Lead Opinion
In an action brought under 42 U.S.C. § 1983, plaintiff Barbara Conner charged that she was fired from her job with the City of Green Bay in violation of her first amendment right to freedom of speech. Conner named as defendants Rudy Rein-hard, her former supervisor, and the estate of Richard Zolper,
I. FACTUAL BACKGROUND
Plaintiff Barbara Conner was hired as a Clerk Steno II for the Comptroller’s Office of the City of Green Bay in February 1982. Defendant Rudy Reinhard, Comptroller for the City of Green Bay, was Conner’s immediate supervisor.
In addition to her regular duties, Conner also took minutes at the Board of Ethics meetings. The Board of Ethics handled complaints that alleged violations of the city’s Ethics Code. Defendant Richard Zol-per was a member of the Board of Ethics in May 1982. On May 12, 1982, Conner was taking the minutes of a Board of Ethics meeting when a discussion arose concerning the use of money from the city contingency fund to investigate alleged wrongdoing by alderman Guy Zima. During the course of the meeting, the Board suspended the rules to allow interested parties to speak. The following exchange between the Board members and Barbara Conner took place:
Camilli: Is there anybody else that would like to speak?
Conner: I’d like to speak a little bit about the Contingency Fund not being for this purpose.
Marinan: What are you linked to?
Conner: I’m a citizen of Green Bay.
Marinan: You have no right to speak now.
Venci: Why? We suspended the (regular) order to let everybody speak.
Zolper: Well, if you’re going to speak then we want your name and address and your position ... what you do for a living.
Marinan: And we want to cross examine you ... tell how you know that fact.
Venci: That’s really intimidation, you guys.
Zolper: It’s not.
Conner: I work for Rudy and I know that the Contingency Fund is not for this purpose.
Camilli: Your name, please, for the record.
Conner: Barbara Conner, 215 North Van Burén. I’m a citizen of Green Bay. Camilli: You’re also a city employee? Conner: I'm a city employee and I have some concern about how we spend tax money.
Camilli: And you're aware of the Contingency Fund because of your work in the Comptroller’s Office, is that correct?
Conner: Right. And I take the minutes of the Finance Committee meeting and I know the reticence with which they dip into the Contingency Fund.
Appendix of Plaintiff-Appellant at 165.
As the district court found, Zolper appeared to be angry with Conner at the meeting. A few days after the May 12th meeting, Zolper visited Reinhard in his office and, according to Conner, slammed the door shut.
On May 19, 1982, Conner received the following letter of reprimand from Rein-hard:
In reference to the remark concerning the use of the Contingency Fund attributed to you at the May 12th, 1982, Board of Ethics Meeting, I must advise you that it was a case of poor judgment on your part when you expressed the views of the Comptroller’s Office while acting as Recording Secretary for the Committee. If you had been attending the Hearing not as the Recording Secretary but as a private citizen your personal viewpoint would have been more appropriate.
In the future I would caution you, while acting as the Recording Secretary, not to speak for the Comptroller’s Office unless questioned directly.
I am sorry this situation arose and hope to avoid a similar situation in the future.
Record Item 26 at 8.
Upon receiving this letter, Conner asked Reinhard what the letter meant. Reinhard
Conner also wrote a long letter to Rein-hard, dated May 20, 1982. In that letter, she expressed her disappointment at Rein-hard’s refusal to consider her right as an individual to express an opinion. Conner also opined that if Reinhard checked the transcript of the May 12th meeting, he would find that she had been expressing her personal viewpoint, and not that of the Comptroller’s Office:
I do not know the view of the Comptroller’s Office. I did check with Lou Mar-chetti, chairman of the Finance Committee, about the use of the Contingency Fund, and as I had surmised from being present at Finance Committee Meetings, the Contingency Fund is for unforeseen emergencies and Acts of God, such as severe winters, floods, equipment breakdowns, etc. It is not for flying to Louisiana oil rigs to check on past activities of Councilman Guy Zima. It is not for personal vendettas.
Record Item 26 at 4. Reinhard terminated Conner’s employment on May 24, 1982.
Conner initially filed an action regarding the events of May 1982 on March 11, 1983 in the Eastern District of Wisconsin, naming the City of Green Bay as defendant. Three months prior to the trial, Conner attempted to join Reinhard as a defendant, but the court denied that motion as untimely. The trial commenced with the city as the sole defendant. During the second day of trial, the district court granted the city’s motion for a directed verdict because Conner failed to show a custom or policy that could result in municipal liability. Conner subsequently filed the present lawsuit on May 10, 1985, naming Rudy Reinhard and the estate of Richard Zolper as defendants.
