Karen Horwitz, Plaintiff-Appellant, v. Board of Education of Avoca School District No. 37, John W. Sloan, Venette Biancalana, and Dorothy Ballantyne, Defendants-Appellees.
No. 00-4271
United States Court of Appeals For the Seventh Circuit
Argued June 8, 2001--Decided July 26, 2001
Before Flaum, Chief Judge, and Bauer and Kanne, Circuit Judges.
Appeal from the United States District Court for the Northern District of Illinois, Eastern Division. No. 98 C 6490--George W. Lindberg, Judge.
I. Background
The Board hired Horwitz for the 1993 to 1994 school year, when she was 48 years old, to teach the fourth grade. Ballantyne at all times relevant to this case was president of the Board. Horwitz‘s relationship with the school principal--Dr. Biancalana--and district superintendent--Dr. Sloan--was apparently good throughout her first year at Avoca West. During Horwitz‘s second year, 1994 to 1995, the parents of at least three children in Horwitz‘s class complained about her. One parent in particular, Mrs.
The 1997 to 1998 school year was no less contentious. Horwitz was reassigned, over her objection, from teaching fourth grade to teaching fifth grade that year. In October of 1997, while the School Board
The end of the 1998 school year brought about another confrontation between Horwitz and the school district. Horwitz did not report to school on April 16, 1998 and her husband in a letter dated the same day informed Dr. Biancalana that she was ill and a doctor advised that she not return to work for a period of time. Her doctors recommended, Mr. Horwitz wrote, that “she remove herself from her extremely hostile work environment which may have a negative impact on her medical condition.” He also informed Dr. Biancalana that until Horwitz felt better, she was to have “no contact with any members of the AVOCA School District Staff” and that “lesson plans will have to be completed for her class” during her absence. In late April, Horwitz desired to return to teaching. The school learned through information provided by Horwitz‘s treating doctor that she had kidney and heart problems and the doctor believed that the extremely hostile working environment at Avoca West was negatively affecting Horwitz‘s medical condition. Dr. Sloan requested that Horwitz undergo both a physical and psychological exam prior to returning to her teaching position. Horwitz underwent the physical exam and returned to work in May of 1998, as it was agreed that she could complete the psychiatric examination before the next school year began. On June 23, 1998, Horwitz filed a second charge with the EEOC alleging that she had experienced retaliation for filing her initial EEOC charge.
The summer of 1998 was not without some additional tension between Horwitz and the school district. Dr. Biancalana during the summer asked Horwitz to return an audio tape of a conversation between Horwitz, Dr. Biancalana, and the parents of a student. She claimed that the tape needed to be returned because it constituted a confidential student record and that the school district was responsible for maintaining the custody and confidentiality of all copies of the record. By the middle of the summer, July of 1998, Horwitz had not provided the audio tape to the school and had failed to undergo a psychological exam. As a consequence, the Board issued on July 15,
The 1998 to 1999 school year was when the Board dismissed Horwitz. The EEOC sent Horwitz a notice of right to sue, dated September 2, 1998, based on the two charges she filed with them. Horwitz pursued her right to sue by filing a complaint against the Board and various other individuals in the Northern District of Illinois on October 16, 1998. Notwithstanding these events, a third notice of remedial warning was issued by the Board on January 5, 1999, relaying to Horwitz that she needed to remedy certain conduct deficiencies. The notice discussed nine particular issues, ranging from Horwitz‘s failure to work cooperatively with other faculty and staff to her unwillingness to follow directives put forward by principal Dr. Biancalana. The Board expressed in its notice that it was unhappy with Horwitz‘s “unprofessional, insubordinate and unsatisfactory conduct,” a sentiment the Board had previously articulated in the first and second notices of remedial warning. Horwitz did not report to school on March 16, 1999 and informed Dr. Biancalana in a March 19th letter that she would not be able to teach through at least April 16th due to a medical condition and that a substitute would have to prepare lesson plans after March 22nd. On March 23rd, Dr. Sloan wrote Horwitz a letter requesting that she provide him with certification from her doctor explaining the reason for her absence. At this point in time, Horwitz had accumulated twenty-eight days of sick leave. Dr. Sloan on March 26th and April 6th again asked Horwitz for a doctor‘s certification. Finally, on April 14th, Horwitz sent Dr. Sloan a letter from her treating physician, Dr. Ciganek. Dr. Sloan, however, wrote another letter to Horwitz explaining that the note from Dr. Ciganek was not sufficient, as it did not adequately explain the medical reason for her absence. Dr. Ciganek did provide the school district with more specific information concerning Horwitz‘s condition in a letter dated April 22nd.
