The opinion of the court was delivered by
This case is filed in the United States District Court for the District of Kansas and comes to this court by certification under the Uniform Certification of Questions of Law Act, K.S.A. 60-3201
et seq.
Judge Kathryn H. Vratil certified to this court the following question:
Highly summarized from the facts given by the certifying court, the facts are as follows:
Plaintiff Emma Tovаr began working for defendant IBP, Inc., in 1975. Plaintiff Amoldo Ortega began working for IBP in 1988. Both plaintiffs were employees-at-will. Both were injured on the job, Tovar in April 1989- and Ortega in May 1990. Tovar filed a workers compensation claim in August 1989 and Ortega filed a workers compensation claim in November 1990. Both plaintiffs were in the care of a physician and both complained of continued pain.
IBP placed Tovar on light duty and in a position within her physical capabilities after she suffered a back injury, but she eventually obtained temporary total disability benefits and was off work completely. She returned to work but then received a series of medical excuses for four- to six-week periods and was again off work completely. In April 1991, Tovar’s physician gave her a six-month off-work slip. IBP questioned why Tovar had been and would be off work for so long, and eventually Tovar’s physician released her on May 31, 1991, for part-time work. IBP informed Tovar’s attorney that she was to report to work on June 17, 1991, but this date was later changed to July 1, 1991. Tovar was aware that she was to begin work on that date, but she failed to report to work on that date. There is some dispute as to whether she ever reported for work after July 1, 1991. IBP ultimately gave Tovar another deadline by which to return to work, August 16, 1991, which was in turn extended to August 19, 1991. When To-var failed to report on that date, IBP terminated her employment. IBP contends the termination was due to “job abandonment.”
After an injury to his shoulder, Ortega was placed in a restricted-duty job where he would only use one arm. He later un
The plaintiffs have included a substantial statement of facts in their brief, providing facts not indicated in the certifying court’s statement of facts. The plaintiffs also challenge the propriety of an evidentiaiy ruling made by the certifying court. The defendant filed a motion to strike the facts portion of the plaintiffs’ brief. The motion was denied subject to further consideration at oral argument and final submission. Because the question before this court, involves a question of law not related to the facts of one particular case, the plaintiffs’ statement of facts is not relevant to the áppeal. The propriety of the certifying court’s findings of fact and еvidentiaiy rulings is not before this court. If either party wishés to add facts to those the certifying federal court furnishes this 'court, any changes must be made in the federal court. The same rule applies to evidentiary rulings made by the federal court.
This court permitted amicus curiae briefs to be filed by the Kansas Trial Lawyers Association and the Kansas Association of Defense Counsel.
In
Murphy v. City of Topeka,
“The Workmen’s Compensation Act provides efficient remedies and protection for employees, and is designed to promote the welfare of the people in this state. It is the exclusive remedy afforded the injured employee, regardless of the nature of the employer’s negligence. To allow an employer to coerce employees in the free exercise of their rights under the act would substantially subvert the purpose of the act.”6 Kan. App. 2d at 495-96 .
Since
Murphy,
the tort of retaliatory discharge has been expanded beyond discharge in retaliation for filing a workers compensation claim. In
Coleman v. Safeway Stores, Inc.,
242. Kan. 804, Syl. ¶ 3,
The same day the decision in
Coleman
was filed, this court recognized the tort of retaliatory discharge for “whistle-blowing.”
Palmer v. Brown,
The Court of Appeals recognized the cause of action where an employee was discharged when the employer believed she was the source of an uncomplimentary newspaper article.
Pilcher,
In
Brown
u.
United Methodist Homes for the Aged,
“suits of a tort nature for retaliatory discharge based on the theory that dismissal of employees for reasons, violative of a particular publiс policy are actionable.Conduct of an employer violative of public policy and giving rise to a cause of action has been recognized when an employee is discharged in retaliation for opposing an illegal or unethical activity of the employer, in retaliation for filing workers compensation claims, in retaliation for exercising rights under labor-management relations statutes, as a penalty for refusing to take a polygraph exam, as a penalty for taking time to serve on jury duty, and for various other violations of public policy interests. [Citation omitted.]”
This court also recognized an exception to thе employment-at-will doctrine based upon an implied contract theory. In Brown, the plaintiff had alleged that he was discharged both in retaliation for filing a workers compensation claim and in violation of an implied contract.
The Court of Appeals took the tort of retaliatory ’discharge yet a step further in
Marinhagen v. Boster, Inc.,
“When a married couple both work for the same employer, and one exercises his or her rights under the Workers Compensation Act following an on-the-job injury, the employer may not retaliate against the non-injured spouse by terminating him or her from employment any more than the employer can retaliate against the injured spousе. To allow such would frustrate the purpose of our opinion in Murphy v. City of Topeka,6 Kan. App. 2d 488 ,630 P.2d 186 (1981), to protect employees by allowing them to freely exercise their rights under the Act.”
Thus, it is clear that this state has recognized exceptions to the doctrine of employment-at-will when an employee is discharged in contravention of public policy. The question before this court is this: What is the standard of proof required to prevail in an action for retaliatory discharge?
