Lakeside-Scott v. Multnomah County
Full Opinion (html_with_citations)
Opinion by Judge FISHER; Concurrence by Judge BERZON.
This appeal involves an alleged retaliatory discharge of an employee after she complained about co-workers and one of her supervisors and presents a question that this circuit has not yet answered: Can a final decision makerâs wholly independent, legitimate decision to terminate an employee insulate from liability a lower-level supervisor involved in the process who had a retaliatory motive to have the employee fired? We conclude that, on the record in this case, the answer must be yes, because the termination decision was not shown to be influenced by the subordinateâs retaliatory motives.
The plaintiff-appellee, Lea Lakeside-Scott (âScottâ), was fired from her position as an information systems specialist at Multnomah Countyâs Department of Community Justice (âDCJâ), ostensibly for her improper use of DCJâs computers and email system. Scott then brought this lawsuit alleging that her termination was actually in retaliation for her engaging in speech protected under the First Amendment and by Oregonâs whistleblower protection statute. While she was employed at DCJ, Scott had complained about co
Scott filed her retaliatory discharge claim against the County and Brown in federal district court. After a trial, a jury found in Scottâs favor, awarding her $650,000 in compensatory and punitive damages against Brown.
BACKGROUND
Scott began her employment in DCJâs information services unit in August 1997. During the relevant time period, her direct supervisor was Monna Hogue. Hogue reported to Dan Gorton, who reported to Brown, who, in turn, reported to the departmentâs director, Ms. Fuller.
Scott frequently complained to Gorton and Hogue about her perceived problems in the office. Her grievances included personality conflicts with other DCJ employees, promotions she did not receive and alleged misuse of the County computer system by co-workers and managers. In October 2001, Scott filed a formal complaint with the Oregon Bureau of Labor and Industries (âBOLI complaintâ) alleging, among other things, that Brown gave preferential treatment to gays and lesbians in hiring and promotions. Brown learned about the BOLI complaint shortly thereafter; she was shocked by its allegations of favoritism, which she took personally.
In November 2001, Fuller ordered Brown to search the email of an employee, David Landis, as part of an investigation of another DCJ employee who had allegedly sent racially discriminatory emails at work. Lacking the technical ability to do the search herself, Brown directed Tami Williams to do it. Williams sent the emails and attachments she recovered during her search to the human resources department. Attached to one of these emails was a journal, written by Scott and sent by her to Landis, that contained discriminatory comments and excerpts of other employeesâ work documents. It is unclear whether Williams knew about the journal when she sent the emails to human resources. After human resources personnel discovered the journal, either they or Fuller instructed Brown to look for additional material from Scott.
Once Scott was placed on administrative leave, Fuller directed John Turner, an investigator on her staff, to conduct an internal inquiry into Scottâs possible violations of County work rules or policies. Brown was not involved in framing the charges to be investigated, outlining the direction of the investigation or providing a list of witnesses. Rather, Turner met with Collette Umbras, the human relations department manager, to outline which official work rules were implicated by Scottâs supposed misconduct. The charges ultimately included misusing County property, conducting personal business on County time, inappropriately accessing the emails and documents of other employees and engaging in prohibited workplace harassment and prejudicial acts. Fuller sent Scott a letter to notify her of these charges as Turner began his investigation.
Over the course of his investigation, Turner interviewed 22 witnesses, including Brown and Scott. He also reviewed Scottâs journal and several of her emails. Brownâs role in the investigation was limited to answering Turnerâs questions; she did not provide him with any written materials. For her own part, Scott admitted to Turner that she had engaged in the conduct that had led to the charges against her, and she conceded that she was fully aware of the policies, procedures and rules governing the use of County propertyâ particularly those prohibiting harassment and discrimination and accessing databases for personal or non-business related reasons. She said, however, that she did not know her behavior violated any of these rules and claimed that Hogue knew about and had authorized many of her actions.
