Paul LAWRENCE, Appellant, v. Vernon D. ACREE, et al.
No. 79-2532.
United States Court of Appeals, District of Columbia Circuit.
Argued Feb. 2, 1981. Decided Sept. 28, 1981.
665 F.2d 1319
IV. DISPOSITION
For the reasons set forth, the factual findings of the District Court are affirmed. The injunction entered against Zimmerman by the court is modified to eliminate from the first ordering paragraph the words “and to engage in any act, practice or course of business which operates or would operate as a fraud or deceit upon any person.” As so modified, the injunctive order is affirmed.
So ordered.
Keith Poole, Atlanta, Ga., for appellant, Robert M. Tobias, Gen. Counsel, and William E. Persina, Associate Gen. Counsel, National Treasury Employees Union, Washington, D. C., were on the brief, for appellant.
John Aisenbrey, Asst. U. S. Atty., Washington, D. C., with whom Charles F. C. Ruff, U. S. Atty., John A. Terry, John R. Fisher and R. Craig Lawrence, Asst. U. S. Attys., Washington, D. C., were on the brief, for appellees.
Before MacKINNON and WALD, Circuit Judges, and GREENE,* United States District Judge for the District of Columbia.
Opinion PER CURIAM.
Opinion concurring in the result filed by Circuit Judge WALD.
PER CURIAM:
Paul Lawrence, a former Regional Commissioner of the United States Customs Service, appeals the dismissal of his
cause Plaintiff to retire from, resign, or otherwise relinquish his position as Regional Commissioner, so that Defendants, in particular Defendant [Commissioner] Acree, could fill said position with an individual of their own choosing. [Joint Appendix (App.) at 7]
The alleged conspiracy did not succeed in its object of forcing Lawrence to resign, but he alleges it did cause him “humiliation, contempt, mental anguish, and emotional and physical distress.” App. at 10. The district court dismissed the complaint on the ground that the only overt act occurring within the statutory limitation period, an
I. BACKGROUND
The complaint alleges that a conspiracy to oust Lawrence from his position as Regional Commissioner began with the appointment of Commissioner Acree in 1973 and lasted until Lawrence‘s voluntary retirement in December 1976. According to the complaint and supplemental exhibits, the defendants committed a number of overt acts in furtherance of the alleged conspiracy. These allegations are set forth in the margin.1
Lawrence resigned in December 1976 but the present complaint was not filed until September 22, 1978. The district court held that the overt acts Lawrence alleged could state a claim upon which relief could be granted under
Even if defendants’ actions could otherwise give rise to a claim under Section 1985(1), the Court declines to supplement the express remedy supplied by the Performance Rating Act,
5 U.S.C. §§ 4301 et seq. for correction of allegedly inaccurate or unfair personnel evaluations. Accordingly, this action must be dismissed for failure to state a claim upon which relief can be granted.
App. at 75. The court found it unnecessary to consider defendants’ defense of official immunity, although both sides had briefed the issue. Id.
II. ANALYSIS
Although we conclude, with the district court, that Lawrence‘s action should be dismissed, we are reluctant to affirm the dismissal on the basis of the “exclusive remedy” rationale stated by the court, or to adopt some of defendants’ alternative rationales. We are persuaded, however, by defendants’ argument that the only act for which they may be responsible in damages is their preparation and distribution of the performance evaluation, and that as to this act the defendants are absolutely immune from liability.
A. Applicability of § 1985
The district court relied on Stern v. United States Gypsum, 547 F.2d 1329 (7th Cir.), cert. denied, 434 U.S. 975 (1977), to reason that section 1985(1) may be extended to actions by a federal employee against his supervisors. Accord, Stith v. Barnwell, 447 F.Supp. 970 (M.D.N.C.1978) (dictum). Defendants question that proposition, appellees’ brief at 12 n.8, and we find it unnecessary either to affirm or reject in light of our disposition of the case. We shall assume arguendo, however, that under the fact alleged a section 1985(1) action would ordinarily lie.
