Lead Opinion
Following the 1860 election, President Abraham Lincoln chose a cabinet “comprised of enemies and opponents,” including three men who had been his “chief rivals for the Republican nomination,” because they “ ‘were the strongest men in the party’ ” and he “ ‘had no right to deprive the country of their services.’ ” Doris Kearns Goodwin, Team of Rivals: The Political Genius of Abraham Lincoln 319 (2005). When she was elected in 2008 as superior court clerk of Lumpkin County, Georgia, Rita Harkins did not emulate President Lincoln; in her first official act as clerk, Ms. Harkins dismissed her coworker and former political rival, Sarah Jane Underwood, whom she had defeated in the Republican primary.
The issue we address is whether this firing violated Ms. Underwood’s First Amendment rights. In light of our precedent, we conclude, as did the district court, that it did not. ■
I
Ms. Underwood sued Ms. Harkins under 42 U.S.C. § 1983, alleging that her termination was unconstitutional under the First Amendment because it was based on her candidacy. The district court granted summary judgment in favor of Ms. Harkins, so under Rule 56 we look at the evidence in the light most favorable to Ms. Underwood. See, e.g., Curves, LLC v. Spalding County, Ga.,
A
Under Georgia law, a superior court clerk like Ms. Harkins has a number of statutory responsibilities and duties: to keep and run the clerk’s office; to attend the needs of the court; to issue and sign every paper under authority of the court, including orders to show cause; to keep automated civil and criminal case management systems, as well a docket or file for recording all matters and documents evidencing title to real property; to keep all papers of the clerk’s office with care and security; to keep all publications of federal and state law furnished by the state; to procure a substantial seal of office; to make out and deliver a correct transcript and/or any minutes, records, or files in the clerk’s office, except for sealed matters; to
Georgia law gives each superior court clerk the power to appoint one or more deputies, and to require from them a “bond with good security.” See Ga.Code Ann. § 15 — 6—59(b) (2012). It also provides that the “[pjowers and duties of deputy clerks shall be the same as those of [superior court] clerks.” Ga.Code Ann. § 15-6-59(b) (2012). Thus, a deputy clerk like Ms. Underwood is statutorily authorized to carry out the same tasks as the clerk, who is her superior. See Hendrick v. State,
In Lumpkin County, the position of superior court deputy clerk is not protected by the civil service system. That means that a deputy clerk is an at-will employee subject to discharge by the clerk. See Thomas v. Lee,
B
In 2004, while Edward Tucker served as the elected superior court clerk for Lump-kin County, Ms. Underwood became one of the two deputy clerks. By 2009, she and Ms. Harkins were two of the three deputy clerks working under Mr. Tucker.
As a deputy clerk, Ms. Underwood was the administrative assistant to Mr. Tucker, helping him create and maintain confidential personnel records and files — which Mr. Tucker kept under lock and key — and handling “any things he needed throughout the day as a secretary would do.” Mr. Tucker was a very “hands-on” clerk who was “seldom out of the office,” but if he was not available Ms. Underwood could do things like swear in notaries. Ms. Underwood did not set policies for the clerk’s office. Nor did she perform duties statutorily assigned to Mr. Tucker.
Ms. Underwood also worked in the adoption and juvenile divisions of the clerk’s office, and in 2006 she began handling accounting duties. As the accountant, Ms. Underwood paid jurors, handled the accounts receivable and accounts payable, received bonds and funds to be
Ms. Underwood and Ms. Harkins were cordial to each other, but they generally did not socialize. Their duties as deputy clerks did not overlap, as Ms. Harkins was in charge of the criminal court division, and the two therefore had little interaction at work.
C
In 2008, Mr. Tucker, who was a Republican, announced that he was not going to seek re-election as superior court clerk, a position he had held since 1973. Ms. Harkins and Ms. Underwood each decided to seek the Republican nomination for clerk, and they ran against each other, and two other candidates, in the Republican primary. This caused “some” tension in the clerk’s office. One employee in the nine-person clerk’s office publicly supported Ms. Underwood, while another employee publicly supported Ms. Harkins.
None of the candidates in the Republican primary for clerk won a majority of the vote; Ms. Underwood received one of the two lowest vote totals and was eliminated, while Ms. Harkins faced off against another candidate in a runoff she ended up winning. When no Democrat qualified to run in the election, Ms. Harkins became the superior court clerk by having won the Republican primary.
