Lead Opinion
This interlocutory appeal from the denial of qualified immunity to supervisors in a county Department of Family and Children Services (“DFCS”) requires us to determine if internal complaints about caseloads are constitutionally protected public speech that shield employees from termination or transfer. The district judge determined that case managers who complained regarding their caseloads had raised a public concern encompassed by the First Amendment. We reverse and remand.
I. BACKGROUND
DeKalb County DFCS (“DeKalb DFCS”), a component of the Georgia Department of Human Resources (“DHR”) Division of Family and Children Services, is responsible for investigating and supervising cases involving child welfare and abuse in DeKalb County. Plaintiffs-appel-lees, Clarinda Boyce and Katina Robinson, were Social Services Case Managers, or case workers, in the Child Protective Services (“CPS”) Investigations Unit of De-Kalb DFCS. Boyce was employed from December 2002 until April 9, 2004, when she was terminated for performance deficiencies. Robinson, hired in May 2003, remains employed at DeKalb DFCS, but she was transferred on March 1, 2005, from the CPS Investigations Unit to the Telephone Intake Unit because of her deficient performance.
Defendants-appellants were in management or supervisory positions at DeKalb DFCS during the relevant time. Defendant-appellant Gwendolyn Andrew, formerly a case manager, was promoted to Social Services Supervisor for CPS investigations on December 1, 2003. She supervised Boyce for approximately four months and Robinson for approximately fifteen months. Andrew assigned cases as well as monitored and supervised investigations for CPS. Defendant-appellant Katherine Herren, an employee of DHR, was assigned to DeKalb DFCS as Acting Social Services Director. She was responsible for administering the child welfare programs, identifying problems, and making needed changes. Defendant-appellant Glenda McMillan was employed at DeKalb DFCS as the Social Services Administrator, but she has not been employed by DeKalb DFCS since June 30, 2004. Walker Solomon, II, was the Director of De-Kalb DFCS.
CPS is the unit of DFCS that is responsible for making the initial contact and investigation of allegations of child abuse or neglect. Case managers are required to respond to such allegations within twen
For the period 2002-2004, DFCS experienced difficulties in maintaining caseloads of all of its case managers because of extremely high caseloads and turnover in employees.
Boyce and Robinson complained to their supervisors about the size of their caseloads. Primarily, these complaints were electronic mails sent to their supervisors. Boyce and Robinson also used an “Assignment Despite Objection” or “ADO” form provided by their union to advise an employer without being insubordinate of the amount of work that had been assigned and to notify the employer that it was too much to handle.
During 2003 and 2004, Boyce complained to her supervisors, management, and her union that her caseload of more than fifty cases was too high. She gave three ADO forms to Herren and McMillan. From September 2003 until January 2004, Boyce was asked to come off rotation so that she could devote more time to investigating and closing cases. Management also reassigned some of her cases. During this time, however, Boyce closed no cases, which she represents was because she had to spend more time in court on other assignments.
From the outset of her four months of supervision, Andrew had difficulty with Boyce’s not being able to close cases. On March 4, 2004, Andrew had assigned her four new cases. Boyce returned the case files to Andrew and told her that she
McMillan placed Boyce on a work performance plan with deadlines for closing fifty-one cases that were at least ninety days overdue.
That same day, Dr. Janet Olivia, the state Director of DFCS, visited DeKalb DFCS.
After the meeting, Boyce was notified of her dismissal. Defendants-appellants maintain that her termination had nothing to do with her outspokenness at the meeting, because Andrew and McMillan had presented Boyce’s lack of productivity to personnel before Dr. Olivia’s meeting with the DeKalb DFCS staff, and her termination had been approved prior to the
Robinson complained to her supervisors verbally and by electronic mail concerning her burdensome caseload, mismanagement, and child safety. She submitted at least seven ADOs in which she objected to her high caseload and requested help.
Robinson argues that she was subjected to retaliation by her supervisors at DeKalb DFCS because of reporting her high caseload and mismanagement. When Andrew met with Robinson to discuss her cases, they met one on one, whereas Robinson states that Andrew met with other case managers as a group. Robinson further contends that Andrew gave her inconsistent instructions concerning meeting with families. Robinson additionally believed that the delay in assistance that she received on her caseload was because of her conversation with McMillan. Robinson also received a reprimand from Mildred Hart, the Social Services Administrator, which Solomon, as Director of DeKalb DFCS, later rescinded. Robinson’s October 2004 performance evaluation stated that she did not meet expectations in one category. While the evaluation was changed subsequently to show that she
On October 21, 2004, and November 23, 2004, Robinson requested that she be transferred to another unit because of her difficulties in dealing with Andrew.
