Lead Opinion
Petitioner-Appellant David H. Weintraub, a former New York City public school teacher, appeals from an order of the United States District Court for the Eastern District of New York (I. Leo Glasser, Judge), inter alia, dismissing his First Amendment employment retaliation claim against Respondents-Appellees the Board of Education of the City School District of the City of New York, Community School District 32, the City of New York, Douglas Goodman, Daisy O’Gorman, Felix Vazquez, Frank Miller, Aida Serrano, Lawrence Becker, and Jerry Cioffi (collectively, “Defendants”). Weintraub alleged that Defendants violated his First Amendment rights by retaliating against him for filing a formal grievance with his union that challenged the school assistant principal’s decision not to discipline a student who had thrown books at Weintraub during class. The district court dismissed Weintraub’s claim in light of Garcetti v. Ceballos,
We find that Weintraub’s filing of the grievance was in furtherance of one of his core duties as a public school teacher, maintaining class discipline, and had no relevant analogue to citizen speech. Accordingly, we conclude that, under Garcetti
BACKGROUND
The underlying facts and procedural history of this case are detailed in the district court’s April 28, 2006 opinion that granted in part and denied in part Defendants’ motion for summary judgment. See Weintraub v. Bd. of Educ. of City of N.Y.,
I. Underlying Events
In September 1998, Weintraub began teaching fifth grade at P.S. 274, a public school in Brooklyn, New York. During his first two months, there were no apparent problems in his class, with his performance, or between Weintraub and school administrators.
On Friday, November 6, 1998, after a student threw a book at him during class, Weintraub referred the student to his immediate supervisor, Assistant Principal Douglas Goodman. Shortly thereafter,
Weintraub was “upset” by Goodman’s decision not to discipline the student and concerned that “if this child could do this to [Weintraub], ... it would put the ... other students at risk.” (Pl.’s Dep. 51:17-19, Jul. 19, 2002.) Weintraub subsequently learned that the same student “put a kid in the hospital later in the year.” (PL’s Dep. 51:20-21, 23-25.) After the second book-throwing incident, Weintraub told Goodman, “If nothing is going to be done, I [will] have to file a grievance with the union to have something done about this because [the student] should be suspended for this,” (PL’s Dep. 43:3-6), and “it is not an environment a teacher would want to go to where a child is allowed to throw a book at teachers,” (PL’s Dep. 47:10-12). Weintraub also “underst[oo]d” that under “citywide Board of Education policy ... a student assaulting the teacher in 5th grade ... should have been suspended.” (PL’s Dep. 44:3-6.) Weintraub told other teachers at P.S. 274 about the incidents and his intention to file a grievance, and then filed the grievance with his union representative.
Weintraub alleges that because of his complaints, including his grievance, Goodman and other school officials retaliated against him through “acts of intimidation, harassment, workplace abuse, and deliberate attempts to undermine [his] authority.” Weintraub I,
II. District Court Proceedings
In July 2000, Weintraub commenced this action in the Eastern District of New York asserting several claims against Defendants, including adverse employment retaliation in violation of the First Amendment. Defendants moved for summary judgment on all of Weintraub’s claims.
On April 28, 2006, the district court denied Defendants’ motion with respect to Weintraub’s First Amendment claim, reasoning that “the content of speech questioning an administrative response, or lack thereof, to discipline problems in the classroom relates to a matter of public concern, regardless of whether that speech comes from a[n] elected official, citizen, or teacher.” Id. at 52. Finding that the “form and context of Weintraub’s statements” did not warrant a finding to the contrary, and that Weintraub’s “primary motivation was a general concern for safety in the classroom and school,” rather than “a desire for some personal gain,” the district court held that “Weintraub’s complaint to Goodman and subsequent grievance were protected by the First Amendment.” Id.
On May 29, 2007, after Defendants moved for reconsideration in light of the Supreme Court’s subsequent decision in Garcetti,
*200 (1) [his] private conversation with Goodman in which he expressed his dissatisfaction with Goodman’s handling of the book-throwing incidents and threatened to file a grievance if the situation was not rectified; (2) Weintraub’s conversations with other teachers about the incidents and Goodman’s failure to impose adequate discipline; and (3) the formal grievance itself.
Weintraub v. Bd. of Educ. of City of N.Y.,
The district court denied summary judgment with respect to the second category, because “Weintraub’s conversations with other teachers about his conflict with Goodman ... [we]re clearly not within the scope of his employment duties.” Id. at 220.