The primary contest in which Ms. Underwood and Ms. Harkins participated was “not contentious” and focused on the candidates’ experience. Ms. Underwood did not make any statements critical of Ms. Harkins during the campaign, and Ms. Harkins likewise did not make any statements critical of Ms. Underwood. Ms. Underwood did not congratulate Ms. Harkins, or correspond with her, after learning that Ms. Harkins would be the new superior court clerk. Nor did she discuss her job situation with Ms. Harkins, or tell her that she wished to remain working in the clerk’s office (as a deputy or in any other position), because she assumed that, as Ms. Harkins had said (before learning that Ms. Underwood was going to be a candidate), no one in the clerk’s office would be losing his or her job. As Ms. Underwood saw it, her relationship with Ms. Harkins remained the same after the campaign, except that maybe Ms. Harkins avoided coming by her desk.
In her first official act upon becoming clerk, Ms. Harkins fired Ms. Underwood. Ms. Harkins did not dismiss any other employee of the clerk’s office. Though she did not give Ms. Underwood a reason for the termination, for purposes of summary judgment Ms. Harkins admitted that she fired Ms. Underwood because she had run for the office of clerk in the Republican primary.
II
First Amendment jurisprudence in the area of firings based on political affiliation or candidacy is, at best, muddled. We do not pretend to eliminate all of the confusion with this opinion, but we hope that we can at least harmonize our existing cases and enunciate a workable and relatively predictable standard. We begin our discussion with Supreme Court precedent, and then turn to Eleventh Circuit precedent.
A
In Elrod v. Burns,
Several years later, in Branti v. Finkel,
More recently, the Supreme Court has summarized Elrod and Branti as standing for the proposition that “[government officials may not discharge public employees for refusing to support a political party or its candidates, unless political affiliation is a reasonably appropriate requirement for the job in question.” O’Hare Truck Service, Inc. v. City of Northlake,
B
Randall v. Scott,
Turning to the merits, we reversed the dismissal of the employee’s complaint. We held that the “decision to run for office enjoys some First Amendment protection,” though we declined to say exactly how much. See id. Nevertheless, the firing could be sanctioned only “if the state’s interest in permitting the [district attorney] to fire [the employee] [was] of sufficient importance to justify the infringement of the [employee’s] First Amendment right to run” for office. See id. Because the district attorney’s “interest in firing [the employee] was, as alleged in the complaint, for purely personal reasons” — i.e., the “discharge was entirely related to [the district attorney’s] husband, and [the district attorney’s] personal relationship with her husband” — the state had “no interest whatsoever in preventing [the employee] from running for office.” See id. We also said in dicta that, had the employee “decided to run against” his boss for the position of district attorney, she “would have good legal reason to discharge him due to the state’s interest in office loyalty.” See id.
So we know, after Randall, that although the decision to run for superior court clerk may be protected to “some” degree, Ms. Underwood’s First Amendment interest in candidacy has to be balanced against the interests of the state— here Ms. Harkins in her official capacity as clerk — in confidentiality and loyalty. And we know that, if the Randall dicta is persuasive, Ms. Harkins would have “good legal reason” to discharge Ms. Underwood after she became a political opponent in the election for clerk.
C
Because Randall held that candidacy dismissals are to be treated like candidate support dismissals, see
One of the decisions we discussed in Randall was Terry v. Cook,
On appeal, we affirmed the dismissal as to the deputy sheriffs, but otherwise reversed. Under Alabama law, we noted, a deputy sheriff is the “general agent of and empowered to enter into business transactions for the sheriff;” “[a]ny transaction within the scope of the sheriffs duties may be acted upon by the deputy;” and “the sheriff is civilly liable for actions committed by a deputy done in the performance of his duty.” See id. at 377. We then explained that the “closeness and cooperation required between sheriffs and their deputies necessitate^] the sheriffs absolute authority over their appointment and retention.” See id.. Without looking to see what the deputy sheriffs actually did in the course of their, everyday duties, or allowing, the case to proceed to discovery on such matters, we held that the sheriff could dismiss them without violating the First Amendment because of the need for loyalty:
Under the Elrod-Branti standard, loyalty to the'individual sheriff and the goals and policies he seeks to implement through his office is an appropriate requirement for the effective performance of a deputy sheriff. Such a requirement strikes at the heart of the Elrod-Branti least restrictive means test which balances [F]irst [A]mendment rights of the deputies and the need- for efficient and effective delivery of public services. We can find no less restrictive means for meeting the needs of public service in the case of the sheriff’s deputy than to acknowledge a sheriffs absolute authority of appointment and to decline to reinstate those who did not support him.