At the conclusion of his investigation, Turner produced a report to Fuller detailing his findings and recommending that all of the charges against Scott be sustained. Fuller sent a letter to Scott describing the reportâs findings and, after meeting with Scott to provide her with an opportunity to explain her actions, decided to terminate her employment. Fuller testified that although Scottâs journal was the reason she decided to initiate the investigation, she based her decision to fire Scott on all of the evidence that Turner procured during
Scott brought a retaliatory discharge lawsuit in federal district court against the County and Brown, alleging she was wrongfully terminated because she had filed the BOLI complaint and openly criticized both DCJ and Brown, and claiming these were protected activities under the First Amendment and 42 U.S.C. § 1983 as well as under Oregonâs Whistle-blower Act. After Brown moved unsuccessfully for summary judgment, a jury found in Scottâs favor and awarded her economic damages of $140,000, noneconomic damages of $10,000 and punitive damages of $500,000. The district court denied Brownâs motion for JMOL and this timely appeal followed.
STANDARD OF REVIEW
âWe review the denial of a motion for a judgment as a matter of law de novo.â Ostad v. Oregon Health Sci. Univ., 327 F.3d 876, 881 (9th Cir.2003). We view the evidence in the light most favorable to the party in whose favor the jury returned a verdict and draw all reasonable inferences in her favor. See id; Gilbrook v. City of Westminster, 177 F.3d 839, 847-48 (9th Cir.1999). âJudgment as a matter of law is proper when the evidence permits only one reasonable conclusion and the conclusion is contrary to that reached by the jury.â Ostad, 327 F.3d at 881. Nevertheless, a reasonable inference âcannot be supported by only threadbare conclusory statements instead of significant probative evidence.â Barnes v. Arden Mayfair, Inc., 759 F.2d 676, 680-81 (9th Cir.1985) (internal quotation marks omitted); see also Genthe v. Lincoln, 383 F.3d 713, 716 (8th Cir.2004) (noting within the context of a motion for JMOL that an inference is reasonable âwhen it may be drawn from the evidence without resort to speculationâ (internal quotation marks omitted)); Willis v. Marion County Auditorâs Office, 118 F.3d 542, 545 (7th Cir.1997) (noting within the context of a motion for JMOL that a âmere scintilla is not enoughâ to sustain a verdict for the prevailing party).
I.
âTo state a First Amendment claim against a public employer, an employee must show: (1) the employee engaged in constitutionally protected speech; (2) the employer took âadverse employment actionâ against the employee; and (3) the employeeâs speech was a âsubstantial or motivating factor for the adverse action.â â Marable v. Nitchman, 511 F.3d 924, 929 (9th Cir.2007) (quoting Coszalter v. City of Salem, 320 F.3d 968, 973 (9th Cir.2003), citing Bd. of County Commârs, Wabaunsee County, Kan. v. Umbehr, 518 U.S. 668, 675, 116 S.Ct. 2342, 135 L.Ed.2d 843 (1996)); see also Garcetti v. Ceballos, 547 U.S. 410, 126 S.Ct. 1951, 164 L.Ed.2d 689 (2006); Mt. Healthy City Sch. Dist. Bd. of Educ. v. Doyle, 429 U.S. 274, 287, 97 5.Ct. 568, 50 L.Ed.2d 471 (1977); Settlegoode v. Portland Pub. Sch., 371 F.3d 503, 510 (9th Cir.2004). âIf the plaintiff makes those showings, then the burden shifts to the defendant to show âby a preponderance of the evidence that it would have reached the same decision ... even in the absence of the [plaintiffs] protected conduct.â â Gilbrook, 177 F.3d at 854 (quoting Mt. Healthy, 429 U.S. at 287, 97 S.Ct. 568).
Brown expressly assumed in her appellate briefs that Scottâs BOLI complaint was protected speech.
We have assessed the liability of a subordinate supervisor who was not the final decision maker under Mt. Healthyâs âsubstantial or motivatingâ standard as well as its mixed motive approach. Compare Ostad, 327 F.3d at 882-83 (analyzing facts
In Gilbrook, we established that a âsubordinate cannot use the non-retaliatory motive of a superior as a shield against liability if that superior never would have considered a dismissal but for the subordinateâs retaliatory conduct.â 177 F.3d at 855. We expressly declined, however, to decide âwhat the result should be, as a matter of law, if the facts showed that the final decision-maker made a wholly independent, legitimate decision to discharge the plaintiff, uninfluenced by the retaliatory motives of a subordinate.â Id.; see also Ostad, 327 F.3d at 883. The record before us requires us to answer this heretofore open question.
