Lead Opinion
Wе granted the Third Circuit’s petition for certification in this defamation case. The question is whether the judicial privilege extends to an allegation made concerning a school teacher by a former student, where the allegation was made before quasi-judicial proceedings were commenced and without any intent that it lead to such proceedings.
Robert Schanne taught physics at Lower Merion High School in Ardmore, Pennsylvania from September 1997 through December 2010. Jenna Addis was his student during her junior and senior years, from 2001 until her graduation in 2003. After Addis graduated, she attended Tulane University in New Orleans, where she still resides.
In late November 2010, Addis (then age 26) was visiting Pennsylvania for the Thanksgiving weekend. During her visit, Addis spoke to Susan O’Bannon, a friend who was employed by Lower Merion High School. Addis told O’Ban-non that she and Schanne had been romantically involved while Addis was a high school senior and during the summer after she graduated. O’Bannon reported Addis’s allegation to school officials. Addis testified in her deposition that she discussed the matter with O’Bannon as a friend and not as an agent of the school. Addis stated, moreover, that she did not intend for O’Bannon to report the information to the school, that she was not aware O’Bannon would feel obligated to make such a report, and that she was surprised to learn that O’Bannon had done so. See N.T., Dec. 1, 2001, at 137, 141.
Upon hearing the allegations, school officials called Addis in New Orleans to investigate the matter further. They made two such calls in early December 2010 and memorialized the content of the conversations in papers which they sent to Addis for her correction and signature. The federal district court described these papers as Addis’s official statement to the school concerning her relationship with Schanne.
Based on Addis’s statement, school officials provided Schanne with a pre-termination Loudermill hearing as required by due process. See Cleveland Bd. of Educ. v. Loudermill,
Schanne filed a defamation action against Addis directed to the federal court’s diversity jurisdiction. In his amended complaint, Schanne alleged that his romantic involvement with Addis did not begin until after she graduated from high school, and that any contrary assertions by Addis were false and made with malice due to Addis’s jealousy over Schanne’s relationship with another woman. Schanne averred that Ad-dis’s statements were not judicially privileged because: they were not made during a school board meeting, hearing, or
Addis filed a motion for summary judgment which the federal court granted on the basis that all of her assertions were protected by the judicial privilege. See Schanne v. Addis,
Courts must also consider whether applying an absolute privilege in a given case would promote the privilege’s purpose. The purpose of the privilege is “to afford [parties] freedom of access to the courts,” to “encourage [witnesses’] complete and unintimidated testimony in court,” and “to enable [counsel] to best represent his client’s interests.” Binder,275 A.2d at 56 . If not for this privilege, “a realm of communication essential to the exploration of legal claims [ ] would be hindered_” Post v. Mendel,507 A.2d at 355 . In this case, protecting Addis’ statement furthers the purpose of the privilege.
On appeal, Schanne argued that Addis’s statеment to O’Bannon was not made in the regular course of a judicial action, because Addis had gone to O’Bannon as a friend and did not contemplate possible judicial or quasi-judicial proceedings. Addis responded that her intent in communicating with O’Bannon was irrelevant and that, because it resulted in quasi-judicial proceedings, it was privileged as a preliminary communication. After the matter was briefed and argued before the Third Circuit Court of Appeals, that tribunal certified the following question for our resolution:
Does the absolute judicial privilege apply to an allegation of sexual misconduct against a teacher by a former student, which allegation was made prior to the commencement оf any quasi-judicial proceeding and without an intent that the allegation lead to a quasi-judicial proceeding?
Schanne v. Addis,
Presently, Schanne argues that for immunity to attach there must be judicial or quasi-judicial proceedings to which the disputed statement is connected. Here, Schanne notes, Addis made her allegation to O’Bannon before any proceedings were initiated and without any intention or expectation that O’Ban-non would report the information to the school. Schanne contends that extending the privilege in these circumstances would not only fail to serve its purpose, it would also permit an individual who makes a defamatory communication to a third party to later “engineer a privilege” by рersuading the third party to file a complaint based on the communication. Brief for Appellant at 16. Schanne urges, in this respect, that the privileged status of a statement should not depend solely on the subsequent actions of a third party—particularly because, in his view, a statement is “either privileged when made or it is not[.]” Id.