On December 6, 1985, the defendants filed a motion for summary judgment based on the doctrine of claim preclusion.
At the completion of discovery, the defendants again moved for summary judgment, this time on the basis of qualified immunity. On March 26, 1987, the district court granted the defendants’ motion. We have jurisdiction over this appeal under 28 U.S.C. § 1291.
II. ANALYSIS
Conner appeals the district court’s ruling that the defendants are qualifiedly immune from suit. Conner also argues that because there are material factual issues in dispute, the district court erred in granting summary judgment. The defendants, of course, contend that the district court properly ruled on their motion for summary judgment. In addition, the defendants argue that even if this court finds that they are not entitled to qualified immunity, the doctrine of claim preclusion bars this suit. Finally, defendant Zolper claims that the plaintiff has no basis on which to hold him liable for her wrongful discharge.
A. Qualified Immunity
1. General Principles
The doctrine of qualified immunity shields government officials performing discretionary functions from liability for civil damages. The doctrine is designed to accommodate competing values. An action for damages may provide a citizen with her only means of vindication when an official violates her constitutional rights. Courts, however, must also protect against the danger that the fear of being sued will hamper officials in the proper discharge of their duties. Qualified immunity allows courts to quickly terminate insubstantial lawsuits, without denying worthy claimants their day in court. Harlow v. Fitzgerald,
Summary judgment is proper only when there is no genuine issue as to any material fact and the moving party is entitled to judgment as a matter of law. Fed.R.Civ.P. 56(c), Donald v. Polk County,
Conner has the burden of demonstrating that the defendants violated a constitutional right that was clearly established in May 1982. Davis v. Scherer,
The contours of the right must be sufficiently clear that a reasonable official would understand that what he is doing violates that right. This is not to say that an official action is protected by qualified immunity unless the very action in question has previously been held unlawful, but it is to say that in the light of preexisting law the unlawfulness must be apparent.
Anderson v. Creighton, — U.S. —,
As this circuit has held: ‘“The right must be sufficiently particularized to put potential defendants on notice that their conduct probably is unlawful.’ ... Our conclusion is that the test for immunity should be whether the law was clear in relation to the specific facts confronting the public official when he acted.” Colaizzi v. Walker,
2. Pickering Balancing Test
Since 1968, it has been established that government officials cannot prohibit public employees from exercising their right to engage in speech protected by the first amendment. In Pickering v. Board of Education,
Subsequent Supreme Court cases reaffirmed the right of public employees to speak out on matters of public concern. Branti v. Finkel,
The defendants concede that Conner’s statements at the May 12th meeting involved a topic of public concern.
Therefore, we need to consider whether, under the clearly established law in May 1982, the statements were so disruptive that the defendants were justified in retaliating against Conner. In Clark v. Holmes, this court outlined factors to consider in the balancing process, including: (1) the effect of the plaintiff’s conduct on discipline and harmony among co-workers; (2) the need for confidentiality; (3) whether the conduct impeded the employee in competently performing her daily duties; and (4) the need to encourage a close and personal relationship involving loyalty and confidence between the employee and her superiors.
a. Discipline and Harmony
The defendants assert that Conner’s statements were acts of insubordination and therefore must necessarily have affected the discipline and harmony among Conner’s co-workers. In Hanneman v. Breier,
Conner, like the policemen in Hanne-man, has a compelling first amendment interest in pointing out to government officials what she perceived as misappropriation of public funds. In addition, both the public and government officials have a first amendment interest in being informed of the potential misuse of public funds. We acknowledge that an insubordinate act by one worker potentially could have an undesirable effect on office harmony and discipline. Nevertheless, the defendants have not provided us with any evidence of actual harmful effects resulting from Conner’s alleged insubordination. Thus, the potential for office disciplinary problems in this case is not sufficiently “persuasive” for us to conclude that this factor outweighs Conner’s interest in free speech. See Hanne-man,
b. Confidentiality
The defendants do not suggest that Conner’s statement at the Board of Ethics meeting dealt with confidential information, nor is there any evidence that such was the case. As in Pickering,
c. Performance of Daily Duties
The defendants claim that Conner’s conduct at the May 12th meeting disrupted her from performing her regular duties. To support this claim, the defendants assert that Conner spent “considerable time” typing the transcript of the Board of Ethics meeting, although she was not requested to do so. In addition, Conner took time out from her work to discuss the Board of Ethics meeting with the mayor.