Boyce and Robinson filed a 42 U.S.C. § 1983 action against their DeKalb DFCS supervisors, Andrew, McMillan, Herren, and Solomon,
II. DISCUSSION
A. Qualified Immunity Analysis
“Qualified immunity allows government employees to carry out their discretionary duties without fear of litigation, ‘protecting from suit all but the plainly incompetent or one who is knowingly violating the federal law.’ ” Mercado v. City of Orlando,
B. First Amendment Inquiry
Government regulation of employees’ speech differs from its regulation of the speech of its citizenry. Connick v. Myers,
In Garcetti, a Los Angeles County deputy district attorney wrote two disposition memoranda recommending dismissal of the charges in a case, in which his research revealed that a search warrant affidavit contained misrepresentations. A meeting involving the deputy district attorney, his supervisors, and employees of the Los An-geles County Sheriffs Department, which allegedly became heated, was conducted to discuss the search warrant affidavit. Despite the concerns expressed by the deputy district attorney, the decision was made to proceed with the prosecution. He was called by the defense regarding the alleged misrepresentations at a hearing, but the trial judge rejected the challenge to the search warrant. The deputy district attorney subsequently was transferred from his calendar deputy position to a trial deputy position at another courthouse. He sued under § 1983 and alleged that his change in job and location had been retaliation for his speech; the Ninth Circuit agreed, but the Supreme Court reversed.
Garcetti instructs that “[t]he proper inquiry is a practical one.” Id. at 1961. Focusing on the “citizen” aspect of the First Amendment analysis, the Court determined that the research and memo-randa were part of the deputy district attorney’s official duties. Since his findings and recommendation were “pursuant to” his official duties, he was not speaking as a citizen under the First Amendment; Id. at 1960. The Court determined that “[Restricting speech that owes its existence to a public employee’s professional responsibilities does not infringe any liberties the employee might have enjoyed as a private citizen. It simply reflects the exercise of employer control over what the employer itself has commissioned or created.” Id.
Following Garcetti, our circuit has modified the analysis of the first step of the Pickering test for analyzing alleged government employer retaliation to determine if an employee’s speech has constitutional protection by deciding at the outset (1) if the government employee spoke as an employee or citizen and (2) if the speech addressed an issue relating to the mission of the government employer or a matter of public concern. D’Angelo v. School Bd. of Polk County, Fla.,
“A court must therefore discern the purpose of the employee’s speech&emdash;that is, whether she spoke on behalf of the public as a citizen, or whether the employee spoke for herself as an employee.” Morgan v. Ford,
As case managers for DeKalb DFCS, Boyce and Robinson’s job was to investigate the cases of children allegedly at risk and to make recommendations to their supervisors. Both failed to meet their case quotas. In their respective electronic mails to supervisors and union ADOs, each claimed to be overworked and commented that children could be mistreated or die because Boyce and Robinson were unable to handle all the cases assigned to them. Other than mentioning the six children that had died previously, and who are not at issue in this case, neither specifically identifies a single child who was in danger.
The form and context in which the complaints by Boyd and Robinson were made are indicative of the fact that they intended to address only matters connected with their jobs at DeKalb DFCS. Verbal, electronic mail, and ADO complaints by Boyd and Robinson to their supervisors focus on their respective views that their caseloads were too high, which caused each not to meet expected deadlines, and their conse
We have determined that a police report generated in the “normal course of [the plaintiffs] duties” was not speech on a matter of public concern, although it contained information unfavorable to the police department. Morris v. Crow,
Boyce additionally relies on statements that she made at the April 7, 2004, staff meeting attended by DeKalb DFCS employees and a state supervisor. Specifically, she asked whether there was any system in place to alert the state office that a case manager had been assigned too many cases; whether the Governor’s office was going to require that DFCS case workers be certified; whether there were checks and balances in place regarding assignment of cases before a crisis occurred, such as the death of a child; and generally complained that no one was helping case managers with their cases. These questions asked in an open staff meeting, like her other communications with her immediate supervisors, concern her personal working conditions without reference to any particular family, child, or case. Significantly, this speech by Boyce occurred after she had been reprimanded and placed on a performance plan because of performance issues raised by Andrew, McMillan, and Solomon and after her dismissal had been recommended by Andrew and McMillan and approved by Solomon. Therefore, her remarks at the meeting could not have been an instigating factor in the employment decisions of any of her defendant supervisors. Additionally, the undisputed evidence in the record is that Herren was not involved in Boyce’s termination.