Addis continues that extending immunity in the present circumstances would be consistent with the judicial privilege’s underlying policy—as articulated in decisions such as Post and Binder—of ensuring access to the courts for all persons who wish to assert a legal claim regardless of the merits of that claim. She notes, in this regard, that, once it is determined that immunity attaches, the individual is shielded from liability regardless of intent; thus, she urges that we reject Schanne’s argument that the privilege does not apply in the first instance due to her lack of intent that the declaration to O’Bannon would lead to judicial or quasi-judicial proceedings. Relatedly, Addis urges that a privilege attaches, if at all, as a matter of law—and thus, a speaker’s intent as to whether it should attach is irrelevant.
A group of non-profit organizations have submitted a joint amicus brief emphasizing that it is in the public interest for schoolchildren to be protected from sexual harassment and sexual assault by school employees. Amici suggest that, because this type of victimization is underreported, extending the judicial privilege to Addis’s initial communication to O’Bannon would be salutary insofar as it would allow students
Pennsylvania law closely guards the ability of a person whose reputation has been injured by defamatory statements to obtain redress for such injury.
At the same time, there is a fundamental societal need for justice to be administered freely and efficiently through the eliciting of speech from parties and witnesses that may be accusatory or otherwise reflect negatively upon another’s character. Thus, notwithstanding any reputational harm that may ensuе, Pennsylvania, like many other jurisdictions, recognizes a judicial privilege providing immunity for communications which are made in the regular course of judicial proceedings and are material to the relief sought. See Bochet
The judicial privilege serves an essential function in guaranteeing access to the courts and permitting the free articulation and resolution of legal claims. See Post,
The reasons for the absolute privilege are well recognized. A judge must be free to administer the law without fear of consequences. This independence would be impaired were he to be in daily apprehension of defamation suits. The privilege is also extended to parties to afford freedom of access to the courts, to witnesses to encourage their complete and unintimidated testimony in court, and to counsel to enable him to best represent his client’s interests.
In view of the broad policy objectives reflected above, the judicial privilege is not limited to statements made in open court, but encompasses pleadings as well. See Greenberg v. Aetna Ins. Co.,
A witness is absolutely privileged to publish defamatory matter concerning another in communications preliminary to a proposed judicial proceeding or as a part of a judicial proceeding in which he is testifying, if it has some relation to the proceeding.
Restatement (Second) of Torts § 588 (1977); see also id. § 587 (reflecting a parallel provision applicable to parties).
As illustrated by the foregoing, the scope of the judicial privilege has been gradually extended over time as courts, scholars, and practitioners have taken into account its usefulness in a variety of scenarios connected with the sound administration of justice as that term is broadly understood. The contours of the privilege, moreover, have been shaped by a case-by-case evaluation of whether its application in specific circumstances is needed to advance its underlying policy objectives.
Notably, in this regard, courts have also referenced such policy considerations to limit application of the privilege in
The essential realm of protected communication is not ... without bounds. Rather, the protected realm has traditionally been regarded as composed only of those communications which are issued in the regular course of judicial proceedings and which are pertinent and material to the redress or relief sought.
Post,
Bochetto provides another example along these lines. In that matter, a private club commenced a malpractice action against its former lawyer. The club’s new attorney filed the complaint and then transmitted a copy of it to the news media. This Court noted that the filing of the complaint was privileged since it occurred in the regular course of judicial proceedings and was material to those proceedings. See Bochetto,
Overall, then, while the judicial privilege has expanded with the needs of justice, it has also been made subject to limitations where the administration of justice is not likely to be substantially affected. See Adams,
We turn now to an evaluation of whether the policy concerns which underlie the judicial privilege are implicated by the circumstances as delineated by the Third Circuit. Perhaps the most salient aspect of the issue as framed is that, not only was the allegation made before the commencement of proceedings, it was made “without an intent that [it] lead to a quasi-judicial proceeding.” Certification Petition at 7; Schanne v. Addis,
Our conclusion is consistent with the scope of the privilege as envisioned by the Restatement, which clarifies that only “communications preliminary to a proposed judicial proceeding” are immunized. Restatement (Second) of Torts § 588 (1977). The official comment elaborates further:
As to communications preliminary to a proposed judicial proceeding, the rule stated in this Section applies only when the communication has some relation to a proceeding that is actually contemplated in good faith and under serious consideration by the witness or a рossible party to the proceeding. The bare possibility that the proceeding might be instituted is not to be used as a cloak to provide immunity for defamation when the possibility is not seriously considered.