In contrast, the district court concluded that under Garcetti and in light of cases from other circuits applying Garcetti in similar situations, the First Amendment does not protect the first and third categories of speech: “In both instances, Weintraub was speaking as an employee, proceeding through official channels to complain about unsatisfactory working conditions.” Id. at 219-20. The district court, however, believed that “a substantial ground for difference of opinion may exist on” the precise issue of “whether a public employee acts as an ‘employee,’ and not as a ‘citizen,’ when he notifies his supervisors, either formally or informally, of an issue regarding the safety of his workplace that touches upon a matter of public concern, as well as on the employee’s own private interests.” Id. at 221-22. The district court noted that the issue was one of first impression in this circuit. The district court then dismissed Weintraub’s First Amendment claims based on his conversation with Goodman and his filing of a grievance. The district court encouraged Weintraub to file an interlocutory appeal on the basis that the case involves a controlling question of law for which there is substantial ground for difference of opinion, and stated its intent to stay the action pending the outcome of any such appeal.
Pursuant to 28 U.S.C. § 1292(b), we accepted Weintraub’s interlocutory appeal, which is limited to the question of whether the First Amendment protects his filing of a grievance. We now examine his claim.
DISCUSSION
We review de novo the district court’s partial grant of summary judgment, construing the evidence in the light most favorable to the non-moving party. See Tenenbaum v. Williams,
“Regardless of the factual context, we have required a plaintiff alleging retaliation to establish speech protected by the First Amendment.” Williams v. Town of Greenburgh,
In Garcetti the Supreme Court, while keeping “these principles in mind,”
“If [we] determine[ ] that [Weintraub] either did not speak as a citizen or did not speak on a matter of public concern, ‘[he] has no First Amendment cause of action based on his ... employer’s reaction to the speech.’ ” Sousa v. Roque,
The Garcetti Court defined speech made “pursuant to” a public employee’s job duties as “speech that owes its existence to a public employee’s professional responsibilities.”
We are unpersuaded. The objective inquiry into whether a public employee spoke “pursuant to” his or her official duties is “a practical one.” Garcetti,
[f]ormal job descriptions often bear little resemblance to the duties an employee actually is expected to perform, and the listing of a given task in an employee’s written job description is neither necessary nor sufficient to demonstrate that conducting the task is within the scope of the employee’s professional duties for First Amendment purposes.
Id. at 424-25,
In Williams, the Fifth Circuit concluded that the plaintiff, as Athletic Director, spoke pursuant to his official duties when he wrote memoranda to his school principal and office manager requesting information about the use of funds collected at athletic events in order to perform his duties of buying sports equipment, taking students to tournaments, and paying their entry fees.
Similarly, in Renken v. Gregory,
We join these circuits and conclude that, under the First Amendment, speech can be “pursuant to” a public employee’s official job duties even though it is not required by, or included in, the employee’s job description, or in response to a request by the employer. In particular, we conclude that Weintraub’s grievance was “pursuant to” his official duties because it was “part-and-parcel of his concerns” about his ability to “properly execute his duties,” Williams,
Judge Calabresi’s dissent questions whether our decision today conflicts with the result in Givhan v. Western Line Consolidated School District,
Our conclusion that Weintraub spoke pursuant to his job duties is supported by the fact that his speech ultimately took the form of an employee grievance, for which there is no relevant citizen analogue. The Garcetti Court drew a distinction between the unprotected speech at issue in that case, and “public statements outside the course of performing [an employee’s] official duties” which “retain some possibility of First Amendment protection.”
In Freitag v. Ayers,
The lodging of a union grievance is not a form or channel of discourse available to non-employee citizens, as would be a letter to the editor or a complaint to an elected representative or inspector general. Rather than voicing his grievance through channels available to citizens generally, Weintraub made an internal communication pursuant to an existing dispute-resolution policy established by his employer, the Board of Education. Cf. Boyce v. Andrew, 510 F,3d 1333, 1343-44 (11th Cir.2007) (finding that the “form and context” of the employees’ complaints, which were made directly to supervisors and were not “sent to an outside entity,” weighed against First Amendment protection). As with the speech at issue in Garcetti, Weintraub could only speak in the manner that he did by filing a grievance with his teacher’s union as a public employee. Cf. Davis v. McKinney,
Notwithstanding the Supreme Court’s pronouncement in Garcetti, Weintraub urges us to find that his speech is protected by the First Amendment under Cioffi v. Averill Park Central School District Board of Education,
We are not persuaded that Cioffi compels us to find that the First Amendment protects Weintraub’s filing of a grievance. In Cioffi we held that a letter that an athletic director wrote to his supervisor and to the school board was protected speech. Id. at 161, 165. The speech at issue in Cioffi had been publicly disclosed and the athletic director subsequently pursued the public controversy in a press conference; thus, the “public’s interest in receiving the well-informed views” of the athletic director, as a government employee, Garcetti
CONCLUSION
For the reasons stated above, the order of the district court is AFFIRMED.