A “public employee may not transform a personal grievance into a matter of public concern by invoking a supposed popular interest in the way public institutions are run.” Ferrara,
Boyce and Robinson’s speech addressed personal grievances and frustrations with their jobs as case managers at DeKalb DFCS, which they viewed to be the result of mismanagement of internal administrative affairs generally with no specific incidents of alleged false reporting or documentation. “When a public employee speaks pursuant to employment responsibilities, ... there is no relevant analogue to speech by citizens who are not government employees.” Garcetti,
Importantly, as the Court held in Connick, “when a public employee speaks not as a citizen upon matters of public concern, but instead as an employee upon matters only of personal interest, absent the most unusual circumstances, a federal court is not the appropriate forum in which to review the wisdom of a personnel decision taken by a public agency allegedly in reaction to the employee’s behavior.”
Boyce and Robinson’s supervisors had made some adjustments in their respective workloads, but those measures did not resolve the problem. When it became apparent to Robinson that she still could not meet her case review quota, she requested a transfer, which was granted by her supervisors. Boyce’s written and verbal complaints about her workload and the lack of help, as well as her remarks expressed in an open staff meeting, were in stark contrast to the mission of the DeKalb DFCS office and confirmed that her termination was the correct decision. See Connick,
Significantly, Boyce and Robinson were complaining to their superiors as employees about their workloads for a work reason: they wanted to have their caseloads reduced or to receive help with their work. The purpose of their grievances clearly was not to raise public awareness about children within the care of DeKalb DFCS. If that had been their intention, then they would have identified the children who were in danger. Other DeKalb DFCS case managers supervised by the same superiors during the relevant time did not join in Boyce and Robinson’s § 1983 action.
Based upon review of the entire record, Boyce and Robinson “primarily spoke” as employees “to improve [their] work environment”; they represent that they were overworked and overwhelmed. Morgan,
Because Boyce and Robinson spoke as government employees about their jobs and not as citizens, they have “no First Amendment cause of action based on [their] employer’s reaction to the speech,” and there is no need to engage in the Pickering balancing analysis.
III. CONCLUSION
In this interlocutory appeal, government supervisors, defendants-appellants, Andrew, Herren, and McMillan, have challenged their being denied qualified immunity for the respective termination and transfer of plaintiffs-appellees Boyce and Robinson, both of whom formerly were case managers at DeKalb DFCS. The district judge denied qualified immunity to the supervisors because he determined that Boyce and Robinson’s complaining about their caseloads was a matter of public concern, which afforded them First Amendment protection and that Boyce’s termination and Robinson’s transfer were retaliation by defendants-appellants. As we have explained, the First Amendment does not protect government employees when they speak as employees as opposed to citizens. Because the matters discussed by Boyce and Robinson were internal government work matters at DeKalb DFCS, Andrew, Herren, and McMillan are entitled to qualified immunity. We REVERSE the denial of qualified immunity by the district judge and REMAND for the district judge to grant Andrew, Her-ren, and McMillan qualified immunity and to dismiss this case against them.
Notes
. In his order, the district judge described this situation at DeKalb DFCS, while Boyce and Robinson were case managers:
Multiple problems existed in CPS Investigation during Boyce and Robinson’s tenure. The unit was understaffed. Attrition was high. Management was in flux and temporary employees handled much of the work. Child Welfare League of America guidelines recommend that a case manager carry between 12 and 15 cases at one time. In October of 2003, DeKalb DFCS case managers had an average of 30 to 35 cases. In December of 2004, the average case manager had 35 to 40 cases. Three children in DFCS died in 2002. Three more died in 2003. In October of 2003, DHR sent a team of three management level employees to DeKalb DFCS, instructing them to identify and address existing problems.
R2-29 at 3.
. Andrew, Boyce's direct supervisor, did not recall that Boj'ce expressed any concern for the welfare of the children for whom she was responsible. Andrew Dep. at 28. Similarly, McMillan, the supervisor for the investigations unit and Boyce’s intermediate supervisor, testified that Boyce "never verbalized’’ to her that children were at risk because case managers had not been given sufficient time to investigate cases. McMillan Dep. at 24. When Herren, the Acting Social Services Director at DeKalb DFCS, was asked if Boyce discussed with her concerns about children’s lives being put in danger because of the caseload management, she responded: "She did not discuss with me any concerns about child safety.” Herren Dep. at 54 (emphasis added).
