McIntosh v. PartridgeMcIntosh v. Partridge
Jоnathon McIntosh, DDS, appeals the district court’s April 30, 2007 summary judgment based dismissal of his suit under the Uniformed Services Employment and Reemployment Rights Act (USERRA), the Due Process and Equal Protection Clauses of the Fourteenth Amendment, and Texas common law defamation. For the following reasons, we direct that the USERRA claim be dismissed for want of jurisdiction, and we otherwise affirm.
FACTS AND PROCEEDINGS BELOW
McIntosh was the director of dentistry and the treating dentist for the residents at the Richmond State School (RSS), a Texas home for people with mental and physical disabilities. RSS is a part of the Texas Department of Aging and Disability Services (TDADS). David Partridge, M.D., was the medical dirеctor of RSS and McIntosh’s direct supervisor; Adalberto Barrera was the superintendent of RSS.
McIntosh was a member of the U.S. Navy Reserve, and he was called to active duty to serve in Iraq and Kuwait in October 2004. RSS contracted with another dentist, June Sadowsky, D.D.S., M.P.H., to treat the residents during McIntosh’s tour of duty. Dr. Sadowsky reported that the residents’ teeth were in poor condition, some having been neglected to the point where they needed to be cleaned before their conditions could be properly assessed. In early 2005, Dr. Corinne Scalzitti, D.M.D., conducted an audit of the professional aspects of RSS’s dental clinic, after which she concluded that decisions made by McIntosh had impaired the quality of dental care at RSS.
When McIntosh returned from military service in October 2005, he notified Partridge of his desire to return to his position at RSS. On November 1, 2005, Partridge told McIntosh that his clinical privileges were suspended pending an independent investigation into charges of professional incompetence and violations of the applicable standard of care. Partridge placed McIntosh on paid leave, and he reported McIntosh’s conduct to the state board of dental examiners. McIntosh requested a heаring from RSS to review his suspension, but none was held. On December 23, 2005, McIntosh brought this suit against Partridge, both individually and in his official capacity as medical director of RSS, asserting claims under the Uniformed Services Employment and Reemployment Rights Act (USERRA),
Meanwhile, RSS hired Robert Anderton, D.D.S., J.D., to conduct an independent investigation of the allegations against McIntosh. As part of this investigation, he reviewed the residents’ dental health and concluded that many residents suffered from extensive dental problems that were not prоperly treated or recorded on their charts by McIntosh. On August 24, 2006, Barrera provided McIntosh with a copy of Dr. Anderton’s report and gave him the opportunity to present a response either in writing or in person by August
In the proceedings below, McIntosh’s state law defamation claim was dismissed either upon McIntosh’s own motion or for failure to state a claim because Partridge, as McIntosh’s employer, had a qualified privilege to report allegations of misconduct to the state board of dental examiners and he did so without malice. Partridge then moved for summary judgment on the USERRA, equal protection, and due process claims, arguing that McIntosh could not establish that his suspension was motivated by his military service or that his ' constitutional rights were violated. McIntosh filed a cross-motion for partial summary judgment asserting that his equal protection and due process rights were violated because Partridge failed to grant him a hearing, as required by department procedures, before suspending him. Partridge also filed an amended motion to dismiss contending, inter alia, that the district court lacked subject matter jurisdiction over the USERRA claims and that the Eleventh Amendment barred claims against Partridge in his official capacity.
In its April 30, 2007 Opinion on Summary Judgment, the district court held that
On May 11, 2007, McIntosh filed a motion for reconsideration, which was denied on May 30, 2007. McIntosh timely filed his Notice of Appeal on June 5, 2007. Pursuant to
DISCUSSION
On appeal, McIntosh argues that the district court erred by granting Partridge’s motion for summary judgment as to his USERRA, due process, and equal protection claims. He also asserts that the district court erred by improperly considering inadmissible evidence submitted with Partridge’s motion for summary judgment and by dismissing his state law defamation claim based upon an affirmative defense that Partridge had failed to raise in his first responsive pleading.
Standard of Review
This court reviews “Eleventh Amendment immunity determinations, like other questions of subject matter jurisdiction, de novo as a question of law.”
