deposition testimony of Eugene Guilford, president of the Maine Oil Dealers Association, in which he described the MODA’s practice of advocating for legislation that reduces the DEP’s breadth of regulatory authority. Guilford indicated that “‘if there was an instance that had in some way angered a citizen in what they believed was unfair treatment at the hands of the department, generally speaking, those were used to sustain arguments that their regulatory authority should be restrained.’ ” Guilford specifically referenced the Knowltons’ 1992 meeting with Andrews, testifying that he had used the Knowltons’ and Representative Jacques’s dissatisfaction with that meeting as an “ ‘opportunity.’ ”
just more fuel to the fire ... what I didn’t want to have happen, really, was then there may be a response from MODA or somebody else writing this continuation of letters and letters and just keeping it alive. I really was hoping the first article would come out and die and that would be the end of it. That was my biggest concern with Jon and his letter.
[¶ 18] We acknowledge that the defendants have failed to produce any evidence that Andrews’s speech impeded harmony among his DEP coworkers or interfered with his supervisors’ ability to maintain discipline. See, e.g., McDonough v. Trustees of the Univ. Sys. of New Hampshire,
IV.
[¶ 19] The individual defendants, however, may not invoke qualified immunity as a defense to Andrews’s section 1983 claims for declaratory and injunctive relief. See, e.g., Lugo v. Alvarado,
[¶20] We wish to make clear that Andrews may proceed against the individual defendants in their personal capacities for declaratory and injunctive relief. The distinction between official capacity and personal capacity lawsuits is frequently misunderstood. The Supreme Court has described this distinction as follows:
Personal-capacity suits seek to impose personal liability upon a government official for actions he takes under color of state law. Official-capacity suits, in contrast, generally represent only another way of pleading an action against an entity of which an officer is an agent.
... while an award of damages against an official in his personal capacity can be executed only against the official’s personal assets, a plaintiff seeking to recover on a damages judgment in an official-capacity suit must look to the government entity itself.
Kentucky v. Graham,
V.
[¶ 21] The Superior Court erred in denying the defendants a summary judgment as to Andrews’s state constitutional claims. Andrews seeks monetary, declaratory, and injunctive relief pursuant to article I, section 4 of the Maine Constitution, which provides in relevant part: “[e]very citizen may freely speak, write and publish his sentiments on any subject, being responsible for the abuse of this liberty; _” Me. Const, art. I, § 4. We agree with the defendants’ contention that this provision of the Maine Constitution cannot support a private cause of action.
[¶ 22] In Bivens v. Six Unknown Named Agents of the Federal Bureau of Narcotics,
[¶ 23] In this case, specific legislative action creating a private cause of action for a violation of a person’s rights under the Maine Constitution, see Maine Civil Rights Act, 5 M.R.S.A. §§ 4681-4685 (Supp.1997), precludes the remedy sought by Andrews. Pursuant to the Act:
[w]henever any person, whether or not acting under color of law, intentionally interferes or attempts to intentionally interfere by physical force or violence against a person, damage or destruction of property or trespass on property or by the threat [thereof] ... with the exercise or enjoyment by any other person of rights secured by ... the Constitution of Maine ..., the person whose exercise or enjoyment of these rights has been interfered with, or attempted to be interfered with, may institute and prosecute in that person’s own name and on that person’s own behalf a civil action- for legal or equitable relief.
5 M.R.S.A. § 4682. Andrews has not alleged an interference with his free speech rights by physical force or violence, damage or. destruction of property, trespass on property, or threats thereof. See 5 M.R.S.A. § 4682. He therefore has no cause of action pursuant to the Act. We decline to expand the available remedies for a violation of rights guaranteed by the Maine Constitution beyond those which the Legislature in its wisdom has provided.
The entry is:
Motion to dismiss denied. Remanded for entry of a judgment in favor of the defendants on all claims except as to claims against the individual defendants for declaratory and injunctive relief pursuant to 42 U.S.C. § 1983.
DANA, J., with whom ROBERTS, J., joins, concurs in part, dissents in part and files an opinion.