Id.
We came to a different conclusion as to the other employees who had been dismissed, explaining that, as to them, the need for loyalty to the sheriff could not be determined as a matter of law: “It has not been established that loyalty to an individual sheriff is an appropriate requirement for effective job performance for the remaining positions of clerk, investigator, dispatcher, jailer, and process server. This is a determination that depends on the actual responsibilities of each position and the relationship of each to the sheriff.” Id. at 377-78.
An earlier candidate support case, not discussed in Randall or Terry, or cited by the parties or the district court here, is Stegmaier v. Trammell,
We held ■ in Stegmaier that a “public employee occupying a position of confidence, loyalty, and trust by virtue of her
The public ... does have the right under the Alabama Constitution to elect its Circuit Clerks and, presumably, attempts to elect capable and honest individuals when doing so. If there is any policy “presumably sanctioned by the electorate,” Elrod v. Burns, supra,427 U.S. at 367 , 96 S.Ct. [2673], in its election of one individual as Circuit Clerk over another, it is that of honesty and integrity. This presumption is especially strong where the nature of the Circuit Clerk’s position involves the handling of private and public litigant’s fees and judgments. See Ala.Code tit. 12, §§ 12-17-93, 12-17-94 (1975)[.] When, by statute, a deputy clerk is empowered to conduct all business which the clerk is authorized to conduct, Ala.Code tit. 12, § 12-17-93(2) (1975), and when, by statute, the clerk is subject to civil liability and fines for failure to perform his statutory duties, id., § 12-17-94(b), the Circuit Clerk must be afforded the opportunity to select his single deputy clerk; he must be able to select a deputy in whom he has total trust and confidence and from whom he can expect, without question, undivided loyalty.
Id. at 1040.
Although we had said earlier in the opinion that whether an employee holds a “policymaking” position is an issue of fact, see id. at 1034-35 & n. 8, we made no such statement in determining that a deputy clerk was a “confidential” employee under Alabama law.- The portion of the opinion dealing with: the confidential nature of the position of deputy clerk was devoid of any reference to' factual findings or to the clearly erroneous standard of review. See id. at 1038-40.
D
This is not a pure political patronage ease. Nor is it a pure political affiliation case.
In Randall we said in dicta that an elected government official can dismiss a confidential subordinate for running against her in an election, without violating the subordinate’s First Amendment rights. After consideration, we find this dicta persuasive because it is consistent with decisions like Terry and Stegmaier, which allowed elected officials to discharge those immediate subordinates who had not supported them in a contested election. Our holding, which stays within the confines of the case before us, is that an elected official may dismiss an immediate subordinate for opposing her in an election without violating the First Amendment if the subordinate, under state or local law, has the same duties and powers as the elected official. As the Second Circuit has put it, “ ‘[t]here is no likely circumstance in which a shared ideology is more important than when an elected official appoints a deputy who may act in his or her stead.’ ” Butler v. New York State Dept, of Law,
An immediate subordinate who has the same statutory powers and duties as the elected official for whom she works is the type of confidential employee who can be terminated under Elrod, Branti, and their progeny (i.e., cases like Terry and Stegmaier) if she runs in an election against her eventual superior. Without minimizing the First Amendment interest in candidacy, in this scenario the subordinate’s constitutional rights lose out under a Randall balancing analysis. Given the substantial powers and duties that a deputy superior court clerk has’ under Georgia law — powers and duties which are identical to those of the clerk herself — a person holding that position is essentially the legal alter ego of the clerk. In our view, and as in Stegmaier, Ms. Harkins “must be able to select a deputy in whom [s]he has total trust and confidence and from whom [s]he can expect, without question, undivided loyalty.” Stegmaier,
We recognize that Ms. Underwood’s daily duties under Mr. Tucker, the former superior court clerk, did not involve the setting of policy or the exercise of unlimit
. Indeed, in Cutcliffe v. Cochran,
This categorical approach, in addition to being consistent with our cases, makes practical sense. The fact that an elected official has not given a particular immediate subordinate all of the discretionary or policymaking authority available under state or local law does not prevent that official (or a future one) from changing her mind, or from choosing to expand a subordinate’s duties if she is able to hire the subordinate of her choice. See, e.g., Summe v. Kenton County Clerk’s Office,
We stress, however, that the label or title of the subordinate’s position is not controlling. If state or local law does not give a so-called “deputy” or “assistant” the same powers as the elected official who is her superior, she is not the legal alter ego of the official, and whether she is a confidential employee from whom loyalty can be demanded will ordinarily need to be determined as a matter of fact. See Gordan v. Cochran,
For example, in Barrett v. Thomas,
Here, unlike the situation in Barrett, Ms. Underwood was one of three deputy superior court clerks in an office. of nine, and the Georgia Legislature chose to give persons holding her job the same powers and duties as the clerk herself. That allowed Ms. Harkins, when she became clerk, to dismiss Ms. Underwood. See Randall,
Ill
Ms. Harkin’s termination of Ms. Underwood may well be emblematic of a “civil neighbourly country [beset] with increasingly uncivil politics.” There Goes the Neighbourhood, Lexington, The Economist, Sept. 22-28, 2012, at 42. Nevertheless, the First Amendment, as interpreted by the Supreme Court and the Eleventh Circuit, did not require Ms. Harkins to graciously embrace and retain her political opponent after becoming superior court clerk of Lumpkin County. The district
Affirmed.