United States v. Tex. Tech. Univ.,
1. Federal Jurisdiction Over USERRA Claims Brought by an Employee Against a State as an Employer
USERRA is a federal law that protects employees from being discriminated against by their employers because of their military service.
USERRA’s operative text lays out three separate types of claims and identifies which courts have jurisdiction over those claims.
“(1) In the case of an action against a State (as an employer) or a private employer commenced by the United States, the district courts of the United States shall have jurisdiction over the action.
(2) In the case of an action against a State (as an employer) by a person, the action may be brought in a State court of competent jurisdiction in accordance with the laws of the State.
(3) In the case of an action against a private employer by a person, the district courts of the United States shall have jurisdiction of the action.”
All parties agree that McIntosh’s cause of action falls under subsection (b)(2) of this statute.
In its order, the district court reasoned that, since the statute provides that suits by individuals against a state “may,” rather than “must,” be brought in state court, Congress was not restricting jurisdiction to state courts. Based on its interpretation of the word “may,” and because the previous version of the statute mandated federal jurisdiction over USER-RA claims brought by individuals against states as employers, the district court concluded that McIntosh’s USERRA claim could be brought in either state or federal court.
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This reasoning, however, departs from the proper standard for determining abrogation of sovereign immunity. The Supreme Court has held that “Congress may abrogate the States’ constitutionally
USERRA’s jurisdictional statute provides that in “an action against a State (as an employer) by a person, the action
may be brought in a State court.”
This interpretation is also supported by a comparison of the current statute with its prior version. Previously, Congress had authorized the United States district courts to exercise jurisdiction over USER-RA claims, with claims against a state as an employer to be brought in “аny district in which the State exercises any authority or carries out any function.”
After examining the text of the statute in its current and prior forms, we see no “unmistakably clear” intention by Congress to abrogate state sovereign immunity by allowing individuals to bring USER-RA claims against states as employers in federal court. Therefore, this court does not have jurisdiction to hear McIntosh’s USERRA claim. 5
McIntosh objects that the district court erred by considering five pieces of summary judgment evidence: Dr. Anderton’s report on his investigation of the allegations of professional misconduct against McIntosh, an internal e-mail reporting the poor condition of RSS residents’ teeth, Partridge’s letter to the state dental board reporting McIntosh’s alleged professional misconduct, the state dental board’s response to Partridge’s letter, and Dr. Scalzitti’s audit of the professional aspects of RSS’s dental clinic. McIntosh argues that the e-mail, the letters to and from the state dental board, and Dr. Scalzitti’s audit are not competent summary judgment evidence and were not properly authenticated. He also asserts that Dr. Anderton’s report does not comply with
At the summary judgment phase, affidavits must set out facts that would be admissible in evidence at trial.
McIntosh’s objection that Dr. Anderton’s report was not submitted in accordance with
McIntosh argues that Partridge violated his rights under the Due Process and Equal Protection Clauses of the Fourteenth Amendment by failing to provide him with a neutral аdministrative hearing as required by TDADS’s Employee Misconduct Registry Handbook (the Handbook) before he was suspended.
7
McIntosh purportedly brings these causes of action against Partridge in both his individual and official capacities. To the extent McIntosh’s claim is against Partridge in his individual capacity for damages under
Partridge contends that McIntosh is not covered by the Handbook, so he was not entitled to the administrative hearing that it requires. Alternatively, he argues that a violation of state procedures is insufficient to prove a violation of McIntosh’s federal constitutional right to due process and that McIntosh received all the process the Constitution requires. The district court held that McIntosh had a property interest in his job 10 but that he was not denied due process because the state’s interest in protecting the residents of RSS outweighed McIntosh’s economic interest in his job because the state’s actions were taken after the allegations were “thoroughly researched, cross-checked, and discussed with him.”
McIntosh’s assertion that his due process rights were violated because he was
To determine what process is constitutionally due, the Supreme Court has advised us to balance three factors: “First, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government’s interest .... ”
Mathews v. Eldridge,
In this case, McIntosh’s interest was in maintaining his job, and Texаs’s interest was in protecting the dental health of RSS’s mentally and physically disabled residents. McIntosh’s interest in his job is important, but since he was suspended with pay, his hardship was not as strong as that suffered by the suspended officer in Gilbert. The state’s interest here was at least as strong as the interest in preserving the integrity of the police force or the horse racing industry in Gilbert and Barry. Thus, the balance of the interests favors Texas.
