Lead Opinion
Stеphen Kaluczky is the Personnel Officer for the City of White Plains (“the City”), a six-year appointive post. A registered Republican, Kaluczky was re-appointed for a second six-year term in 1992, the last year of a Republican administration. Defendants are three White Plains officials who came into power on the Democratic ticket in 1993. Kaluczky alleges that these Democratic office-holders have retaliated against Kaluczky for his political views, his party affiliation, and certain testimony that Kaluczky gave (during his first term) at a disciplinary hearing that ended in the dismissal of a Democrat, all in violation of Kaluczky’s First and Fourteenth Amendment rights protected by 42 U.S.C. § 1983. Defendants Kevin Fish, who is the Executive Officer of White Plains,
I. Background
Stephen Kaluczky was first appointed Personnel Officer for the City of White Plains by Republican Mayor Alfred Del Vecchio in 1986. The position of Personnel Officer carries a statutory six-year term of office. See N.Y.Civ.Serv.Law § 15; see also White Plains City Charter § 238-g. Since the mayoralty is a four-year elective post, a Personnel Officer will sometimes serve with the mayor of a rival party.
The following recitation of facts is drawn from plaintiffs complaint and is assumed to be factually true for purposes of this appeal.
On November 13,1990, Mayor Del Vecchio was assaulted at a collective bargaining session by Joseph Roche, who was then President of the local chapter of the Civil Service Employees Association’s bargaining unit. Kaluczky witnessed the incident. Del Vec-chio brought disciplinary charges against Roche, a Democrat activе in city politics. Roche was subsequently brought before a disciplinary hearing. Kaluczky, who testified in part as an eye witness, went on to opine that Roche could be discharged for his misconduct and that Roche’s prior partisan political activity had been improper. Kaluczky characterizes all of his testimony as “truthful”. As a result of the hearings, Roche was fired.
In September 1992, Mayor Del Vecchio reappointed Kaluczky subject to confirmation by the White Plains Common Council. At the time, the Common Council was controlled by the Democrats who hoped to delay Ka-luczky’s confirmation proceedings until after the 1993 mayoral elections. However, Ka-luczky was automatically confirmed as Personnel Officer in October 1992, because of a technical procedural rule that the Democrats had overlooked.
Defendant Sy Sehulman, a long-time Democratic member of the Common Council, opposed Del Vecchio in the 1993 mayoral election. Kaluczky, a registered Republican who had not previously been active in local elections, actively endorsed Del Vecchio’s candidacy, stuffing envelopes with campaign literature and writing personal notes urging voters to re-elect the mayor.
Sehulman defeated Del Vecchio in the November election, and took office in January 1994. Roche, who remained active in Democratic politics after being fired by the Del Vecchio administration, was given a job in the Sehulman administration.
Soon after the 1993 election, Mayor Schul-man requested that Kaluczky resign so that Sehulman could appoint one of his political colleagues as Personnel Officer. Whеn Ka-luczky refused, Sehulman and the other defendants took measures to induce his resignation. Specifically, Kaluczky alleges that the defendants curtailed many of his professional responsibilities: by threatening to transfer his duties to other departments; by actually transferring many of his responsibilities to defendant Dolph, one of Schulman’s loyal subordinates; and by excluding him from “making personnel decisions”, “attending cabinet level meetings”, conducting city labor negotiations, and “determining personnel practices and policies”. Second, Kalucz-ky alleges that thе defendants humiliated him and isolated him politically by denying Kaluczky access to the mayor; refusing to speak with him in public; turning away when Kaluczky addressed them; refusing to return Kaluczky’s phone calls; excluding Kaluczky from various strategy meetings, high level committees, and weekend retreats; and verbally assaulting him for his political affiliation and his political support for Del Vecchio.
Notwithstanding all this, Kaluczky has retained his statutory position and the рerquisites of his office. In May 1994, after this lawsuit was commenced, he was given a 2.54% raise.