Notes
. The individual defendants, Dennis Phillips, Alan Prysunka, David Sait, and George Viles, all were employed by the DEP as of the initiation of this suit.
. Andrews complaint also included a claim pursuant to the Whistleblowers' Protection Act, 26 M.R.S.A. §§ 831-840 (1988). The court granted the defendants a summary judgment as to this claim. Andrews has not appealed from that portion of the court's judgment.
. An arbitrator determined that the DEP violated the parties' collective bargaining agreement by issuing this oral reprimand to Andrews, and he ordered the penalty's rescission.
. In contrast, state officials sued in their official capacities are "persons” pursuant to section 1983 only if sued for injunctive relief, not for monetary damages. See Will v. Michigan Dep't of State Police,
. We recently determined that the First Amendment rights of a police sergeant who urged other officers to surreptitiously tape conversations with the Chief of Police were outweighed by the interest of the police department in providing effective and efficient law enforcement. See Moen v. Town of Fairfield,
Concurrence Opinion
with whom ROBERTS, Justice, joins, concurring in part and dissenting in part.
[¶24] I agree that Andrews’s motion to dismiss this appeal should be denied, that the individual defendants may not invoke qualified immunity as a defense to an action for equitable relief, and that the DEP, a state agency, is not a proper defendant in a section 1983 action. I also concur in the Court’s judgment that the defendants are entitled to
[¶ 25] I do not concur, however, in the Court’s conclusion that “reasonable public officials could disagree as to whether the der fendants’ conduct violated Andrews’s First Amendment right,” and I would deny a summary judgment for the individual defendants on the basis of qualified immunity.
[¶26] The Court, in a clear and concise manner, articulates the proper standard to be applied in eases alleging an interference with a public employee’s First Amendment right to speak out on matters of public concern. Unfortunately, it then fails to apply the standard in any meaningful way. The Court determines simply that because the fact-based balancing test required in public employee free speech eases makes it difficult for public officials to determine whether an employee’s rights were violated, reasonable public officials could disagree as to whether Andrews’s rights were violated in this case. The facts of this case, however, fall so squarely within the parameters of Pickering v. Board of Education of Township High School District 205,
[¶ 27] In Pickering a public school teacher was dismissed from employment for wilting and publishing a letter to the editor of his local newspaper that was highly critical of the board of education and the district superintendent of schools. See id. at 564,
[¶ 28] The defendants’ allegation that Andrews’s letter had the potential to damage the DEP’s reputation is pure speculation and is easily distinguishable from cases where courts have granted qualified immunity upon a showing of actual damage to a department’s reputation with the general public. See, e.g., Bartlett v. Fisher,
[¶29] Moreover, the defendants’ assertion that . Andrews’s letter threatened to interfere with the DEP’s regular operations by angering the Legislature, which in turn would set limits on the DEP’s responsibilities, aside from once again resting on speculation, is tenuous at best. In support of their contention, the defendants rely in part on the deposition of the president of the Maine Oil Dealers Association, Eugene Guilford. Guil-ford testified that he used the acrimonious meeting between the Knowltons and Andrews as an example to lobby the Legislature for restrictions on the DEP’s authority. Guilford’s and the Maine Oil Dealers Association’s attempt to limit the authority of the DEP was its standard practice, however, and had nothing to do with the publication of Andrews’s letter. Alan Prysunka, Andrews’s supervisor, expressed his concern that the letter would cause the issue of the DEP’s alleged shortcomings to remain in public focus. Even if Andrews’s letter resulted in legislative action adverse to the DEP’s interest, as alleged by the defendants, such legislative action cannot be characterized as the type of interference with the efficiency of the DEP that would outweigh an employee’s right to speak out on an issue of public importance.
[¶ 30] The law has been clearly established since the Supreme Court’s Pickering decision in 1968 that a public employee may not be disciplined for speaking out on a matter of public interest when that speech does no more than criticize generally his employer and does not directly interfere with the efficiency of the department for which he works. Because I believe that Andrews’s conduct and its effect on the DEP is virtually indistinguishable from the facts presented in Pickering, I conclude that the defendants are not entitled to qualified immunity, and I would allow Andrews’s section 1983 claim for damages to go forward.