At the summary judgment stage, the district court ruled in favor of the defendants on the following claims: (1) Age Discrimination in Employment Act (“ADEA“); (2) retaliation in violation of the ADEA; (3) Family Medical Leave Act (“FMLA“); and (4) defamation.1 Prior to the summary judgment ruling, the district court dismissed Horwitz‘s
II. Discussion
A. ADEA
We review the district court‘s grant of summary judgment de novo, construing all of the facts and reasonable inferences that can be drawn from those facts in favor of the nonmoving party. See Central States, Southeast & Southwest Areas Pension Fund v. Fulkerson, 238 F.3d 891, 894 (7th Cir. 2001). A grant of summary judgment is appropriate if the pleadings, depositions, answers to interrogatories, admissions, and affidavits leave no genuine issue of material fact, and the moving party is entitled to a judgment as a matter of law.
The ADEA prohibits an employer from discriminating against an individual on the basis of his or her age.
There is no dispute about whether Horwitz falls within the protected age group, as the Board hired her when she was 48 years old to teach the fourth grade for the 1993 to 1994 school year. The district court found that Horwitz failed to establish a prima facie case of age discrimination because she had not demonstrated that younger teachers were treated more favorably than she. We concur with the district court‘s assessment. Horwitz alleges that she was excluded from the election, newspaper, and mentoring projects, even though younger teachers participated in such activities. Further, she asserts that her transfer from teaching fourth grade to teaching fifth grade, over her objection, shows that the school favored younger
There is no concrete evidence in the record substantiating Horwitz‘s allegations that younger teachers were treated more favorably than older teachers. By way of example, the school has provided data showing that between the 1992 to 2000 school years, over 55% of the teaching staff within the Avoca School District were over the age of 40. Dr. Biancalana who began serving as principal of Avoca West in August of 1993, has hired six teachers as well as a school nurse and Library Technology Coordinator over the age of 40. In fact, Dr. Biancalana since arriving at Avoca West, has selected twelve mentors, of whom seven were 40 years of age and older. Her reviews of the eleven teachers
B. Retaliation based on the ADEA
The district court granted summary judgment in favor of the Board concerning Horwitz‘s retaliation claim under the ADEA. Keeping in mind the standard we have outlined regarding our review of a district court‘s summary judgment decision, we address whether Horwitz has presented a retaliation case that merits a jury trial. The ADEA provides that it is “unlawful for an employer to discriminate against any of his employees . . . because such individual . . . has opposed any practice made unlawful by this section, or because such individual . . . has made a charge, testified, assisted, or participated in any manner in an investigation, proceeding, or litigation under this chapter.”