. Andrew testified that Boyce "just basically was not producing,” Andrew Dep. at 23; "[approximately 80 percent” of her cases "were not being submitted timely,” id. at 26. McMillan testified that Boyce was “delayed in producing the work,” and "there was missing documentation from the record to indicate what work was done.” McMillan Dep. at 19. Herren testified that Boyce’s work had not been satisfactory, and, as an example, explained that she had disagreed with Boyce’s recommendation to continue a case for longer than 30 days. Herren Dep. at 46-47. Her-ren's concerns with Boyce's work as to her caseload, which was consistent with other case managers, was her case management generally and her inability to meet deadlines and close cases. Id. at 49-50.
. The recommendation of Boyce's termination occurred after she had been placed on a work plan with "a number of discussions about [her] progress before there was a decision made about termination.” McMillan Dep. at 22. "Her performance on her work plan is what led to her termination.” Id. at 26.
. Dr. Olivia additionally served in the capacity of special advocate to the Commissioner. Andrew Dep. at 38. Andrew testified that the open meeting with Dr. Olivia included "practically everybody in child welfare.” Id.
. In six of her ADOs, Robinson's handwritten explanation is identically worded with the only distinctions being the number of cases that she was handling contrasted with the recommended standard of 15 by the Child Welfare League of America and the number of cases in which she had been unable to contact the child:
I am currently at a dangerously high caseload. I have repeatedly requested help with this situation; however I have not been given enough time to process and investigate the cases on my enormously high caseload. I am once again making the agency aware of this situation. There are 20 cases that I have not been able to make any type of contact with the child.
Robinson Dep. Exh. 7, Mar. 2, 2004, ADO (74 cases); Feb. 23, 2004, ADO (66 cases, 11 cases with no child contact); Feb. 23, 2004, ADO (65 cases, 10 cases with no child contact); February 20, 2004, ADO (64 cases, 9 cases with no child contact); Feb. 19, 2004, ADO (63 cases, 9 cases with no child contact).
Robinson’s sixth ADO in the record has the following handwritten explanation concerning her 63 pending cases:
On February 10, 2004 I sent correspondence to my supervisor Gwen Andrews and social services administrator Glenda McMillan alerting them that my case load is currently extremely high and I have not been able to make contact with 19 Families. I have now a total of 13 cases including the one that was assigned to me today that have not been responded to. I am requesting more time off of rotation to attend to this issue and to work the other 50 cases and bring some type of closure to these cases that date back to October 2003.
I was off rotation Feb. 10, 2004-Feb. 13; however that is not enough time to attend to the families that I have not seen and continue to work on all other cases on my case load. I am once again requesting help with this situation.
Id. Feb. 17, 2004, ADO.
. Robinson's November 23, 2004, electronic mail to Herren states:
Due to ongoing disturbances and abuse by Ms. Andrew, I am requesting to be transferred to another unit or department. I am requesting that the agency accommodate my request.
Rl-18 at Robinson Dep. Exh. 9. Herren forwarded Robinson's electronic mail to Hart, who responded to Robinson:
I received a[n] email from you on 10/21/04 with the same request. I advised you at that time to present documenting of the disturbances and abuse causefd] by Ms. Andrew. To date I have not received anything from you regarding Ms. Andrew. I am more than willing to address any issue you are having with your supervisor. However, you must provide me with the documentation.
Id.
. The district judge also described the supervisors' view of Robinson’s work and complaints:
Defendants maintain that Robinson was unproductive, failed to return telephone calls, and failed to appear for appointments. Defendants further contend that clients complained that Robinson threatened to eliminate their food stamp allotments and in certain situations, to call police. Defendants state that they provided Robinson with resources, time off rotation, the chance to work over-time for pay, and assisted with time and caseload management. Defendants also removed 80 cases from Robinson's caseload when Robinson returned from sick leave.
R2-29 at 13.
. Solomon was a defendant in the district court. The district judge granted him summary judgment because suit against him in his official capacity is a suit against the local government entity, or DeKalb DFCS. Hafer v. Melo,
. In determining that Boyce and Robinson had spoken concerning issues of public concern, the district judge concluded that "the public has a strong interest in knowing that children caught within the DeKalb DFCS system are not necessarily safe. The public also has an interest in knowing that government officials are trying to make it appear that services at DeKalb DFCS are improving, when they are not.” R2-29 at 20.