II.
Most of this circuitâs retaliatory motivation jurisprudence has arisen from cases in which the issue has been whether the final decision maker was liable because she was retaliating against the employee or her decision was tainted by the retaliatory motivation of a subordinate. See, e.g., Poland v. Chertoff, 494 F.3d 1174 (9th Cir.2007). In the latter situation, the subordinateâs unlawful motivation has been imputed upstream to the final decision maker. In the present case it is the supposedly biased subordinate, Brown, who is herself being charged with liability. Nonetheless, these âupstream imputationâ cases are relevant to our analysis. See Gilbrook, 177 F.3d at 855 (citing imputation cases in its discussion of subordinate liability).
Gilbrook, in specifically addressing a subordinate supervisorâs liability, did observe that as a general matter the nature of § 1983 liability is such that âthe ârequisite causal connection can be established not only by some kind of direct personal participation in the [termination], but also by setting in motion a series of acts by others which the actor knows or reasonably should know would cause others to inflict the constitutional injury.â â 177 F.3d at 854 (citing and quoting John
Here, it is not clear that Scott relies on Brownâs role in bringing the journal to Fullerâs attention or her participation in the administrative leave decision as alone sufficient to support the juryâs verdict finding Brown liable for Scottâs termination.
Given the evidence that Fuller made an independent, principled decision for her own reasons to investigate and eventually terminate Scott, there was by definition no âconstitutional injury.â Id. at 854. Scott was terminated for violating County and DCJ rules through actions she admitted she had committed. As we emphasized in Gilbrook, â[w]e do not hold that a final decision-maker who lacks any improper motive never can absolve a subordinate of liability for his or her retaliatory acts, any more than we hold that such a decision-
A recent âupstreamâ case in which a biased subordinateâs involvement in an adverse employment action rose to the level of tainting the final decision to terminate is illustrative. See Poland, 494 F.3d 1174. Poland held that the Custom Serviceâs administrative investigation of the supervisorâs retaliatory charges did not âshield[ ]â the Customs Service from imputed liability because âthe allegedly independent adverse employment decision was not actually independentâ due to the subordinate supervisorâs significant involvement in the decisionmaking process. Id. at 1182. We held that while an initiation of an investigation would not âon its ownâ be enough to impute a subordinateâs animus, the biased subordinate âhad a pervasive influence on the administrative inquiry that led to the adverse employment action.â Id. at 1183. The supervisor specifically requested the investigation, sent a lengthy memo and supporting documentation outlining numerous incidents of the plaintiffs alleged malfeasance and provided the list of 21 witnesses who were contacted during the investigation. See id.; see also Dominguez-Curry v. Nevada Transp. Depât, 424 F.3d 1027, 1032-33, 1039-40 (9th Cir.2005) (imputing animus in a Title VII failure-to-promote claim when the subordinate was one of two employees who interviewed and ranked the petitioner); Perez v. Curcio, 841 F.2d 255, 258 (9th Cir.1988) (imputing animus in an age discrimination action when the final decision maker relied on reports written by the subordinate both in initiating the investigation and ultimately in demoting the plaintiff).
The facts before us here show a workplace in which the initial report of possible employee misconduct came from a presumably biased supervisor, but whose subsequent involvement in the disciplinary process was so minimal as to negate any inference that the investigation and final termination decision were made other than independently and without bias. We must not âplace an employee in a worse âposition as a result of the exercise of constitutionally protected conduct than he would have occupied had he done nothing.â â Gilbrook, 177 F.3d at 855 (citing Mt. Healthy, 429 U.S. at 285, 97 S.Ct. 568). But concomitantly the Supreme Court has admonished that we must not âplace an employee in a better position as a result of the exercise of constitutionally protected conduct than he would have occupied had he done nothing. ... [T]hat [employee] ought not to be able, by engaging in such conduct, to prevent his employer from assessing his performance record.... â Mt. Healthy, 429 U.S. at 285-86, 97 S.Ct. 568.
III.