There is no question as to whether Horwitz engaged in an activity protected under the ADEA. She filed her first charge of age discrimination with the EEOC on June 16, 1997 and then a second charge with the EEOC on June 23, 1998 alleging that she had experienced retaliation for filing her initial EEOC charge. In response to both of these charges, the EEOC sent Horwitz a notice of right to sue, dated September 2, 1998. Horwitz pursued her right to sue by filing a complaint against the Board and various other administrators in the Northern District of Illinois on October 16, 1998. Clearly, Horwitz engaged in protected activity under the ADEA when she filed the two EEOC complaints and the instant lawsuit. See McClendon v. Indiana Sugars, Inc., 108 F.3d 789, 796 (7th Cir. 1997). Likewise, it is apparent Horwitz suffered an adverse employment action when she was terminated on April 23, 1999 by the Board. See id.; Gleason v. Mesirow Fin., Inc., 118 F.3d 1134, 1146 (7th Cir. 1997). The district court, however, said that the “Plaintiff fails to present evidence such that a reasonable jury could find that a causal connection exists between her protected activity and her dismissal.” To establish the last element in a retaliation case,--that is, the causal connection requirement--Horwitz needed to prove that the Board‘s decision to terminate her and the EEOC charges and current lawsuit were not
Nonetheless, Horwitz is not precluded from coming forward with other evidence supporting the casual connection element. Id. Horwitz attempts to argue that there is a causal connection between her protected activity and termination by reciting many of the facts that we have already discussed in the background and ADEA sections of this case. For instance, Horwitz argues that she met with Dr. Sloan in mid-November of 1996 to address her concerns about age discrimination at Avoca West and he responded by remarking that he would make a staff member‘s life miserable if he or she escalates an issue. She claims that shortly thereafter she was moved from teaching fourth grade to teaching fifth grade over her objection. In June of 1997, she filed her first EEOC charge and three months later she was criticized for being allegedly uncooperative and told to list cooperation as a goal for the next school year. Her essay was posted on the internet in the fall of 1997, and after this, she requested that the Board investigate her claims of age discrimination. The Board refused to investigate her concerns and instead issued its first notice of remedial warning. Horwitz advances that she took a medical leave in April of 1998 and that she was improperly asked to see the Board physician, an internist, before she could return to work and later the Board said she had to see a psychiatrist. In June of 1998, she filed her second EEOC charge and then the Board issued another notice
In any event, even if Horwitz were able to present evidence sufficient to establish a prima facie case of retaliatory discharge, she has not successfully shown that the Board‘s proffered reasons for terminating her were pretextual. The district court found that the Board had produced evidence of non-discriminatory reasons for Horwitz‘s termination and that the Board had pointed to “several occasions of insubordination, complaints from parents, occasions of unprofessional behavior on the part [of the] Plaintiff towards her fellow faculty members, administrators and outside support staff. Defendants further produce evidence that [the] Plaintiff failed to adequately prepare lesson plans for use during her extended absences and that Plaintiff was not available for consultation during those absences.” The Notice of Charges and Bill
Horwitz asserts that the reasons given for her termination in the Notice of Charges and Bill of Particulars differ from the reasons Dr. Sloan gave for her termination at Horwitz‘s unemployment compensation hearing. Horwitz notes that the hearing officer asked Dr. Sloan, “In the final analysis, was she discharged because of this extended absence or because during this absence . . . she failed to comply with policy regarding lesson plans? Or was it a combination thereof?,” to which Dr. Sloan replied, “A combination thereof.” Furthermore, according to Horwitz, Dr. Sloan had-hand delivered to her a letter saying the primary reason for her dismissal was her absence without sufficient medical documentation beginning on March 16, 1999 and her failure to supply lesson plans during this period. Horwitz also alleges in her brief that the “Defendants’ written evaluations of Plaintiff‘s performance through March, 1997 showered her with praise and described her as an ‘excellent’ employee.” Finally, Horwitz claims that during a hearing before the Illinois State Board of Education concerning her dismissal, Dr. Sloan said, “we needed to build a case” against Horwitz, rather than stating that the school desired to document what was occurring at the time between Horwitz and the school. All of this, Horwitz asserts, supports a finding of pretext.
Upon reviewing the record, we cannot conclude that the school district‘s legitimate, non-discriminatory reasons for terminating Horwitz are pretextual. For example, Dr. Sloan initially requested and was allowed to read a prepared statement at the unemployment compensation hearing, in which he summarized how Horwitz over a three-year period “exhibited a pattern of gross insubordination and unprofessional conduct.” He then noted that she had refused to follow school district procedures and policies after being repeatedly directed to do so in three written notices to remedy issued by the Board. “The culminating event,” Dr. Sloan said, “that led to her discharge was . . . generated by the fact that on March 16th, 1999, Mrs. Horwitz began an
Your repeated refusal to respond to the District‘s requests for verification of the basis for your extended absence from your full-time teaching duties and your unprofessional conduct in failing to communicate with the District‘s Principal regarding lesson plans for substitutes has adversely affected the District‘s students and has disrupted necessary planning for students’ educational programs. Based upon this continued insubordinate conduct and your established pattern of unprofessional and insubordinate conduct as evidenced by issuance of Three (3) Board Notices of Remedial Warning, I will submit an administrative recommendation to the Board of Education for your termination as a tenured teacher.