In Donahue v. Staunton,
The public has a legitimate interest in receiving information concerning abuse within public institutions, whether it be deplorable conditions in state mental hospitals or inappropriate use of taxpayers’ funds. An employer certainly has a right to expect his employees to attend to their duties during working hours. Nevertheless, where the interference with the plaintiff’s regular duties is de minimis or merely speculative, the employer’s interest is not sufficiently persuasive to outweigh important first amendment rights. See Hostrop v. Board of Junior College Dist No. 515,
d. Loyalty and Confidence
Finally, the defendants argue that Conner’s conduct discouraged a close and personal relationship between her and Rein-hard in a situation calling for loyalty and confidence. Reinhard, as Conner knew, wished to avoid political controversy. The defendants assert that Conner’s conduct thrust Reinhard into just such a controversy, arousing the ire of certain aldermen. In addition, when Reinhard asked Conner to refrain from repeating her conduct of May 12th, she replied that she would do the same thing again. Clearly, Conner and Reinhard disagree as to whether her comments at the Board of Ethics meeting should reasonably be interpreted as representing the view of the Comptroller’s Office. Although Conner insisted that she would repeat the same behavior again, it is unclear whether she meant that she would voice her own individual opinion again, or whether she would speak as an employee of the Comptroller’s Office again.
In Hostrop v. Board of Junior College District No. 515, we cautioned:
Pickering should not be read to authorize the discharge of [a public employee] merely because he expresses an opinion that could be interpreted as a sign of disloyalty or an undermining of the confidence placed in him. Instead, Pickering holds that an employee’s speech may be regulated only if a public entity can show that its functions are being substantially impeded by the employee’s statements.
We find that a disputed issue of fact exists as to whether, and to what extent, Conner’s conduct resulted in substantially damaging the working relationship between her and Reinhard. We realize that Conner’s defiant answer may have caused Reinhard to question her loyalty to him. However, viewing Conner’s statement that she would do the same thing again in the light most favorable to her, we find that she was merely reasserting her first amendment right to speak out on matters of public concern at meetings that are open for public comment. Since this is at most a statement that “could be interpreted” as undermining loyalty and confidence, under Hostrop this statement is not sufficient justification for Reinhard to fire Conner without actual evidence of an impaired working relationship.
e. Expression During Working Hours
As our review of case law indicates, the majority of analogous cases involve the speech of an off-duty public employee speaking out on a matter of public concern. We do not believe that the fact that Conner was working when she spoke should be a distinguishing factor in determining whether her speech was protected. In Givhan v. Western Line Consolidated School District,
The Supreme Court has also expressly recognized the right of a public employee to speak out at a public meeting. In City of Madison Joint School District No. 8 v. Wisconsin Employment Relations Commission,
[The teacher] addressed the school board not merely as one of its employees but also as a concerned citizen, seeking to express his views on an important decision of his government. We have held that teachers may not be “compelled to relinquish the First Amendment rights they would otherwise enjoy as citizens to comment on matters of public interest in connection with the operation of the public schools in which they work.” Where the State has opened a forum for direct citizen involvement, it is difficult to find justification for excluding teachers who make up the overwhelming proportion of school employees and who are most vitally concerned with the proceedings.
Id. at 174-75,
Conner voiced her opinion at the Board of Ethics meeting only after the Board suspended the rules and invited public comment. If Conner had attended the meeting as a private citizen and given the same opinion, informing the Board that she was employed by the city, we believe that her speech clearly would have enjoyed first amendment protection under Madison Joint School District. The fact that she
? believe that the foregoing Supreme Court and Seventh Circuit precedent clearly established that Conner had a first amendment right to speak as a private citizen on a matter of public concern at the Board of Ethics meeting in May 1982. Given the wealth of closely analogous case law concerning the first amendment right of public employees to speak on matters of public interest, the defendants should have been on notice that their conduct was probably unlawful. Assessing the Clark factors in light of the case law existing in 1982, we do not believe that the defendants have made an adequate showing that Conner’s speech was sufficiently disruptive so that a reasonable employer would have expected that he was justified in discharging her. Therefore, the district court erred in finding that the defendants were qualifiedly immune from suit.