Dissenting Opinion
dissenting:
Garcetti v. Ceballos,
As I read the majority opinion, it holds that a public employee’s speech is “pursuant to official duties” and accordingly unprotected when it both (a) is “in furtherance of’ the employee’s “core duties,” and (b) “ha[s] no relevant analogue to citizen speech.” Maj. Op. at 198. To be sure, Garcetti contains some language that can be read along these lines. But Garcetti leaves open the definition of “pursuant to official duties,” and I do not think that the majority’s two requirements, either separately or in combination, provide the right doctrinal framework for analyzing that question.
The majority’s first prong, which looks to whether speech is “in furtherance of’ an employee’s “core duties,” seems to me too broad. The majority’s discussion could be read to imply that—assuming the second prong of the majority’s test is also satisfied—classroom teachers receive no First Amendment protection anytime they speak on matters that implicate anything that is “an indispensable prerequisite to effective teaching and classroom learning.” Maj. Op. at 203. But the prerequisites for effective learning are broad and contentious; everything from a healthy diet to a two-
The majority’s second prong, which asks whether there is a “relevant citizen analogue” to Weintraub’s speech, Maj. Op. at 203, is also a plausible interpretation of Garcetti, but I am not convinced that it is the right one. I do not read Garcetti’s discussion of “analogue[s] to speech by citizens who are government employees,” Garcetti 547 U.S. at 424,
The idea that the existence of citizen analogues is a prerequisite for suit seems contradicted by Garcetti’s statement that the fact that a public employee “expressed his views inside his office, rather than publicly, is not dispositive.” Id. at 420,
Even when read together, the majority’s two prongs permit readings that would allow retaliation against much speech that seems to me to require protection and to remain protected after Garcetti. This sits uneasily with the Supreme Court’s repeated assertion that “the members of a community most likely to have informed and definite opinions” about an issue must “be able to speak out freely on such ques
Furthermore, the pragmatic concerns motivating Garcetti do not support such an expansive reading. Garcetti recognized the need for employers to have the freedom to “ensure that their employees’ official communications are accurate, demonstrate sound judgment, and promote the employer’s mission.” Id. at 422-23,
By contrast, when an employee’s speech is not part of the implementation of the employer’s business operations, the employer does not depend on “substantive consistency and clarity,” id. at 422,
I would hold the scope of Garcetti to be coextensive with its prime concerns and to go no further. An employee’s speech is “pursuant to official duties” when the employee is required to make such speech in the course of fulfilling his job duties. This necessitates a “practical” inquiry into each plaintiffs job duties. See id. at 424,
In Garcetti, for example, the plaintiff Richard Ceballos’s responsibilities as a calendar deputy called for him “to advise his supervisor about how best to proceed with ... pending case[s].” Id. at 421,
As far as the record reflects, Appellees here did not in any way depend on Weintraub bringing union grievances or refraining from bringing them (subject, of course, to the requirement that speech not “disrupt] the workplace,” Cioffi v. Averill Park Cent. Sch. Disk Bd. of Educ.,
In the present posture of the case, I take it as a given that Weintraub’s duties entailed informing the school administration of violent incidents, such as those at the root of this case, as a means of facilitating the school’s disciplinary apparatus. This justifies the District Court’s holding that Weintraub’s comments to his supervisor were not protected.
For these reasons, I respectfully dissent.
Notes
. I do not share the majority’s belief that the Supreme Court " 'narrowed [its] jurisprudence in the area of employee speech’ ” in Garcetti. Maj. Op. at 201 (quoting Reilly v. City of Atl. City,
. Additionally, the description of Weintraub's union complaint as an "internal communication” seems dubious. The Union Federation of Teachers is an external body, even if the union representative through whom Weintraub directed his complaint was presumably an employee of the Appellees.
. I recognize and greatly appreciate the majority’s analysis of why its two-prong test is consistent with Givhan, and why Givhan is distinguishable from the case before us. But if Givhan survives it is because the two-pronged test the majority employs is not in fact the end of the matter. For that reason, I discuss Givhan primarily to illustrate why I believe that the test outlined today does not suffice to differentiate protected and unprotected speech.
. On this point, both the majority and at least one of the dissenters in Garcetti were in agreement. See Garcetti,
. Because Weintraub does not appeal this part of the District Court’s holding, we need not consider it in any detail.
. As a general matter, I doubt that most employers would view union activity as something that their employees do for the employer’s benefit. There is a distinct irony in the idea that unions, which so many employers seek to exclude from the workplace, are somehow transmuted into entities that "promote the employer's mission,” Garcetti,
. If nothing else, this presents a question that should be explored on remand or put before a jury. It should not be disposed of on summary judgment without further inquiry. This is exactly what the Ninth Circuit did in Freitag v. Ayers,
