Opinion · Supreme Court of the United States
Board of Comm'rs, Wabaunsee Cty. v. Umbehr
10 Fla. L. Weekly Fed. S 124
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 1996-06-28
- Topic
- general
recognizing that the Court has "consistently given greater deference to government predictions of harm used to justify restriction of employee speech" | recognizing that the Court has “consistently given greater deference to government predictions of harm used to justify restriction of employee speech” | holding that the termination of a garbage contract constituted retaliation for an independent contractor's exercise of freedom of speech | holding that public employees and independent contractors cannot be terminated for expressing unpopular political views or for association with unpopular political group | holding that independent contractors’ First Amendment retaliation claims are analyzed in same manner as claims by public employees | holding that First Amendment protections apply to government contractors as well as government employees, noting that in either case government efforts “may chill speech on matters of public concern” | holding that the termination of a garbage contract constituted retaliation for an independent contractor’s exercise of freedom of speech | holding that the termination of a garbage contract constituted retaliation for an independent contractor’s exercise of freedom of speech | holding that the First Amendment protects independent contractors from termination or nonrenewal of an automatic-renewal contract when there is a pre-existing commercial relationship | holding that First Amendment protects independent contractors from termination or prevention of automatic renewal of at-will government contracts in retaliation for their exercise of freedom of speech | holding that government contractors and 5 government employees receive the protection under the First Amendment | holding that the legal framework governing First Amendment retaliation claims of government employees also applies to claims brought by independent government contractors | holding that denial of land use permit in unjustifiable retaliation for applicant's political expression is a First Amendment violation | holding that the First Amendment protects independent contractors from termination or prevention of automatic renewal of at-will government contracts in retaliation for their exercise of freedom of speech | holding that the First Amendment protects an independent contractor from termination or prevention of the automatic renewal of his at-will government contract in retaliation for exercising his freedom of speech | recognizing that a chilling effect is a "constitutional violation[ ] [that] may arise from the deterrent, or chilling, effect of governmental [efforts] that fall short of a direct prohibition against the exercise of First Amendment rights." | recognizing that a chilling effect is a “constitutional violation[ ] [that] may arise from the deterrent, or chilling, effect of governmental [efforts] that fall short of a direct prohibition against the exercise of First Amendment rights.” | holding that the summary judgment burden is “an initial showing that requires him to prove more than the mere fact that he criticized the Board members before they terminated him” | holding that independent contractors are protected from retaliation for protected speech “and that the Pickering balancing test, adjusted to weigh the government’s interests as contractor rather than as employer, determines the extent of their protection” | noting that the existing First Amendment framework for government-employee speech can accommodate differences between government employees and contractors | noting that retaliation “may be justified [i.e., unactionable] when legitimate countervailing government interests are sufficiently strong” | finding that nonrenewal of plaintiffs government contract in retaliation for his exercise of free speech is actionable | recognizing that independent contractors enjoy similar speech rights to government employees | holding that First 26 Amendment requires fact‐intensive and deferential balancing of government’
Citator
- Cited by
- 308 opinions
delivered the opinion of the Court.†
This case requires us to decide whether, and to what extent, the First Amendment protects independent contractors from the termination of' at-will government contracts in retaliation for their exercise of the freedom of speech.
I
Under state law, Wabaunsee County, Kansas (County), is obliged to provide for the disposal of solid waste generated
During the term of his contract, Umbehr was an outspoken critic of petitioner, the Board of County Commissioners of Wabaunsee County (Board), the three-member governing body of the County. Umbehr spoke at the Board’s meetings, and wrote critical letters and editorials in local newspapers regarding the County’s landfill user rates, the cost of obtaining official documents from the County, alleged violations by the Board of the Kansas Open Meetings Act, the County’s alleged mismanagement of taxpayers’ money, and other topics. His allegations of violation of the Kansas Open Meetings Act were vindicated in a consent decree signed by the Board’s members. Umbehr also ran unsuccessfully for election to the Board.
The Board’s members allegedly took Umbehr’s criticism badly, threatening the official county newspaper with censorship for publishing his writings. In 1990, they voted, 2 to 1, to terminate (or prevent the automatic renewal of) Umbehr’s contract with the County. That attempt at termination failed because of a technical defect, but in 1991, the Board succeeded in terminating Umbehr’s contract, again by a 2 to 1 vote. Umbehr subsequently negotiated new contracts with five of the six cities that he had previously served.