The risk of erroneous deprivation was also significantly reduced because two dentists had already informed Partridge that McIntosh’s actions had harmed the dental health of residents at RSS before he was suspended. Additionally, RSS hired Dr. Anderton to perform an independent invеstigation into the allegations against McIntosh and allowed McIntosh to respond to the conclusions of the report before a decision was made to remove him from paid leave and terminate his employment. Furthermore, the hearing requested by McIntosh likely would not have significantly reduced the risk of erroneous deprivation any more than the procedures that were ultimately used.
11
So while this cross-checking may not have provided the
Given the applicable standard and the precаutions taken by Partridge and RSS, McIntosh’s placement on paid leave without a hearing did not violate his due process rights. Therefore, his claim fails on the merits. But even assuming that McIntosh has presented sufficient evidence to support a finding that his due process rights were violated, he still has not rebutted Partridge’s defense of qualified immunity because he has not shown that a reasonable person, in Partridge’s position, would have understood that he was violating McIntosh’s rights. Consequently, the district court properly granted summary judgment on McIntosh’s due process claim against Partridge in his individual capacity. Any such Section 1983 damages сlaim against Partridge in his official capacity is barred by the Eleventh Amendment. 12
IV. Did the District Court Err in Dismissing McIntosh’s Defamation Claim?
McIntosh next argues that the district court erred by dismissing his state law defamation claim because Partridge failed to prove absence of malice and to plead the affirmative defense of qualified privilege in his first responsive pleading. To the extent that McIntosh’s defamation claim was brought against Partridge in his individual capacity, Partridge asserted official immunity. 13
The record is unclear as to how McIntosh’s defamation claim was dismissed below. The docket sheet and a Conference Memorаndum dated August 4, 2006, both state that the district court dismissed McIntosh’s defamation claim on McIntosh’s own oral motion. McIntosh did not challenge this characterization of the disposition of his claim at any point below and only disputed this issue on appeal once it was brought to his counsel’s attention at oral argument. McIntosh’s failure to raise this issue below waives the issue on appeal, so it might ordinarily be a sufficient basis for affirming the district court’s dismissal of his defamation claim.
Kinash v. Callahan,
McIntosh correctly objects that Partridge failed to raise a qualified privilege defense in his first responsive pleading.
15
In Texas, qualified privilege is an affirmative defense,
Denton Publishing Co. v. Boyd,
Nevertheless, this court may affirm a district court’s granting of a motion to dismiss on a basis not relied upon by the district court, and Partridge properly raised the defense of official immunity in his answer.
Gulf Guar. Life Ins. Co. v. Conn. Gen. Life Ins. Co.,
Although the district court stated that it dismissed for failure to state a claim, it appears that it considered evidence outside the pleading because it concluded that Partridge acted without malice, contrary to McIntosh’s allegations. Since the district court went beyond the scope of the pleadings, we will review its dismissal as a grant of summary judgment.
Carpenters Local Union No. 1816 v. Pratt-Farnsworth, Inc.,
While “[w]e may affirm a summary judgment on any ground supported by the record,”
Holtzclaw v. DSC Communications Corp.,
Under Texas law, “[a] plaintiff attempting to controvert the employee’s summary-judgment evidence on good faith must show that no reasonable person in the employee’s position could have thought that the facts justified the employee’s actions.”
Cloud v. McKinney,
The evidence on official immunity, as well as that on qualified immunity (and on qualified privilege) appears to be fully developed. McIntosh has at no time suggested other evidence that he had and would have tendered below (or sought discovery respecting) had official immunity, and not simply qualified immunity, been raised as a ground for summary judgment (or had qualified privilege been properly raised). The record evidence shows as a matter of law that Partridge was entitled to official immunity with respect to his statements to the state dental board (and that those statements were made without malice) and there is no evidence to support a contrary finding. We affirm the dismissal of McIntosh’s defamation claim.
V. Motion to Supplement Record
Finally, McIntosh asserts that he should have been permitted to supplement the record with a copy of a May 2002 letter prepared by Partridge recommending McIntosh for a position as an officer in the U.S. Naval Reserve that was never tendered to the district court. Appellees opposed the motion and it was denied initially by the Clerk under 5th Cir. Local Rule 27.1.11 and again by the order of a single circuit judge on September 17, 2007.