B. The Performance Rating as Providing the Exclusive Remedy
Lawrence argues that dismissal of his section 1985(1) complaint cannot be based on the exclusivity of a Performance Rating Act remedy, which permitted agency employees to appeal performance ratings (including ratings of “satisfactory“) and authorizes the reviewing board to “make such change as it considers proper.”
Whether the availability of the remedies under the Performance Rating Act grafts an exhaustion requirement onto any section 1985(1) action based on a performance evaluation is another question.5 Defendants do not rely on any failure to exhaust, however, and Lawrence arguably fulfilled the purpose of an exhaustion requirement when he protested the below average marks he received in Part I of his evaluation, for defendant Dickerson soon thereafter declared Part I of the evaluation invalid. See App. at 78. Lawrence thus achieved through his informal grievance what he might have achieved through a formal appeal under the Performance Rating Act.
C. Defendants’ “Actionable Tort” Theory and the Statute of Limitations
While not relying on the district court‘s exclusive remedy rationale, defendants interpret the court‘s opinion to mean that Lawrence‘s action was “time-barred because the sole overt act alleged to have occurred within the limitations period, the satisfactory evaluation, could not support an action for civil conspiracy.” Appellee‘s Brief at 7. Defendants explain that “[t]o include such an evaluation as an operative part of the alleged conspiracy, it is necessary to find that the performance rating was a tortious act which injured appellant.” Id. at 10. Because Lawrence‘s “satisfactory” job performance rating was not libellous, defendants continue, “the evaluation cannot be an operative part of a civil conspiracy because it is not a tortious act.” Id. at 13.6
We think that in this respect defendants misapprehend the law of civil conspiracy. Lawrence has alleged that defendants gave him a substandard performance evaluation in furtherance of a conspiracy proscribed by section 1985(1), “and it is well settled that acts that are in themselves legal lose that character when they become constituent elements of an unlawful
We agree with defendants’ understanding, however, that (absent special circumstances not present here, such as fraudulent concealment of the conspiracy) the statute of limitations in a civil damages action for conspiracy runs separately from each overt act that is alleged to cause damage to the plaintiff.7 The three year statute of limitations applicable here thus confines our focus, for purposes of considering damages, to the August 1976 performance evaluation.8 This determination alone justifies dismissal of the complaint as to defendants Magee and O‘Brien, but not as to Dickerson and Acree who are alleged to have participated in the 1976 performance evaluation. There is no allegation that Magee or O‘Brien furthered the conspiracy against Lawrence at any time since 1974. See Gual Morales v. Hernandez Vega, 579 F.2d 677, 681 (1st Cir. 1978) (“plaintiff must allege ... that each defendant to be charged committed an action constituting a civil rights violation in furtherance of the conspiracy within the limitation period“).
D. Official Immunity of Executive Officials Reporting Performance Evaluations of Employees
Since we are not satisfied that the district court can be affirmed on the theory of an exclusive Performance Rating Act remedy or a theory of “no actionable tort,” we now consider the official immunity defense which was raised but which the district court found unnecessary to address. The issue is whether federal common law confers on defendants Acree and Dickerson an absolute immunity from suit for allegedly subjecting Lawrence for purely personal reasons to a performance evaluation aimed at causing him to remove himself from office. In the absence of such immunity we must remand for further proceedings.
(1) Barr v. Matteo
Defendants rely here, as they did below, on the holding of Barr v. Matteo, 360 U.S. 564, 79 S.Ct. 1335, 3 L.Ed.2d 1434 (1959) that a false and damaging publication within the outer perimeter of a federal official‘s scope of duty was an exercise of discretion which was not itself actionable and would not become so even if it be assumed that it was issued maliciously.