B. Summary Judgment
The defendants urge that even if we find that they are not qualifiedly immune, we should hold that summary judgment was nevertheless proper under the Mt. Healthy test. Conner, however, contends that the case should go to trial because there are material factual issues in dispute. In reviewing a district court’s grant of summary judgment, we may affirm on any ground that finds support in the record. Wallace v. Greer,
Under Mt. Healthy City School District Board of Education v. Doyle,
Conner has met her burden of proving that her conduct at the Board of Ethics meeting was constitutionally protected. We must accept Conner’s claim that she was merely voicing her personal opinion as to whether the taxpayers’ money could be used for a particular purpose. Because that topic is a matter of public concern, it is entitled to first amendment protection. See Pickering,
Conner must also show that her speech was a motivating factor in the defendants’ decision to discharge her. The district court found that Conner was fired for insubordination because she insisted that she would do the same thing again. Thus, the district court accepted the defendants’ argument that Conner was fired for refusing to take instructions, and that her conduct at the May 12th meeting was not a substantial factor in Reinhard’s decision to fire her. However, as we noted earlier, there is a factual dispute as to whether Conner was defying legitimate instructions by her supervisor, or was merely reasserting her first amendment right to speak out on mat
Even if we were to find that the undisputed facts viewed in the light most favorable to Conner indicated that her speech was a substantial factor in Reinhard’s decision to terminate her, we would then need to determine whether Reinhard had any other sufficient reason to discharge Conner. The parties, however, strongly disagree as to whether Reinhard had any justification for firing Conner other than the events related to the Board of Ethics meeting. Because the parties contest the the proper interpretation of Conner’s reply to Reinhard’s letter of reprimand and Rein-hard’s motivation in deciding to discharge Conner, the district court’s grant of summary judgment cannot be sustained. See DeValk Lincoln Mercury, Inc. v. Ford Motor Co.,
C. Claim Preclusion
The defendants also argue that Conner’s earlier action against the City of Green Bay precludes her from bringing suit against them. Because Conner brought the earlier case against the city in federal district court, the federal rules of claim preclusion govern. In re Energy Coop., Inc.,
The defendants contend that the parties to the separate actions, while not identical, are in privity with one another. In the earlier suit, Conner sued the City of Green Bay. In the present action, however, Conner is suing two city officials in their personal capacities.
An official-capacity suit is really just another way of suing the government. See Beard v. O’Neal,
The Seventh Circuit has also taken this approach. For example, in Beard v. O’Neal,
Garza v. Henderson,
In support of their argument that privity between the city and the present defendants does exist, the defendants rely on Mandarino v. Pollard,
Those cases, however, do not hold that officers sued in their personal capacities are in privity with the government. Courts have distinguished Sunshine Anthracite Coal as actually referring to the doctrine of issue preclusion, which does not require the same mutuality of parties that is necessary for claim preclusion. See Beard v. O’Neal,
To the extent that the Mandarino opinion suggests that officials sued in their personal capacities are necessarily in privity with the government, we cannot agree. In Mandarino, however, the court was required to apply the claim preclusion laws of Illinois in deciding whether the earlier Illinois judgment would have preclusive effect in the later federal action. Allen v. McCurry,
Conner is suing the defendants in their personal capacities. Under federal law, we find that they are not in privity with the City of Green Bay. Therefore, Conner’s earlier suit against the city does not preclude her from pursuing the present action.
D. Liability of Defendant Zolper
Finally, Conner asserts that the district court erred in concluding that there was insufficient evidence to hold defendant Zol-per liable for Conner’s dismissal. In its order granting summary judgment, the district court found that “there is no basis for any cause of action against Zolper, except for the unsupported speculation of Conner that he went into Reinhard’s office, slammed the door, and began to talk about her.”
In her motion for reconsideration, the plaintiff directed the district court’s attention to the testimony of Sheila Cody O’Con-nor. At the earlier trial against the City of Green Bay, O’Connor testified to a conversation she had had with defendant Rein-hard a few days after the Board of Ethics meeting. O’Connor stated that Reinhard told her Zolper had visited him that morning and was upset with Conner’s behavior at the May 12th meeting. Reinhard said that Zolper wanted Conner fired, and if she was not fired, Zolper would have her position eliminated at budget time. Although O’Connor claims that Conner was also present, Conner does not recall this conversation. The district court denied Conner’s motion for reconsideration.