With the foregoing principles and spectrum of cases as our guide, and recognizing âthat the ultimate question of the subordinateâs liability âis an intensely factual one, the results of which will vary depending on the circumstances,ââ Ostad, 327 F.3d at 883 (quoting Gilbrook, 177 F.3d at 855), we hold that Brown cannot be found liable based on her limited involvement in the chain of events that ultimately led to Scottâs termination. The jury could have reasonably found that Brown was involved in initiating the investigation of Scott after the discovery of her journal and in the decision to place her on administrative leave. But neither Brownâs role in the events leading up to the investigation nor the evidence of her participation in that inquiry rises to the level of involvement in or influence on Fullerâs termination decision that would allow the jury reasonably to find that Brownâs animus was a â âsubstantialâ or âmotivatingâ factorâ in Fullerâs decision to fire Scott. Gilbrook, 177 F.3d at 853-54 (quoting Mt. Healthy, 429 U.S. at 287, 97 S.Ct. 568). Instead, the record of Fullerâs independent actions and judgments compels the conclusion that she was not influenced by any retaliatory motive on Brownâs part.
As to the discovery of Scottâs apparently improper journal that triggered the inquiry into her conduct, it is relevant that Brown became aware of the document only incidentally through an investigation of another employee initiated by Fuller and the human resources department. Moreover, although Brown was present at the meeting where, according to standard practice, it was decided that Scott would be placed on administrative leave pending the investigation, that decision did not make Scottâs termination a foregone conclusion. Instead, senior management, aware of Scottâs apparent misconduct, pursued an inquiry into the alleged violations. There is no evidence that but for Brown, Fuller would
There is no evidence that Brown outlined possible reasons for Scottâs discharge or recommended her termination, either at the initial meeting or thereafter. Cf. Gilbrook, 177 F.3d at 850, 853-55; Ostad, 327 F.3d at 880, 883. To the contrary, Umbras outlined potential violations Turner was to investigate, and it was Turner who recommended at the conclusion of his investigation which charges should be sustained. Scott asks us to hold that a reasonable juror could have inferred that Brown âwas the investigationâ because (1) Scottâs computer was placed in Brownâs office after Scott was placed on administrative leave and (2) Williams completed the follow up research ordered by the human resources department âto see if ... there were any other e-mails from [Scott] or jobs or anything else that pertained to herâ while Turner was still conducting his investigation. Scott appears to argue that these circumstances alone permitted the jury to find that Brown was an influential player in Turnerâs investigation who searched for and provided documentary evidence that actually led to Scottâs termination. But such an inference would be pure speculation, as Scott presented no evidence that Brown discovered any information from Scottâs computer or from Williams, much less that she provided any such information to Turner or Fuller. Significantly, Scott deposed Williams but neither introduced her deposition testimony nor called her as a witness to tell the jury what, if anything, she had turned over to Brown. Scottâs suppositions are âonly threadbare conclusory statementsâ that cannot support a reasonable inference that Brown influenced the decision to terminate Scott. Cf. Barnes, 759 F.2d at 680-81 (internal quotation marks omitted).
Instead, the record shows that Brown played a very limited role in the investigation. She did not provide a witness list or any documentary evidence during Turnerâs investigation, and there is no evidence that Brown told Turner anything inappropriate during their interview. Cf. Poland, 494 F.3d at 1183. Nor did the investigation âsubstantially rel[y]â or âdepend[] heavilyâ on Brown, who was one of 22 witnesses Turner interviewed. Cf. Ostad, 327 F.3d at 880, 883 (holding subordinate liable when the decision maker âdepended heavilyâ on his testimony, which âtook up 217 pages of the hearingâs 403-page transcriptâ); Stacks v. Sw. Bell Yellow Pages, Inc., 27 F.3d 1316, 1323 (8th Cir.1994) (noting a final decision maker cannot escape liability when the facts on which he âreifies] have been filteredâ by a subordinate with illegitimate motives). Brownâs minimal participation was too limited and constrained to have tainted the investigative process, particularly when it was part
Fullerâs substantial role in the process that resulted in Scottâs termination is as important as Brownâs minimal participation. Fuller authorized the thorough investigation of the charges against Scott. Once she received Turnerâs report, she critically examined its contents, meeting with Scott to allow her to present any mitigating evidence and ultimately rejecting two of Turnerâs recommendations. Scott herself admitted, âI actually thought that she was listening, and she said she would consider everything.â As outlined in the termination letter composed and signed by Fuller, in the final analysis she fired Scott for violations of formal work rules, executive orders and contractual agreements. Scott admitted she was fully aware of these policies and rules, and both Fuller and Umbras emphasized that they had never before seen violations of this magnitude. Under these circumstances, no reasonable juror could have concluded that the investigative process was a âsham or conduitâ for Brownâs animosity or that Fuller was âdupedâ into terminating Scott. Willis, 118 F.3d at 547-48. To the contrary, the record shows that Fullerâs decision was based on her own analysis that âwas not jaded by anyone elseâs subjective and possibly [illegitimate] evaluation.â Id. at 547. Accordingly, we hold that, as a matter of law, Fullerâs âwholly independent, legitimate decision to discharge [Scott], uninfluenced by the retaliatory motives of a subordinateâ prohibited the jury from finding Brown liable for Scottâs termination. Gilbrook, 177 F.3d at 855.