A threshold issue presented, then, is whether defendants, in preparing Lawrence‘s job evaluation, were acting within the scope of their duty. Lawrence contends that “[d]efendants’ only discretion in a case such as this is to counsel and evaluate an employee on performance problems with the intent of improving his performance; and to take in good faith such adverse actions as will promote the efficiency of the service.” Appellant‘s reply brief at 7. Lawrence proceeds from that premise to argue that defendants are fully subject to suit, notwithstanding any immunity they might otherwise have, because he alleges they exceeded the bounds of their authority when the performance rating was issued with the improper motive of coercing his resignation. The flaw in Lawrence‘s premise--a too constricted view of an offi
it can be argued that official powers, since they exist only for the public good, never cover occasions where the public good is not their aim, and hence that to exercise a power dishonestly is necessarily to overstep its bounds. A moment‘s reflection shows, however, that that cannot be the meaning of the limitation without defeating the whole doctrine. What is meant by saying that the officer must be acting within his power cannot be more than that the occasion must be such as would have justified the act, if he had been using his power for any of the purposes on whose account it was vested in him.
360 U.S. at 572, 79 S.Ct. at 1340 (quoting Gregoire v. Biddle, 177 F.2d 579, 581 (2d Cir. 1932)). That is, the defendants contend, so long as their actions were, on their face, performed within the scope of the defendants’ duties, the fact that they were alleged to have been performed with an unlawful intent does not deprive them of a claim to immunity. The statute in effect when defendants acted required agencies to use performance ratings to evaluate employee work performance,
(2) Absolute or Qualified Immunity
A second and more substantial point of contention concerning defendants’ official immunity is whether it is to be absolute or qualified. Absolute immunity defeats a damage suit once it appears the defendant‘s actions were within his line of duty, while qualified immunity defeats the suit only if the defendant shows his actions were taken in good faith, i.e., with a reasonable belief that they were lawful. Imbler v. Pachtman, 424 U.S. 409, 419 n.13, 96 S.Ct. 984, 989 n.13, 47 L.Ed.2d 128 (1976). Although the act complained of here falls well within a broad reading of the holding in Barr v. Matteo, supra, Lawrence argues that Barr‘s absolute immunity rule should not apply because (1) he is relying on an express statutory remedy (§ 1985(1)), and not simply on a common law tort, as did the plaintiff in Barr; and (2) he also allegedly has a constitutional claim, to which he contends defendants can have only a qualified immunity, under Butz v. Economou, 438 U.S. 478, 98 S.Ct. 2894, 57 L.Ed.2d 895 (1978).
We address the second contention first.
(a)
Lawrence‘s constitutional claim is that defendants’ performance evaluation deprived him of property or liberty without due process of law. Appellant‘s reply brief at 13 n.6.10 The complaint reveals no basis for this claim. The only property interest present in this context stemmed from an expectation of continued federal employment absent just cause for adverse action (Lawrence being in the competitive service). Yet Lawrence concedes he quit voluntarily. There is thus no nexus between the act complained of and any deprivation of a property interest. The only liberty interest present in this context was that in averting stigmatizing governmental action in the course of termination of employment. Here, with Part I of Lawrence‘s evaluation declared invalid and with only the overall “satisfactory” rating of Part II remaining intact it can be doubted that Lawrence has incurred any stigma at all. Even more fundamental, perhaps, is the point that
(b)
This brings us to Lawrence‘s emphasis on the statutory nature of his claim. Defendants argue that they were entitled to repulse any nonconstitutional claim by invoking the absolute immunity announced in Barr v. Matteo, while Lawrence argues that Barr is distinguishable because it involved only one form of nonconstitutional claim--a common law tort action. Lawrence stresses that Barr did not involve what is present here--a congressionally created cause of action.