There is no doubt that Dr. Sloan quite clearly communicated to Horwitz that her previous three notices of remedial warning along with her recent absence and failure to provide lesson plans for that period caused him to recommend her termination to the Board. As for the comment that Dr. Sloan made during the hearing before the Illinois State Board of Education regarding establishing a case against Horwitz, it is necessary that we place Dr. Sloan‘s comment within the proper context. The hearing officer had inquired why it took Dr. Sloan so long to recommend to the Board that Horwitz be terminated. Dr. Sloan responded that the school tried to help Horwitz and ensure that she would succeed, but there came a point where it became apparent she was not going to be successful, therefore Dr. Sloan remarked, “[A]t that juncture, as the law requires, we needed to build a case and document the harm that she was doing to the school district, and I believe that we did that, and unfortunately it was a process, and
C. Retaliation Based on the FMLA
The district court found that Horwitz had not provided the school with the requisite notice to trigger a FMLA claim. According to the district court, “the undisputed record reflects that [the] Plaintiff did not provide information such that her employers would reasonably have been on notice as to the severity of her condition, until after [Dr.] Sloan had recommended her dismissal, and nearly a month after her initial absence.” Indeed, Horwitz was absent from school beginning on March 16, 1999, and after repeated requests from Dr. Sloan to provide him with medical certification regarding her absence, her doctor sent an apparently inadequate certification on
D. Defamation Claim
Initially, we begin by noting that the district court appropriately decided to resolve Horwitz‘s state law defamation claim (based on Illinois law), even though the trial court had settled the federal issues in her case. The district court had jurisdiction to decide the state claim under
Having said that, we turn to the actual defamation claim itself. The district court, on immunity grounds, found that Horwitz‘s defamation claim did not survive the defendants’ motion for summary judgment. We agree with the district court‘s assertion that the Board is statutorily immune from Horwitz‘s claim. Illinois law provides that a “local public entity is not liable for injury caused by any action of its employees that is libelous or slanderous or for the provision of information either orally, in writing, by computer or any other electronic transmission, or in a book or other form of library material.”
We turn to whether the remaining defendants--Dr. Sloan, Dr. Biancalana, and Ballantyne--are also immune from suit. We have remarked with regard to this issue that “even if a statement is defamatory, under Illinois law, the defendants would have immunity for their statements made within the scope of their authority.” Klug v. Chicago Sch. Reform Bd. of Trs., 197 F.3d 853, 861 (7th Cir. 1999) (citing Blair v. Walker, 64 Ill.2d 1, 349 N.E.2d 385 (1976)). The question we address is whether Dr. Sloan, Dr. Biancalana, and Ballantyne were acting within the scope of their official duties when they made the alleged statements in question. According to Horwitz, the individual defendants made defamatory
E. Dismissal of the Section 1983 Claim
The district court dismissed Horwitz‘s
First, we assess whether the district court properly dismissed the sec. 1983 claim against Dr. Sloan, Dr. Biancalana, and Ballantyne. Horwitz has sued these defendants in their official and individual capacities. With respect to the individual capacity issue, it is necessary that we consider whether Horwitz has successfully established a First Amendment retaliation claim. In order for Horwitz to establish a sec. 1983 claim based on the First Amendment, she must demonstrate that: (1) her conduct was constitutionally protected and (2) her conduct was a substantial or motivating factor in the defendants’ challenged actions. See Thomsen v. Romeis, 198 F.3d 1022, 1027 (7th Cir. 2000). To determine whether Horwitz‘s speech was constitutionally protected, we need to ask whether her speech addressed a matter of public concern, and if so, then we must consider whether Horwitz‘s interest in speaking outweighs the interest of the state in efficiently providing services. See Kokkinis v. Ivkovich, 185 F.3d 840, 843-44 (7th Cir. 1999). To determine whether Horwitz‘s speech was a matter of public concern, we consider the content, form, context, and motivation of her speech, although