Kaluezky’s complaint, filed on April 24, 1994, asserts five federal claims: (1) that defendants retaliated against plaintiff for his political affiliation in violation of the First and Fourteenth Amendments; (2) that defendants retaliated against plaintiff for the exercise of his right to associate with Del Vecchio in violation of the First and Fourteenth Amendments; (3) that defendants retaliated against plaintiff for his political support of Del Yecchio’s campaign in violation of the First and Fourteenth Amendmеnts; (4) that defendants retaliated against plaintiff for having given “truthful” testimony (at the Roche hearing) on matters of a public concern, in violation of the First and Fourteenth Amendments; and (5) that defendants unlawfully “chilled” plaintiffs exercise of his First and Fourteenth Amendment rights. Kalucz-ky also pleaded a pendent state claim alleging that the defendants’ retaliatory conduct violated the “rights and obligations” of his office in violation of § 238-g of the White Plains City Charter, the New York State Civil Service Law and Article V, § 6 of the New York State Constitution. The complaint seeks compensatory and punitive damages as well as declaratory and injunctive relief.
On June 23, 1994, defendants moved to dismiss the complaint on the ground that policymaking employees (such as Kaluczky) are not protected from rough treatment when they exercise their First Amendment rights; that the defendants have qualified immunity from personal liability; and that the state law claims, being meritless, do not justify the exercise of discretion required to hear them. On July 29, following oral argument, Judge Brieant denied the motion without issuing a written opinion. The defendants took a timely appeal of the district court’s dеnial of their claim of qualified immunity.
II. Discussion
The motion for qualified immunity was presented under Rule 12(b)(6). In reviewing a complaint under that Rule, we accept as true the material facts alleged in the complaint and draw all reasonable inferences in plaintiffs favor. See Hill v. City of New York,
A. Subject Matter Jurisdiction
An order denying a motion to dismiss on the ground of qualified immunity is immediately appealable where the district court has rejected that defense as a matter of law. See Mitchell v. Forsyth,
An appellate court having jurisdiction over some questions on appeal may exercise its discretion to take pendent jurisdiction over independent nonappealable, but related questions. See Golino v. City of New Haven,
The defendants ask this Court to exercise pendent jurisdiction in order to decide whether Kaluczky’s status as a confidential policymaking employee bars his invocation of First Amendment rights in the circumstances presented and whether Kaluczky’s six-year term of office affords him additional First Amendment protection. The immunity question turns on whether it was objectively reasonable for the defendants to believe that their conduct violated Kaluczky’s cleаrly established constitutional rights. That question entails an inquiry into the nature and extent of the rights that Kaluczky can assert, and whether Kaluczky’s entitlement is well-settled. In our view these issues are “inextricably intertwined”. We therefore conclude that there is “sufficient overlap in the factors relevant to the appealable and nonappealable issues to warrant our exercising plenary authority over the appeal.” San Filippo,
B. Qualified Immunity
In a § 1983 action, it is well-settled that qualified immunity shields a defendant from personal liability for damages so long as his conduct did not violate “clearly established statutory or constitutional rights of which a reasonable person would have known.” Harlow v. Fitzgerald,
(1) whether the right in question was defined with “reasonable specificity”; (2) whether the decisional law of the Supreme Court and the aрplicable circuit court support the existence of the right in question; and (3) whether under preexisting law a reasonable defendant official would have understood that his or her acts were unlawful.