(3) Butz v. Economou
Both sides rely on Butz v. Economou, supra. In Butz the Supreme Court declined to extend Barr‘s absolute immunity rule to cover federal officials sued in their personal capacities for constitutional torts committed within the scope of their duties. The Court held that such officials were generally entitled only to qualified immunity. 438 U.S. at 507, 98 S.Ct. at 2911. The Court‘s language may be read to limit this departure from Barr to claims based on the Constitution, see e.g., id. at 495 n.22, 507, 98 S.Ct. at 2905 n.22, 2911, but the Court also said:
It is apparent ... that a quite different question would have presented [in Barr] had the officer ignored an express statutory or constitutional limitation on his authority.
Id. at 489, 98 S.Ct. at 2902 (emphasis added). Assuming, without deciding, that Lawrence is able to distinguish Barr v. Matteo simply because his claims rests on a federal statutory tort (as opposed to a state common law tort),11 we nevertheless conclude that defendants under the circumstances here alleged are entitled to absolute immunity.
We reach that conclusion under the analysis provided in Butz, supra, in which the Court stated that, a general rule of qualified immunity was subject to those exceptional situations where it is demonstrated that absolute immunity is, “essential to the conduct of public business.” 438 U.S. at 507, 98 S.Ct. at 2911. The Court went on to hold absolutely immune those defendants in the Executive Branch--the Chief Hearing Examiner, Judicial Officer and prosecuting attorney, id., at 508-517, 98 S.Ct. at 2911-2916--who were performing prosecutorial and adjudicative functions within the agency in recognition of the rule that “some [executive] officials [with] special functions require a full exemption from liability. (Citing cases).” Id., at 508, 98 S.Ct. at 2911. Before applying the Butz test, we reject at the outset any notion that section 1985(1) precludes any official immunity defense. Section 1985, like
To determine whether absolute immunity exists in any given situation we must focus on the particular conduct and circumstances that gave rise to the claim of liability. See Tigue v. Swaim, 585 F.2d 909, 914 (8th Cir. 1978). Here Lawrence‘s sole claim surviving the statute of limitations is his claim for damages resulting from defendants’ performance evaluation. The strong governmental interest in having a frank and honest assessment of federal employee work performance is absolutely essential to the proper rendering of federal services to our citizens. A supervisor‘s candid evaluation promotes efficient government by enabling an agency to identify and reward truly outstanding performance and to identify and correct, and on occasion dispense with, performance that is unsatisfactory. The judgment might be distorted if their immunity from damages arising from that decision was less than complete. Cf. 438 U.S. at 515, 98 S.Ct. at 2915. Requiring a supervisor to demonstrate his good faith whenever he is personally sued in damages for a displeasing performance appraisal would greatly discourage all but the most resolute supervisors from hazarding a conclusion that their subordinates’ work was substandard.
The significance of this interest in insulating the exercise of supervisory judgment from non-job related concerns would be significantly less if the absence of a damage suit left an employee in Lawrence‘s position without any recourse against malicious and erroneous evaluation. But Lawrence had alternative remedies and he exercised them--as did Economou, 438 U.S. 516, 98 S.Ct. at 2915. His informal grievance was followed by a withdrawal of the most offensive part of his evaluation, and Performance Rating Act provisions then in effect permitted him to appeal even his overall rating of “satisfactory.” See p. 1322 supra.
CONCLUSION
In light of these considerations Lawrence‘s individual interest in a damage remedy for what is at most a nonconstitutional tort12 is not compelling. Since we believe it absolutely essential to the proper functioning of the government in the interests of the public that departmental officials must be able to evaluate the performance of employees free from intimidation or harassment, we conclude that under the particular circumstances alleged the defendants have absolute immunity from suit. The dismissal by the district court is therefore affirmed.
Judgment accordingly.