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As a general rule, this court “will not enlarge the record on appeal with evidence not before the district court.”
Trinity Indus., Inc. v. Martin,
CONCLUSION
For the foregoing reasons, the judgment of the district court is VACATED with respect to McIntosh’s USERRA claim and that claim is hereby DISMISSED FOR WANT OF JURISDICTION; the district court’s judgment in all other respects is AFFIRMED.
Notes
. The suit was originally filed in the United States District Court for the Southern District of Texas, Galveston Division, where it was assigned Civil Action No. G-05-0683. On June 6, 2006, it was transferred sua sponte by the district judge to the Houston Division where it was given Cause No. H-06-1968 and assigned to a different district judge.
. While the briefing was unclear on this point, at oral argument, McIntosh conceded that he was not pursuing a USERRA claim against Partridge in his individual capacity.
. McIntosh argues that the district court properly exercised jurisdiction because the TDADS is a political subdivision of the State of Texas, so it should be treated the same as a private employer. This argument is incorrect. Under Texas law, agencies of the state are entitled to claim sovereign immunity.
Tex. Dep’t of Health v. Hejl,
. McIntosh cites various pieсes of legislative history to support his argument that Congress intended to waive state sovereign immunity, but none of the passages clearly show congressional intent to allow states to be sued in federal court. An equally plausible reading of the cited passages is that Congress was attempting to amend USERRA in the wake of
Seminole Tribe of Florida v. Florida,
. Since we hold that
. McIntosh also argues that these documents were not properly authenticated as certified domestic records of regularly conducted activity.
. McIntosh claims that he was denied his right to a hearing at two points: before he was suspended with pay on November 1, 2005 and before he was terminated on September 8, 2006. A review of the record, however, indicates that Partridge was only responsible for the decision to suspend McIntosh with pay. There is no evidence in the record that Partridge made the decision to terminate McIntosh. That decision was made by Barrera (not a party here). Since McIntosh only asserts claims against Partridge, we only examine whether his decision to suspend McIntosh with pay beforе granting him a hearing violated the Due Process Clause.
. Once qualified immunity is invoked, it becomes the plaintiff’s burden to rebut it.
McClendon v. City of Columbia,
. McIntosh also seeks injunctive relief to return him to the position he would have been in but for the due process violation he claims. This request is premature as his grievance before the Health and Human Services Commission (not a party here) regarding his termination is currently held in abeyance, with his consent, pending the outcome of this litigation. Furthermore, McIntosh has presented no evidence that Partridge has the authority to provide him with the relief he seeks by injunction.
, Partridge does not dispute that McIntosh had a property interest in his employment, but he disputes that McIntosh’s interest was extinguished when he was placed on paid leave.
. It is also worth noting that when Barrera offered McIntosh an opportunity to respond to Dr. Anderton's report, McIntosh attempted to have the hearing enjoined by the district court.
. In his brief, McIntosh occasionally mentions an “equal protection’’ claim in conjunction with his due process claim, but this claim is inadequately briefed and is hence waived.
See Nichols v. Enterasys Networks, Inc.,
. The Eleventh Amendment bars McIntosh from asserting his state law defamation claim against Partridge in his official capacity in federal court.
See Pennhurst State Sch. & Hosp. v. Halderman,
. The opinion recites in this connection that “As McIntosh’s employer, the agency had a qualified privilege to make the statements to the state’s dental examiners and made them without malice." (emphasis added).
. In his "Motion to Dismiss and ... Original Answer and Affirmative Defenses”, Partridge asserted qualified immunity as a defense to the federal causes of action against him and he also asserted "official immunity” as to the Texas law claims against him, but he did not assert qualified privilege, which is a Texas common law defense to defamation.
. If the facts show a relationship giving rise to the qualified privilege, the plaintiff has the burden of proof to show that the statement was made with actual malice, thus defeating the privilege.
See, e.g., Duffy v. Leading Edge Products,
. McIntosh timely requested, and is entitled under 5th Cir. R. 27.2, to three-judge panel review, which we hereby provide.