Jermosen v. Smith,
Kaluczky alleges that defendants violated well-established rights of speech and association by conducting a campaign to force his resignation. We review below the cases establishing that a public employee in a confidential policymaking position has no First Amendment protection from being discharged for his political beliefs, his party аffiliation or his political statements. Ka-luczky, however, claims that this policymaker exception is inapplicable because he was appointed to a six-year term of office, and because policymaking has nothing to do with his truthful testimony at the Roche disciplinary hearing. We address each of these claims below; as that discussion will make clear, each claim raises a novel issue. It follows that the “contours” of the right alleged to have been violated were not “sufficiently clear that a reasonable official would understand that what he was doing violates that right.” Anderson,
C. First Amendment
Policymaker Doctrine. As a general rule, public employees may not be dismissed for the exercise of their First Amendment rights. See Elrod v. Burns,
Kaluczky holds the position of Personnel Officer for the City of White Plains. We need not consult the factors typically reviewed to resolve the question of whether this office is a policymaking position, see Vezzetti
Policymakers hold their office at the will of their employer, and may be discharged by reason of political affiliations, political beliefs, ideological viewpoints or partisan activity. Thus the First Amendment does not bar “adverse employment action” based solely on the content of a policymaker’s expressive activities or beliefs. Adverse employment actions include discharge, demotion, refusal to hire, refusal to promote, and reprimand. See Rutan,
Because Kaluczky is a policymaker, it is clear that — but for his fixed term of office— the defendants would be free to fire him. Putting aside for the moment the issue of tenure, the policymaker exception would permit the defendants to isolate Kaluczky politically, exclude him from high-level meetings, withhold from him sensitive and confidential information, and transfer all of his policy-making responsibilities to persons loyal to the defendants — all of which Kaluczky characterizes as “acts of retribution”. These measures are fully condoned by the rationale of the Elrod-Branti line of cases regarding patronage dismissals. An administration has an interest in ensuring that its high-level, policymaking employees adhere to the party line, and рromote and implement the agenda of that administration. See e.g., Elrod,
Tenure. One question presented is how the Personnel Officer’s six-year term of office affects the power of the Schulman administration to deal with Kaluczky as a policymaker. Kaluczky contends that, because he is protected irom discharge by state law, he is also protected, undеr the federal Constitution, from diminution in his statutorily defined or traditionally performed duties, and from politically-inspired rebukes, harassment and humiliation inflicted with the design of forcing him to resign.
The White Plains City Charter provides that the mayor, who is elected to a four-year term of office, appoints the City’s Personnel Officer to a six-year term. The Charter thereby makes the City’s Personnel Office a political power center and creates the potential for political conflict. Because Kaluczky is a policymaker holding office in city government, and hаs evidenced animosity towards the Schulman administration, Schulman has no obligation under the federal Constitution to bring Kaluczky into the mayor’s cabinet, to seek or accept his advice, to pay him deference, to speak to him, or even to offer him ordinary courtesy. See Wilbur v. Mahan,
Kaluczky, however, suggests that his six-year tenure is intended to “insulate” the Personnel Officer from partisan politics, criticism and public rebuke. That is plausible, but it is just as easy to say that the purpose of staggered terms of office is to cause creative tension between the City’s elected administration and the appointee of a prior administration. Kaluczky cannot expect to be the only policymaker in America insulated from criticism, hostility, political retribution and humiliation. Kaluczky’s tenure makes some difference: it gives him a platform from which to respond to public rebuke, to challenge the administration’s policies and practices, and to contest any infringements on his traditional powers and responsibilities either directly to the public, in the press or (possibly) in state court. Further, it may be that the Charter, or other expressions of state law, requires some accommodation between the Personnel Officer and the mayoral administration. But we are not in a good position to either define such an accommodation or to enforce it. In any event, the federal Constitution does not set terms of engagement for warring factions of municipal government.
In short, Kaluczky’s six-yеar term of office does not alter his status as a policymaking employee. Because the defendants would be permitted to discharge Kaluczky, but for his tenure, nothing in the First Amendment stops them from allocating the policymaking functions of government among tenured and non-tenured municipal employees in such a way as to implement the policies for which the defendants are ultimately held accountable.