WALD, Circuit Judge, concurring:
I agree that the complaint in this case should be dismissed, but I do not agree that the proper ground for dismissal is absolute immunity for executive officials whenever they evaluate the performance of their subordinates. We need not, and should not, address the immunity question in this case, as plaintiff has not stated a valid cause of action under
The language of § 1985(1) nowhere suggests that it applies to a federal employee seeking damages from his supervisors who attempt to remove him simply because they dislike him or find his on-the-job performance substandard. Section 1985 is a systemic device, designed to protect against class-based discrimination,3 or conspiracies seeking to impede the operations of government by interfering with an official in the discharge of his official duties.4 It is not concerned with the very different, but ever-present problem of assuring that federal supervisors evaluate their subordinates objectively and fairly. Congress has provided an elaborate array of provisions designed to protect federal employees asserting individual interests only. See, e.g.,
I recognize that § 1985(1) should not be so restricted that it applies only in those precise situations contemplated in 1871 by its framers. In Stern v. United States Gypsum, Inc., 547 F.2d 1329 (7th Cir.), cert. denied, 434 U.S. 975 (1977) (hereinafter Stern), the court extensively reviewed the legislative history of this provision and noted that the Ku Klux Klan Act of 1871--of which § 1985(1) was a part--was enacted by “a Congress acutely aware of the massive and frequently violent resistance in the southern states to federal Reconstruction after the Civil War.” Id. at 1334. But the Stern court‘s analysis of the various federal civil
This analysis does not exempt federal officials from liability as defendants in actions brought by their subordinates under § 1985(1). See, Stith v. Barnwell, 447 F.Supp. 970 (M.D.N.C.1978) (dictum that federal officers may be defendants in § 1985(1) action); Alverez v. Wilson, 431 F.Supp. 136, 142 (M.D.Ill.1977) (“the text, context, and history of the statute, though not totally free from doubt, lead to the conclusion that federal officials may be sued under § 1985(1) ... if the complaint alleges racial discrimination“). While there is no basis to exclude federal officials from liability under § 1985(1) for conspiracies involving racial animus, or some other kind of invidious discrimination akin to racial bias, such as discrimination based upon religion or national origin, or for conspiracies to interfere with the operations of government by impeding another official in the discharge of his duties, no court has ever extended § 1985(1) so far as to provide a cause of action for every federal employee dissatisfied with his evaluation and convinced that his supervisors are trying unfairly to get rid of him.5 Absent a clearer indication of Congressional intent to provide a cause of action directly against federal supervisors under such circumstances, I would not stretch an 1871 Ku Klux Klan statute to find such intent.6
I find the majority opinion dangerously precipitous in holding that all federal officials performing evaluations must be absolutely immune from suit by their subordinates because such immunity is allegedly essential to the proper functioning of the government. Maj. Op. at 1327. This court has been given no factual or testimonial basis concerning why government supervisors of all kinds require absolute immunity for their evaluations in all circumstances; the trial judge did not even attempt to resolve this difficult question. Before finding that such immunity is “essential to the conduct of public business,” Butz v. Economou, 438 U.S. 478, 507, 98 S.Ct. 2894, 2911, 57 L.Ed.2d 895 (1978), this court should have a more complete record regarding the effects of such a rule and the necessity for it in these and other circumstances. In my judgment this barren record represents a completely inappropriate vehicle for announcing a major precedent concerning immunity for federal officials.
In addition, holding that absolute immunity is required in this case seems to me inherently inconsistent with the notion, accepted arguendo by the majority, that Congress provided this plaintiff with a § 1985(1) action in the first place. The majority cannot logically assume that a section 1985(1) action would ordinarily lie,7 and at the same time find an implicit absolute immunity from such action. To assume the existence of a § 1985(1) remedy in this case is to deny the existence of absolute immunity. As Judge Leventhal has written, “it is patently inconsistent with [the] federal [statute] to apply a federal common law rule of absolute immunity for executive officials subjected to suit by the statute.” Expeditions Unlimited v. Smithsonian Institution, 566 F.2d 289, 293 (D.C.Cir.1977) (en banc) (discussing why absolute immunity
For these reasons, although I concur in the dismissal of the complaint, I cannot do so based upon the rationale set forth in the majority opinion.