Notes
. See generally Marks v. United States,
. Because it was decided by the former Fifth Circuit prior to October 1, 1981, Stegmaier is binding precedent in the Eleventh Circuit. See Bonner v. City of Prichard,
. It is also not a case in which an employee was terminated because of things she said during an election. Cf. Stough v. Gallagher,
. Given that cases like Elrod and Randall employ a balancing test .laced with a form of heightened scrutiny, we see no need to import a strict scrutiny standard from decisions addressing the constitutionality of laws imposing restrictions on candidacy. See, e.g., Anderson v. Celebrezze,
. At least two circuits have held that a confidential or policymaking subordinate who challenges her current boss in an election (or plans to do so) can be terminated or placed on unpaid leave without an infringement of her First Amendment rights, on the theory that she has called into question her superi- or's fitness to hold office. See Carver v. Dennis,
Dissenting Opinion
dissenting:
I respectfully dissent. The majority makes a significant mistake when it comes to answering a crucial question about how to apply the Supreme Court’s decisions in Elrod v. Burns, 427 U.S. 347,
Our precedent does not support the majority’s conclusion that the inquiry is such a narrow and purely legal one. Indeed, in Stegmaier v. Trammell,
I recognize that not all of our prior cases have been clear or consistent on this issue. See, e.g., Cutcliffe v. Cochran,
I am also concerned that the majority opinion is not consistent with the thrust of Supreme Court precedent. I realize that, following Elrod and Branti, the Supreme Court has not had the chance to address the specific question presented by Ms. Underwood’s case, and our sister circuits have adopted sharply conflicting views. Compare, e.g., Jantzen v. Hawkins,
But the Supreme Court’s decision in Garcetti v. Ceballos,
Unfortunately for Ms. Underwood, her case illustrates this danger perfectly. The record here underscores a vast gulf between what is formally provided under Georgia law and what is the reality on the ground.
Thus, the formal job description for the deputy clerks “bear[s] little resemblance” to their actual job. Garcetti
This is significant because binding precedent tells us that, insofar as such an employee exercises her First Amendment rights during an election, the governmental interest in political loyalty cannot justify her termination in the aftermath.
The majority’s decision to rely only on the formal statutory job description of the deputy clerks to uphold Ms. Underwood’s termination has the effect of burdening Ms. Underwood’s First Amendment rights beyond that which the Constitution allows. This is precisely the kind of danger that the Supreme Court warned about in Garceta. See
Unlike the majority, I do not think that we can ignore the facts regarding the scope of Ms. Underwood’s actual duties, and in view of those facts, I think Ms. Underwood should be allowed to proceed to trial with her claim. Because the majority refuses to let her do so, I respectfully dissent.
. Elrod, and Branti involved public employees who were discharged because of their political affiliation. See Elrod,
. In Bonner v. City of Prichard,
. At least one of our sister circuits has understood Stegmaier to mean that the actual job responsibilities of a public employee are relevant. See Dickeson v. Quarberg,
. In reviewing the summary judgment ruling, I must look at the record in the light most favorable to Ms. Underwood. See Curves, LLC v. Spalding County, Ga.,
. Of course, "employees may always be discharged for good cause, such as insubordination or poor job performance.” Elrod,
. In Terry, we clarified that "[although it can be said that each job in [an] office implements the policies of the office,” political loyalty is not an appropriate requirement for positions that involve "limited and defined roles.”