Finally, practical considerations also animate our conclusion. As discussed above, all aspects of Brownâs limited involvement in this case were at the express direction or under the authority of her superiors in the management structure. To say that the Countyâs investigative process was fatally and irrevocably tainted by Brownâs overall limited involvement would stymie legitimate corporate management and discipline, which must necessarily involve and rely upon supervisory staff. Cf. City of San Diego v. Roe, 543 U.S. 77, 125 S.Ct. 521, 160 L.Ed.2d 410 (2004) (noting the âcommon-sense realization that government offices could not function if every employment decision became a constitutional matterâ); Brooks v. City of San Mateo, 229 F.3d 917, 928 (9th Cir.2000) (limiting the type of behavior that constitutes an adverse employment action based on the concern âthat employers will be paralyzed into inaction once an employee has [engaged in protected conduct], making such [conduct] tantamount to a âget out of jail freeâ card for employees engaged in job misconductâ). Absent evidence that a supervisor abuses her participation to advance a retaliatory agenda, we decline to endorse such a result in this case.
CONCLUSION
On the evidence presented to the jury, we hold as a matter of law that Fullerâs wholly independent decisionmaking negated any causal connection between Brownâs retaliatory bias and Scottâs termination. Brown therefore is not liable for any damages Scott suffered as a result of her discharge, and the district court incorrectly denied Brownâs motion for a JMOL. We reverse the courtâs judgment and remand for entry of judgment for Brown.
REVERSED and REMANDED.
. The district court ultimately dismissed all of the claims against the County, which are not at issue in this appeal.
. We view the evidence in the light most favorable to the party in whose favor the jury returned a verdict and draw all reasonable inferences in her favor. See Settlegoode v. Portland Pub. Sch., 371 F.3d 503, 507 (9th Cir.2004); Ostad v. Or. Health Sci. Univ., 327 F.3d 876, 881 (9th Cir.2003).
. Brown again assigned the search to Williams, who gathered some additional information within weeks. On this timetable, Williams would have completed her assignment while the investigation discussed below was in progress. Scott did not call Williams as a witness and there is no evidence about
. On appeal, Brown also challenges (1) the district court's denial of her motions for summary judgment and to exclude Landis' testimony and (2) the award of punitive damages. Because we reverse the denial of JMOL, we do not reach the denial of Brown's motion in limine or the question of punitive damages. We do not review the district court's pretrial denial of Brown's motion for summary judgment because "[t]he denial of a motion for summary judgment is not reviewable on an appeal from a final judgment entered after a full trial on the merits.â Locricchio v. Legal Servs. Corp., 833 F.2d 1352, 1359 (9th Cir.1987); see also Price v. Kramer, 200 F.3d 1237, 1243 (9th Cir.2000). Finally, we deny Brownâs request that we ignore Scottâs supplemental excerpt of record. "Although not models of compliance with the Rules, [Scottâs] ... excerpts of record are sufficient to apprise this court of the relevant issues before it.â Dominguez-Curry v. Nev. Transp. Depât, 424 F.3d 1027, 1033 n. 2 (9th Cir.2005).