Generally, the standard of proof in a civil action in Kansas is proof by a “preponderance of the evidence.”
Cf. In re Estate of Stratmann,
In
Palmer,
“To maintain an action in tort for retaliatory discharge for ‘whistle-blowing’, an employee has the burden of рroving by clear and convincing evidence, under the facts of the case, a reasonably prudent person would have concluded the employee’s co-worker or employer was engaged in activities in violation of rules, regulations, or the law pertaining to public health, safety, and the general welfare; the employer had knowledge of the employee’s reporting of such violation prior to discharge of the employee; and the employee was discharged in retaliation for making the report. However, the whistle-blowing must have been done out of a good faith concern over the wrongful activity reported rather than from a corrupt motive such as malice, spite, jealousy or personal gain.”242 Kan. 893 , Syl-. ¶ 3.
At least one federal district court in Kansas has applied this court’s statement in
Palmer
of a clear and convincing evidence standard for whistle-blowing cases to actions for wrongful discharge in retaliation for filing a workers compensation claim. In
Further, the Court of Appeals in
Pilcher,
There are two questions necessary to the resolution of the certified question in this case. First, does the same standard of proof apply in both whistle-blowing retaliation cases and workers compensation retaliation cases? Second, if the same standard of proof does apply, what is that standard?
The plaintiffs contend that whistle-blowing retaliation implicates different concerns than workers compensation retaliation. They argue that in whistle-blowing cases the employee has taken some kind of affirmative action in choosing to report a co-employee’s or an employer’s violations, whereas an employee filing a workers compensation claim has not taken affirmative actiоn because he or she is merely seeking compensation for a work-related injury not his or her fault.
The defendant responds that, like the whistle-blower, an employee who files a workers compensation claim has also taken affirmative action in deciding to file the claim. The defendant also notes that the rationale for both whistle-blowing retaliatory discharge actions and workers compensation retaliatory discharge
Both whistle-blowing and workers compensation retaliatory discharge actions are exceptions to the very well-established doctrine of employment-at-will. Both are tort actions for the same type of conduct of the employer: firing an employee in retaliation for something the employee has done. It is true that a workers compensation retaliation case stems ultimately from an employee’s on-the-job injury which is normally not the employee’s fault. But a whistle-blower also has no control over the fact that his employer or a co-worker has engaged in illegal or other unacceptable practices. Further, although the employee’s claim for workers compensation benefits seems to more directly benefit only the employee, whereas the whistle-blower is taking action to benefit a greater part of the community, the Court of Appeals in
Murphy,
The tort of wrongful discharge in retaliation for filing a workers compensation claim is based on the same public policy as the whistle-blowing retaliatory discharge tort. In recognizing the whistle-blowing retaliatory discharge tort in Palmer, this court was merely extending the public policy of Murphy to other situations. Both еxceptions to the employment-at-will doctrine developed to control the actions of employers which violate public policy. An employer violates public policy when it fires an employee for whistle-blowing or for filing a workers compensation claim. We find no justification for applying different standards of proof in whistle-blowing and workers compensation retaliatory discharge cases. The basis of both workers compensation retaliation cases and whistle-blowing retaliation cases is the employer’s bad motive in discharging the employee. Both types of retaliatory discharge actions should require the same standard of proof.
The next question, then, is what standard of proof is required?
As discussed above, this court in
Palmer,
The plaintiffs and the Kansas Trial Lawyers Association (KTLA), on the other hand, urge this court to apply a mere preponderance of evidence standard. The KTLA notes that the standard of proof was not at issue in Palmer, and it urges this court to consider the statement that clear and convincing evidence is required аs dicta.
The Palmer court engaged in no discussion about why a clear and convincing standard of proof, rather than the typical preponderance of the evidence standard, was utilized!
The plaintiffs note that retaliatory discharge cases require plaintiffs to prove their cases by circumstantial evidence because the employer seldom admits to a retaliatory motive in discharging an employee. They contend that a higher standard of proof is inconsistent with proving claims by circumstantial evidence. Requiring clear and convincing evidence will erode an employee’s right to sue for retaliatory discharge, and the tort of retaliatory discharge is narrow enough without requiring a higher standard of proof. The plaintiffs insist that there are no good reasons for requiring a higher standard.
The plaintiffs stress that a higher burden becomes especially difficult when employees are not permitted to present evidence that a particular employer had a pattern of discharging employees in retaliation. They state, “In the instant case, the district court has barred any pattern and practice evidence” and they cite numerous cases which hold that evidence of an employer’s pattern of retaliatory conduct is admissible. We emphasize again that the certifying court’s evidentiary rulings are not before this court. Evidentiary rulings are made on a case-by-case basis. Where, as here, this court is setting forth a rule of law to be followed in all cases of retaliatory discharge, consideration of the evidentiary rulings in one such case is inappropriate.