Truthful Testimony. Kaluczky also contends that the defendants have conducted a campaign of retribution for his “truthful testimony and expression of opinion adverse to Joseph Roche in Roche’s civil service disciplinary proceeding” conducted in 1990 during the Del Yecchio administration. The details of the “proceeding” are sketchy; however, Kaluczky alleges that he opined that “Roche’s political activities were improper and ... that Roche could properly be terminated by reason of other alleged misconduct with respect to which [Roche] had been charged.” Kaluczky maintains that his testimony concerned a “matter of public concern” and, therefore, that he is protected from any
The right to criticize public officials is at the heart of the First Amendment’s right of free speech. See New York Times Co. v. Sullivan,
between the interests of the [employee], as a citizen, in commenting upon matters of public concern and the interest of the State, аs an employer, in promoting the efficiency of the public services it performs through its employees.
While there is no explicit Elrod-Branti policymaker exception to the Pickering line of cases, the governmental interests recognized in both lines of cases are essentially the same. A public employer has an important interest in promoting efficiency, ensuring loyalty, and fostering positive morale in the workplace. See Rankin v. McPherson,
Voluntarily appearing as a -witness in a public proceeding or a lawsuit is a kind of speech that is protected by the First Amendment. See Piesco v. City of New York,
Kaluczky alleges that he is suffering retribution for giving truthful testimony. However, the measures allegedly taken to punish him for truthful testimony are the same measures — diminution of policymaking powers and influences, ostracism and public humiliation — supposedly taken against him as a policymaker in the administration of the rival political party. Therefore, in this casе, the truthful-testimony issue is cast in particularly narrow terms: whether Kaluczky’s truthful testimony, and whatever incremental hostility that provoked, serve to reinforce the First Amendment rights that are weakened by Kaluczky’s role as a policymaker. We conclude that the First Amendment does not prevent Kaluczky’s political opponents from seeking to weaken and isolate him, whether or not Kaluczky’s truthful testimony is yet another source of hostility between them. The First Amendment will not compel the defendants to take Kaluczky into their councils or even to speak to him.
We neеd not decide whether a policymaker (particularly one holding a tenure position) may be fired or his salary docked for voluntarily or involuntarily giving truthful testimony under oath. Kaluczky was not fired, nor was his salary reduced.
AH of Kaluczky’s five federal claims sound in terms of the First Amendment (e.g., violations of his rights of speech, association and political advocacy), but are stated as violations of “the First and Fourteenth Amendments to the United States Constitution.” We read that allegation as good pleading of a First Amendment claim against a state or municipal officials. See Gitlow v. New York,
Substantive due process protects against government action that is arbitrary, conscience-shocking, or oppressive in a constitutional sense, but not against government action that is “incorrect or ill-advised.” See Lowrance v. Achtyl,
threats of putting him through Hell, their outrageous public humiliatiоn and embarrassment of him, their retaliatory stripping away of [his] job duties and interference with those remaining, as well as their rabid political character assassination [were] arbitrary and capricious.
Although Kaluczky asserts in conclusory terms that these acts of retribution violated his substantive due process rights, he does not specify which constitutional rights he is invoking.
A plurality of the Supreme Court has recently stated that, where a § 1983 plaintiff alleges a cause of action protected by an “explicit textual source” of the Constitution, “that Amendment, not thе more generalized notion of ‘substantive due process,’ must be the guide for analyzing” that claim. See Albright v. Oliver, — U.S. -, -,
Although not raised explicitly in Kalucz-ky’s pleadings, Judge Brieant considered sua sponte at oral argument whether Kaluczky could allege the deprivation of a property right. In order to state a substantive due process claim premised on a deprivation of property, Kaluczky would have to establish that he was deprived of a valid “property interest” in a constitutionally-protected benefit. See Board of Regents v. Roth,
E. Remaining Claims
All of plaintiffs claims against the City of White Plains remain for disposition by the district court, as well as plaintiffs state law claim against these individual defendants. It is for the district court on remand to consider whether to exercise federal supplemental jurisdiction over the state claims. See 28
III. Conclusion
For the foregoing reasons, we reverse the district court’s order denying defendants’ motion to dismiss, and remand to the district court for further proceedings in accordance with this opinion.
Concurrence Opinion
concurring:
In Branti v. Finkel,