. Although Barnes analyzed a summary judgment motion, the Supreme Court has ex
. We deny Brown's subsequent request for a remand in light of Garcetti, 547 U.S. at 421, 126 S.Ct. 1951, in which the Supreme Court held that "when public employees make statements pursuant to their official duties, ... the Constitution does not insulate their communications from employer discipline." Brown's motion for JMOL neither challenged nor reserved the issue of protected speech for appeal. âIt is well-established that an appellate court will not consider issues that were not properly raised before the district court.â Doi v. Halekulani Corp., 276 F.3d 1131, 1140 (9th Cir.2002) (internal quotation marks omitted).
. We limit the scope of our inquiry to Scottâs ultimate termination. Although being placed on administrative leave might qualify as an adverse employment action and we have suggested an investigation of an employee might so qualify, see, e.g., Poland v. Chertoff, 494 F.3d 1174, 1180 (9th Cir.2007); Ulrich v. City and County of San Francisco, 308 F.3d 968, 977 (9th Cir.2002), Scott neither argued these theories in the district court nor in her briefs on appeal, consistently stating that her retaliatory conduct claim was based solely on her discharge. Accordingly, we do not consider whether initiating the inquiry into Scottâs activities or placing her on administrative leave were themselves adverse employment actions for which Brown could be held liable independent of Scott's termination.
. Claims brought under Title VII and the Age Discrimination in Employment Act apply a different burden shifting framework than § 1983 claims, and we do not intimate that these cases are controlling here. See Poland, 494 F.3d at 1180 n. 1; Freitag v. Ayers, 468 F.3d 528, 543 n. 9 (9th Cir.2006); Allen v. Iranon, 283 F.3d 1070, 1074-75 (9th Cir.2002). Rather, we cite these cases for their informative discussions about causation. See Gilbrook, 177 F.3d at 855 (analyzing a § 1983 retaliation claim but discussing Title VII retaliation and discrimination cases for their analysis of causation).
. See n. 8, supra.
. Judge Berzon says she does not see a difference between "targeting someone for investigation and retaliating against them by reporting them.â Concurrence at 1743. What we mean is that Scott did not claim that Brown selectively enforced employee regulations only against her, while ignoring violations by other employees. Nor did Scott show that Brown monitored her behavior more closely in the hopes of reporting her for misconduct; indeed, Brown found Scottâs journal in the course of investigating another employee. This distinction is relevant in showing that Scott's misconduct was not brought to Fullerâs attention solely because of Brown's animus such that Fuller never would have made the termination decision but for Brownâs conduct. See Gilbrook, 177 F.3d at 854-55.
. Compare, e.g., Gee v. Principi, 289 F.3d 342, 346-47 & n. 4 (5th Cir.2002) (holding evidence of subordinatesâ animus precluded summary judgment regarding the final decision maker's liability when the subordinates "made comments critical" of the plaintiff at "the critical meetingâ with the final decision maker and a third party who was present at the meeting "stated that it was his impression that by the end of the meeting, the negative statements had created a general consensus that [the petitioner] would not be selected"); Griffin v. Washington Convention Ctr., 142 F.3d 1308, 1311 (D.C.Cir.1998) (holding evidence of subordinate's animus relevant to final decision maker's liability when he "was [the decision maker's] chief source of information regarding [plaintiff's] job performance, repeatedly urged [decision maker] to terminate [plaintiff], ... helped develop the tests used to assess [plaintiff], was responsible for evaluating [plaintiff's] success on those tests, and was in contact with [decision maker] at every significant step of the decision-making processâ); Long v. Eastfield College, 88 F.3d 300, 307 n. 8 (5th Cir.1996) (holding evidence of subordinatesâ animus precluded summary judgment regarding final decision makerâs liability when subordinates recommended plaintiffsâ termination and directed other employees to prepare written statements presented to final decision maker, and the only explanation plaintiffs received from final decision maker regarding their discharge was that he "made a decision to uphold the recommendation of your supervisor^] to terminate your employmentâ).
. Rebecca Hackenberg, another DCJ employee, testified that she told Hogue the administrative leave "sure seems like retaliation about that BOLI complaint, doesnât it?â, and that Hogue "kind of looked sideways out of the window, and [] went, âyeah.â â This testimony does not establish Brownâs liability for Scottâs termination. First, Hackenberg did not mention Brown throughout her entire testimony, let alone implicate her as a source for the alleged retaliation. Second, as we have noted, the administrative leave did not make Scott's termination a foregone conclusion.