In reviewing a grant of summary judgment, we must review the undisputed facts, drawing all reasonable inferences in the light most favorable to the nonmovant. Donald v. Polk County,
In Soderbeck v. Burnett County, Wisconsin,
Similarly, in Miller v. City of Mission, Kansas,
If the jury accepts as true the testimony of O’Connor, they reasonably could find that defendant Zolper motivated Rein-hard’s decision to discharge Conner. The defendants point out that, while a letter of reprimand followed Zolper’s visit, Reinhard did not decide to terminate Conner until her defiant answer that she would do the same thing again. This takes us back to the disputed interpretation of Conner’s remark. Whether Reinhard was responding to Zolper’s pressure and decided to terminate Conner because she insisted that she would not cease exercising her first amendment rights is an issue of fact for the jury. Drawing all reasonable inferences in the light most favorable to Conner, we cannot say that Zolper is entitled to summary judgment as a matter of law. Because a jury could reasonably find Zolper liable for Conner’s discharge, we reverse the grant of summary judgment as to defendant Zolper. See Munson,
III. CONCLUSION
We find that the district court erred in granting summary judgment for the defendants on the basis of qualified immunity. Because there are material factual issues in dispute, we must remand this case for trial. We also find that the doctrine of claim preclusion does not bar Conner from pursuing this action. Finally, we reverse the district court’s grant of summary judgment as to defendant Zolper.
REVERSED AND REMANDED.
Notes
. Richard Zolper died in 1984. Conner therefore named his estate, through Irene Zolper, the personal representative of the estate, as a defendant in this suit. For our own convenience, we will refer to this defendant as "defendant Zolper.”
. The traditional term for claim preclusion is res judicata.
. Although the defendants do not dispute that the proper use of the contingency fund was a matter of public interest, the defendants claim that Conner’s speech was not clearly protected because she appeared to be speaking on behalf of her employer. In ruling on the issue of qualified immunity, we must view the undisputed evidence in the light most favorable to Conner. Green v. Carlson,
. We note that the defendants do not claim that Conner’s conduct distracted her from adequately performing her duties as recording secretary at the May 12th meeting.
. We also found of some importance the fact that when the chaplain was evaluated on those particular duties, he received a rating of "good.” Donahue,
. In Hostrop, a college president was discharged after he prepared a confidential memorandum that proposed certain changes in the college's ethnic studies program. The memorandum was to be circulated among his administrative staff, but somehow became public. This court found that the suggested changes contained in the memo did not by themselves provide evidence of an impaired working relationship between the president and the board.
. We do not mean to suggest that the fact that Conner was on duty at the time she spoke may not be highly relevant, especially to show whether she was insubordinate or whether her regular duties were disrupted. We merely hold that the fact that Conner was working by itself did not entitle her employer to retaliate against her for speaking about a matter of public interest in May 1982.
. In her complaint, Conner asked for "judgment against the defendants, individually and collectively.” The terms "personal capacity" or "official capacity” do not appear in the complaint. In plaintiffs brief on appeal, however, Conner claims that she is suing the defendants “in their individual and official capacity [sic].”
This court has repeatedly encountered ambiguous pleadings that do not clearly indicate whether an official is being sued in his official or personal capacity. To dispel some of the confusion, we created a presumption that a section 1983 claim against a public official is an official-capacity suit. Kolar v. County of Sangamon,
The parties to the present action clearly consider this suit as one seeking to impose personal liability upon the defendants. The defendants have raised the defense of qualified immunity, a defense that is only applicable in a personal-capacity suit. Graham,
Concurrence Opinion
concurring in the result:
I agree with the decision to reverse the summary judgment for the defendants in
The qualified immunity question is difficult because Mt. Healthy apparently requires an investigation whether permissible motives for firing an employee were sufficient, in the mind of the defendant, to bring about the plaintiff’s termination.
The courts of appeals for the Ninth and District of Columbia Circuits, however, have confronted qualified immunity defenses in section 1983 cases involving allegations of unconstitutional motives. Both have determined that where the legality of the actions of a section 1983 defendant depends upon the defendant’s motive or intent, the qualified immunity inquiry cannot be confined to a purely objective view of a defendant’s actions. Gutierrez v. Municipal Court,
I believe that the case before us requires us to decide how Harlow applies to section 1983 claims that raise issues of illegal intent. Following the well-reasoned decisions of the Ninth and District of Columbia Circuits, I would conclude that Conner’s specific allegations that impermissible mo
. Soon after Martin was decided, the D.C. Circuit granted rehearing en banc and vacated part IV of the majority opinion, which discussed plaintiff’s burden to support allegations of illegal motive with specific facts and the availability of discovery against government officials to obtain the necessary facts. Martin v. District of Columbia Metro. Police Dep’t,
. Miller v. Solem,