. As a result of Boyce and Robinson's alleged public-interest speech, the district judge determined that their supervisors retaliated against them:
Boyce and Robinson were struggling with very large caseloads. Both plaintiffs told their supervisors and others that they could not adequately serve each family in their caseload because they had too many cases. Subsequent to and concurrent with those statements, Boyce and Robinson were subject to what they allege to be management’s harassing, intimidating, and retaliatory actions. Management's most salient actions against Robinson and Boyce are the reprimand and termination of Boyce and the reprimand and transfer of Robinson.
R2-29 at 17.
. Following Pickering, our analysis of retaliation against an employee by a government employer for alleged constitutionally protected speech has been comprised of four parts:
To prevail under this analysis, an employee must show that: (1) the speech involved a matter of public concern; (2) the employee’s free speech interests outweighed the employer’s interest in effective and efficient fulfillment of its responsibilities; and (3) the speech played a substantial part in the adverse employment action. If an employee satisfies her burden on the first three steps, [(4)] the burden then shifts to the employer to show by a preponderance of the evidence that it would have made the same decision even in the absence of the protected speech.
Cook v. Gwinnett County Sch. Dist.,
. During the relevant time, DeKalb DFCS was experiencing difficulties in handling its ongoing caseload for various reasons. Dedicated government employees generally work with their supervisors to get through such times and to maintain the work rather than working against them.
. The amount of time and effort that Boyce and Robinson spent complaining and registering their personal work grievances would have been better spent doing their case-investigation jobs, which would have reduced the large caseload handled by the DeKalb DFCS office. Essentially, if they were not performing their jobs, then their supervisors, whose focus is on accomplishing the work of the office, needed to make necessary changes to achieve the mission of DeKalb DFCS.
. To the extent that Boyce and Robinson characterize themselves as whistleblowers, a " 'core concern’ of the First Amendment” for those "who report government wrongdoing,” our First Amendment analysis shows that this theory of relief is unavailing. Akins v. Fulton County, Ga.,
Concurrence Opinion
concurring specially:
While I agree with the result in this case, pursuant to Garcetti v. Ceballos,
Following Garcetti, other circuits have transformed their Pickering four-part test for determining whether a government employer has retaliated against an employee for constitutionally protected speech into a five-part test or a Pickering step one with two subparts, which expedites the analysis by determining at the outset whether the plaintiff is speaking as a government employee or as a private citizen. The Tenth Circuit transitioned from the four-part Pickering test to the five-part “Garcetti/Pickering” test. Brammer-Hoelter v. Twin Peaks Charter Acad.,
Our sister circuits concluded that, in Garcetti the Court delineated the analysis of the first part of a First Amendment, retaliation case under the four-part test by dividing it into two parts. Instead of Pickering step one, which was the determination of whether the government employee’s speech was a matter of public concern, under the Garcetti/Pickering test, the first judicial determination is the classification or category of the government speaker: employee or citizen. Deciding whether the government employee spoke as an employee necessarily involves determining the job responsibilities of the employee which then permits correlating the speech to the employee’s job requirements. This determination is separate from progressing to Pickering step one: a determination of whether the speech concerns a matter of public interest. Therefore, the Pickering step one is not a unitary determination that incorporates the more definitive Gar-cetti analysis of first correlating a government employee’s classification with his or her job responsibilities. Only if the government employee is speaking as a citizen does the analysis progress to a judicial determination of whether the subject is a matter of public concern. If the government employee, however, was speaking as an employee, then there is no First Amendment issue, and the constitutional inquiry ends. See Ferrara v. Mills,
Seventh Circuit Judge Easterbrook commented on the logic of this rationale for the adjustment in analysis for First
Garcetti ... holds that before asking whether the subject-matter of particular speech is a topic of public concern, the court must decide whether the plaintiff was speaking “as a citizen” or as part of her public job. Only when government penalizes speech that a plaintiff utters “as a citizen” must the court consider the balance of public and private interests, along with other questions posed by Pickering and its successors....
Mills v. City of Evansville, Ind.,
In Garcetti the Court has built upon Pickering and succeeding cases to give lower federal courts a distinction in analysis that expedites review of First Amendment, retaliation cases involving government employees by first examining the employee’s classification. This expedited analysis has been recognized at least by three circuits post-Garcetti. See Brammer-Hoelter,
The utility of the Garcetti/Pickering analysis is evident in our cases since Gar-cetti, which, like this case, show the prevalence of First Amendment, retaliation cases involving government employees speaking as employees as opposed to citizens speaking on issues of public interest. See, e.g., Phillips,
. Pickering v. Board of Educ. of Twp. High Sch. Dist. 205,