Id. cmt. e (1977) (emphasis added); see also Cardtoons, L.C. v. Major League Baseball Players Ass’n,
We are aware that the federal district court referenced several reported decisions from other States in hоlding that the judicial privilege applies “when student allegations against teachers lead to quasi-judicial proceedings.” Schanne,
Nor do we find Addis’s advocacy persuasive. The judicial privilege is a defense raised by the defendant. See Pa.R.C.P. 1030(a); Greenberg,
Classifying the issue as a question of law does not alter our analysis. Assuming Addis’s characterization in this respect is accurate, as a general proposition the resolution of legal issues in specific cases may depend on the facts involved. See, e.g., Mitchell v. Zoning Hearing Bd.,
Finally, we do not believe that accounting for Addis’s intent in the present scenario is improper simply because there may be a spectrum of possible intended outcomes in other cases. The privilege only applies relative to judicial proceedings—or, for present purposes, quasi-judicial proceedings. See supra note 2. Reviewing courts are capable of discerning whether a particular proceeding fits that description. Furthermore, as discussed, Addis testified that she did not intend for O’Bannon to relay her comments to the school and, as such, did not contemplate that Schanne would be subject to any proceedings or otherwise suffer emрloyment-related consequences. Thus, postulating a range of intended outcomes has little relevance to the present controversy.
We pause at this juncture to observe that this opinion should not be construed as attempting to resolve the distinct question of whether a privilege should pertain for schoolchildren who report misconduct by school employees while they are enrolled. That situation is qualitatively different from the present one inasmuch as schoolchildren are generally less sophisticated than adults as to matters of protocol and procedure, and they are in a substantially weaker position than adults in terms of their ability to protect themselves from unjust treatment at the hands of school employees. Accord Weissman,
For the foregoing reasons, in response to the certified question we hold that the judicial privilege does not apply to an allegation made by an adult before commencement of any quasi-judicial proceeding and without an intent that it lead to a quasi-judicial proceeding.
The matter is returned to the Third Circuit.
Justices EAKIN, BAER and TODD join the opinion.
Justices EAKIN and TODD file concurring opinions.
Justice STEVENS flies a dissenting opinion.
Notes
. While reputational harm in isolation may appear abstract, such injury can be the occasion for more concrete harms such as termination from employment, loss of oрportunities, or adverse actions in relation to custody or visitation rights. See, e.g., Silberg v. Anderson,
. It is beyond the scope of this appeal to inquire whether the school's procedures qualified as judicial proceedings—or, assuming they were "quasi-judicial proceedings,” whether the privilege applies as to that category of official action. In its certification petition the federal appellate court assumed the privilege could apply to the school district's proceedings, and the question posed rests on that assumption. Therefore, we also will continue under the same assumption. Cf. Mitchell Partners, L.P. v. Irex Corp.,
. An absolute privilege is unlike a qualified privilege in that the latter does not protect the declarant against a charge of malice, see Preiser v. Rosenzweig,
, In this regard, we do not endorse the district court’s "served as the catalyst for a hearing” standard. Schanne, 898 F,Supp.2d at 757. Such a test shifts the focus from whether application of the privilege would promote the efficient administration of justice to a backward-looking factual assessment of how a third party independently decided to use the allegedly defamatory communication.
Nor are we persuaded by the dissent's suggestion that Addis "could not mount the courage to name her alleged perpetrator until her twenties,” and that this is now "be[ing] used against her.” Dissenting Opinion, at 563-64,
. Along these lines, the supreme court of one of our sister States has noted that:
It is important to distinguish between the lack of a good faith intention to bring suit and publications which are made without a good faith belief in their truth.... The latter, when made in good faith anticipation of litigation, are protected as part of the price paid for affording litigants the utmost freedom of access to the courts. This policy consideration is not advanced, however, when the рerson publishing an injurious falsehood is not seriously considering litigation. In such a case, the publication has no connection or logical relation to an action and is not made to achieve the objects of any litigation.
Kirschstein v. Haynes,
. See Hartman v. Keri,
. We need not presently determine whether the privilege would attach in Pennsylvania in the circumstances which arose in those extra-jurisdictional cases.