The KTLA joins the plaintiffs in urging a preponderance of the evidence standard. It encourages this court to adopt a standard of proof consistent with that in discrimination cases. It also notes
The defendant suggests that a clear and convincing evidence standard is not too difficult. It stresses that “clear and convincing evidence” is a quality of evidence, not a quantity of evidence. It also notes that a standard of clear and convincing evidence does not preclude proof by circumstantial evidence. The defendant urges this court to balance “the interest of the employee and the interest of the employer who is at risk of being sued by every employee who has been terminated and coincidentally has filed a workers’ compensation claim.” It emphasizes the strong status of the employment-at-will doctrine in Kansas. Because retaliatory discharge is based on the employer’s intent and not on the employer’s negligence, it should require a higher standard of proof.
The defendant also suggests that because the plaintiffs here seek punitive damages in addition to compensatory damages, and because punitive damages require proof by clear and convincing evidence, the plaintiffs have somehow accepted the burden of proving retaliatory discharge by cleаr and convincing evidence. This suggestion is entirely untenable.
The KADC joins the defendant in urging this court to adopt the standard of clear and convincing evidence. The KADC, like defendant, claims that an easy standard of proof will amount to a guarantee of employment for injured workers. It also posits that utilization of the clear and convincing standard in other cases has produced good results.
The plaintiffs and defendant also engage in an exhausting discussion and comparison of the treatment of retaliatory discharge actions in other states and the standard of proof other jurisdictions require in such cases.
The plaintiffs cite cases from Illinois and Indiаna, two jurisdictions relied upon by the
Murphy
court in recognizing for the first time the tort of retaliatory discharge in Kansas. Both of these
Further, the plaintiffs point out that the New Mexico Supreme Court in 1989 stepped back from its earlier holding that retaliatory discharge must be proven by clear and convincing evidence and changed the standard to a preponderance of the evidence.
Chavez v. Manville Products Corp.,
Both the plaintiffs and the defendant spend a substantial portion of their briefs discussing the language other jurisdictions employ in describing what must be proven to succeed in a retaliatory discharge action. They cite various jurisdictions which have held that retaliation must be the “sole” reason for discharge, that re
The plaintiffs include in their brief an appendix listing states which recognize retaliatory discharge actions and what standard of proof each state requires or whether it follows the burden-shifting analysis set forth by the United States Supreme Court for Title VII discrimination cases in
McDonnell Douglas Corp. v. Green,
We find the plethora of cases cited by both parties to be of limited assistance. What the cases and the discussion by the parties make clear is that each state treats retaliatory discharge actions in its own way. Those jurisdictions which recognize the tort of retaliatoiy discharge each employ different language in describing the methods or standard by which the аction must be proven.
An analysis of retaliatory discharge actions in other jurisdictions only reinforces that this court should decide the question before it based on Kansas law and not on the law of any other juris
In Kansas, retaliatory discharge actions must establish that the discharge was “based on” the employee’s exercise of some right.
Brown v. United Methodist Homes for the Aged,
Kansas has adopted the
McDonnell Douglas
burden-shifting analysis for employment discrimination actions.
Woods v. Midwest Conveyor Co.,
“is on the complainant to prove by a preponderance of the evidence that the respondent is guilty of a discriminatory practice. Initially, the complainant must present a prima facie case of discrimination. Then tire burden of going forward with the evidence shifts to respondent and this burden may be discharged by evidence of a legitimate, nondiscriminatoiy reason for respondent’s conduct. Once the respondent discharges this obligation, the complainant must continue with the burden of proving by a preponderance of the evidence that the reasons offered by respondent were merely a pretext for discrimination.”231 Kan. 763 , Syl. ¶ 2.
See
Beech Aircraft Corp. v. Kansas Human Rights Comm’n,
A somewhat modified burden-shifting analysis is also applied in cases where a public employee is terminated after having exercised his or her right to free speech protected by the First Amendment.
Larson v. Ruskowitz,
Answering the certified question requires this court to balance the tradition and status of the employment-at-will doctrine with the public policy protecting employees-at-will from employer retaliation. The appellate courts of this state in recognizing retaliatory discharge actions have already decided that the balance works in favor of the employee to an extent. The question, however, is to what extent.
The defendant maintains that requiring a standard of clear and convincing evidence for a retaliatory discharge case places no greater burden on a plaintiff than would a preponderance of the evidence standard. It notes that clear and convincing evidence may be established by circumstantial evidence. The defendant cites
Turon State Bank v. Estate of Erampton,
“Preponderance of evidence” is defined as “evidence which is оf greater weight or more convincing than the evidence which is
The United States Supreme Court has noted that “clear and convincing evidence” is an intermediate standard of proof.
Santosky v. Kramer,
Over the years, this court has discussed clear and convincing evidence in the context of many issues and causes of action, and some confusion exists as to how a jury should be instructed. We hold that clear and convincing evidence is not a quantum of proof but, rather, a quality of proof. A party having the burden of proving a discharge from employment in retaliation for having filed a workers compensation claim must establish that claim by a preponderance of the evidence, but the evidence must be clear and convincing in nature. It is clear if it is certain, unambiguous, and plain to the understanding. It is convincing if it is reasonable and persuasive enough to cause the trier of facts to believe it.
Chandler v. Central Oil Corp.,