content is the most important factor. See Button v. Kibby-Brown, 146 F.3d 526, 529 (7th Cir. 1998). We will assume, without deciding, that the essay Horwitz submitted to Wilmette Life in the fall of 1997 criticizing the school district addresses a matter of public concern and that her interest in speaking outweighs the interest of the state in efficiently providing services. Nonetheless, we cannot conclude that Horwitz‘s essay in any way was a substantial or motivating factor in the defendants’ ultimate decision that Horwitz should be terminated. The essay was submitted to Wilmette Life on October 9, 1997 and Horwitz was terminated on April 23, 1999; approximately eighteen months had passed between the time Horwitz had engaged in speech that was constitutionally protected and her termination. These two events are simply too remote in time to infer that Dr. Sloan, Dr. Biancalana, and Ballantyne believed that Horwitz‘s
Although we have decided that Horwitz‘s sec. 1983 claim against Dr. Sloan, Dr. Biancalana, and Ballantyne in their individual capacities has failed, we still must address whether her claim survives against these defendants in their official capacities. Since Horwitz has brought her suit against these particular individuals in their official capacities, “the trial judge must identify those officials or governmental bodies who speak with final policymaking authority for the local governmental actor concerning the action alleged to have caused the particular constitutional or statutory violation at issue.” Jett v. Dallas Indep. Sch. Dist., 491 U.S. 701, 737 (1989). It is necessary to initially determine which officials have final policymaking authority because “[o]nce those officials who have the power to make official policy on a particular issue have been identified, it is for the jury to determine whether their decisions have caused the deprivation of rights at issue by polices which affirmatively command that it occur or by acquiescence in a longstanding practice or custom which constitutes the standard operating procedure of the local governmental entity.” Id. (internal citations and quotation marks omitted). The district court said that it did not “even [have] ‘bare allegations’ from which to string together an argument that the individual Defendants enjoyed final decision-making authority.” Horwitz v. Board of Educ. of Avoca, No. 98 C 6490, 2000 WL 1100858, at *3 (N.D. Ill. June 7, 2000). Deciding whether a specific official has final policymaking authority is a question of state law. See Duda v. Board of Educ. of Franklin Park Pub. Sch. Dist. No. 84, 133 F.3d 1054, 1061 (7th Cir. 1998). We have said that “nothing in the [Illinois] School Code allows us to infer that a superintendent or principal has been delegated policymaking authority with respect to personnel decisions.” Id. Furthermore, there is no reason for us to
What remains to be considered is Horwitz‘s sec. 1983 claim against the Board. Horwitz‘s sec. 1983 claim against the Board, which is an agency of the municipal government, see Smith v. Chicago Sch. Reform Bd. of Trs., 165 F.3d 1142, 1148 (7th Cir. 1999), may not be based on respondeat superior. Id. Monell places the burden on Horwitz to demonstrate that an official policy or custom of the Board‘s caused her injury. Id. at 1148-49. Horwitz in her complaint states, “On several occasions, including January 1998, the plaintiff or a representative informed the school board of the numerous violations of plaintiff‘s rights regarding age discrimination and deficient educational practices. The school board maintained a policy of ignoring such violations in reckless disregard of the truthful and well substantiated allegations.” Horwitz, in her complaint, further alleges that the Board improperly issued its first and second notice of remedial warning, inappropriately compelled her to undergo a psychological exam, and apparently ordered her not to express her opinion about special education situations to parents on the basis that since she was not certified in special education her opinion was not authoritative, even though Horwitz claims she has an obligation under the IDEA statute to express her opinion on such matters. The rest of her complaint focuses more exclusively on the behavior of particular individuals, like Dr. Sloan, Dr. Biancalana, and Ballantyne. She acknowledges such an emphasis in her complaint, when she states, “In engaging in the acts and conduct aforesaid,
III. Conclusion
For the reasons stated herein, we AFFIRM the decision of the district court.
FLAUM
Chief Judge