. In such circumstances, extending immunity to a schoolchild who reports misconduct may be justified for policy reasons. Unlike the judicial privilege, however, the distinctive school setting does not inherently pertain to the core functions of the judicial branch. Moreover, it involves unique issues applicable to minors. Accordingly, the outlines of any such privilege may be best suited for determination in a legislative forum where all policy concerns can be disсussed and any pertinent research can be presented and analyzed. See Lance v. Wyeth,
. It may be noted that, even absent application of the privilege, the burden of proof as to all elements of the tort of defamation is borne by the plaintiff, see 42 Pa.C.S. § 8343(a); see also id. § 8344 (requiring the plaintiff to establish malice or negligence as a prerequisite to recovery), and various defenses may be available to the defendant such as truthfulness or justification. See id. §§ 8342, 8343(b).
Concurrence Opinion
concurring.
I join the majority’s analysis and result. I write only concerning speculation by my colleagues about a different result being possible, had appellee been a student at the time of her allegations. Respectfully, the purpose and applicability of the judicial privilege is not related to appellee’s status; categorizing her as a student, past or present, or any other denomination, is irrelevant to application of this discrete privilege. The applicability of the judicial privilege depends on the existence of, or potential for, judicial-related proceedings at the time of utterance. Restatement (Second) of Torts, § 588 cmt. e (stating “the rule ... applies only when ... a proсeeding ... is actually contemplated in good faith and under serious consideration by the witness” (emphasis added)). It
This is not to say a broader privilege to speak out should not be afforded to students. However, if a privilege to encourage reporting based on status rather than circumstance is appropriate, that privilege should be articulated clearly and independently. No mere classification of the speaker creates a “judicial privilege,” and that venerable privilege should not be contorted to fit a prospectively desirable result, whatever its salience.
Dissenting Opinion
dissenting.
In comparison with other serious crimes, sexual misconduct victims of any age all too infrequently report their perpetrators due to systemic biases that disproportionately cast suspicion and blame upon them. The absolute judicial privilege should attach where, as here, a former student confides that she was sexually victimized by a school official to another school official who feels professionally obligated to report the statement to educational authorities, provided those details have a bearing on subsequent quasi/judicial proceedings. Therefore, under these circumstances, the student is the witness-declarant and the educational official is a possible party to the proceeding. The fact that Appellee could not mount the
Section 588 of the Second Restatement of Torts holds:
A witness is absolutely privileged to publish defamatory matter concerning another in communications preliminary to a proposed judicial proceeding or as a part of a judicial proceeding in which he is testifying, if it has some relation to the proceeding.
Restatement (Second) of Toets § 588 (1977) (emphasis added). Regarding “communications preliminary to a proposed judicial proceeding,” comment (e) notes:
[T]he rule stated in this Section applies only when the communication has some relation to a proceeding that is actually contemplated in gоod faith and under serious consideration by the witness or a possible party to the proceeding. The bare possibility that the proceeding might be instituted is not to be used as a cloak or to provide immunity for defamation when the possibility is not seriously considered.
Id. at cmt. e (emphasis added). Since the main definition designates the “witness” as declarant, it follows that the “possible party” may be the recipient. Comment (e) further clarifies that the intentions of the party-recipient may have a bearing on whether the privilege attaches to the witness-declarant.
In relation to Appellee, the majority characterizes Susan O’Bannon as “a friend who was employed by Lower Merion High School.” Majority Opinion, at 548,
Here, Appellee’s statements were “allegations that the school district seriously considered, investigated, and initiated a proceeding over....” Id. After O’Bannon relayed Appellee’s allegаtions to the appropriate authorities, Appellee fully cooperated with the ensuing investigation.
Appellant was not bereft of remedy, as he could, and did, file a grievance against the school district for wrongful discharge. The onus should be on school officials to conduct a thorough and responsible investigation before undergoing quasi/judicial proceedings.
I thereby respectfully dissent.
Concurrence Opinion
concurring.
I join the Majority Opinion. I write separately to emphasize that my position is firmly tied to the peculiar factual circumstances of the instant case. As noted by the majority, Jenna Addis was 26 years old and had been out of high school for more than 7 years when she told Susan O’Bannon that she had a relationship with Robert Schanne while she was a high school student. Had Addis been a student at the time she confided in O’Bannon, I might very well have reached a different result.