In 1992, Umbehr brought this suit against the two majority Board members in their individual and official capacities
The United States Court of Appeals for the Tenth Circuit reversed (except as to qualified immunity), holding that “an independent contractor is protected under the First Amendment from retaliatory governmental action, just as an employee would be,” and that the extent of protection is to be determined by weighing the government’s interests as contractor against the free speech interests at stake in accordance with the balancing test that we used to determine government employees’ First Amendment rights in Pickering v. Board of Ed. of Township High School Dist. 205, Will Cty., 391 U. S. 563, 568 (1968). 44 F. 3d 876, 883 (CA10 1995). It therefore remanded the official capacity claims to the District Court for further proceedings, including consideration of whether the termination was in fact retaliatory. The Board members who were the original defendants in this suit subsequently resigned their positions on the Board, so in this Court, the Board was substituted for them as petitioner. See this Court’s Rule 35.3.
We agree with the Tenth Circuit that independent contractors are protected, and that the Pickering balancing test, adjusted to weigh the government’s interests as contractor rather than as employer, determines the extent of their protection. We therefore affirm.
II
A
This Court has not previously considered whether, and to what extent, the First Amendment restricts the freedom of
Those precedents have long since rejected Justice Holmes’ famous dictum, that a policeman “may have a constitutional right to talk politics, but he has no constitutional right to be a policeman,” McAuliffe v. Mayor of New Bedford, 155 Mass. 216, 220, 29 N. E. 517 (1892). Recognizing that “constitutional violations may arise from the deterrent, or ‘chilling,’ effect of governmental [efforts] that fall short of a direct prohibition against the exercise of First Amendment rights,” Laird v. Tatum, 408 U. S. 1, 11 (1972), our modern “unconstitutional conditions” doctrine holds that the government “may not deny a benefit to a person on a basis that infringes his constitutionally protected .. . freedom of speech” even if he has no entitlement to that benefit, Perry v. Sindermann, 408 U. S. 593, 597 (1972). We have held that government workers are constitutionally protected from dismissal for re
While protecting First Amendment freedoms, we have, however, acknowledged that the First Amendment does not create property or tenure rights, and does not guarantee absolute freedom of speech. The First Amendment’s guarantee of freedom of speech protects government employees from termination because of their speech on matters of public concern. See Connick v. Myers, 461 U. S. 138, 146 (1983) (speech on merely private employment matters is unprotected). To prevail, an employee must prove that the conduct at issue was constitutionally protected, and that it was a substantial or motivating factor in the termination. If the employee discharges that burden, the government can escape liability by showing that it would have taken the same action even in the absence of the protected conduct. See Mt. Healthy, supra, at 287. And even termination because of protected speech may be justified when legitimate countervailing government interests are sufficiently strong.
The parties each invite us to differentiate between independent contractors and employees. The Board urges us not to “extend” the First Amendment rights of government employees to contractors. Umbehr, joined by the Solicitor General as amicus curiae, contends that, on proof of viewpoint-based retaliation for contractors’ political speech, the government should be required to justify its actions as narrowly tailored to serve a compelling state interest.
Both parties observe that independent contractors in general, and Umbehr in particular, work at a greater remove from government officials than do most government employees. In the Board’s view, the key feature of an independent contractor’s contract is that it does not give the government the right to supervise and control the details of how work is done. The Board argues that the lack of day-to-day control accentuates the government’s need to have the work done by someone it trusts, cf. Branti, supra, at 518 (certain positions in government employment implicate such a need for trust that their award on the basis of party political affiliation is
Each of these arguments for and against the imposition of liability has some force. But all of them can be accommodated by applying our existing framework for government employee cases to independent contractors. Mt. Healthy assures the government’s ability to terminate contracts so long as it does not do so in retaliation for protected First Amendment activity. Pickering requires a fact-sensitive and deferential weighing of the government’s legitimate interests.
Umbehr’s claim that speech threatens the government’s interests as contractor less than its interests as employer will also inform the application of the Pickering test. Um-behr is correct that if the Board had exercised sovereign power against him as a citizen in response to his political speech, it would be required to demonstrate that its action was narrowly tailored to serve a compelling governmental interest. But in this case, as in government employment cases, the Board exercised contractual power, and its interests as a public service provider, including its interest in being free from intensive judicial supervision of its daily management functions, are potentially implicated. Deference is therefore due to the government’s reasonable assessments of its interests as contractor.
We therefore see no reason to believe that proper application of the Pickering balancing test cannot accommodate the differences between employees and independent contractors. There is ample reason to believe that such a nuanced approach, which recognizes the variety of interests that may arise in independent contractor cases, is superior to a bright-line rule distinguishing independent contractors from employees. The bright-line rule proposed by the Board and
Furthermore, the arguments made by both parties demonstrate that it is far from clear, as a general matter, whether the balance of interests at stake is more favorable to the government in independent contractor cases than in employee cases. Our unconstitutional conditions precedents span a spectrum from government employees, whose close relationship with the government requires a balancing of important free speech and government interests, to claimants for tax exemptions, Speiser v. Randall, 357 U. S. 513 (1958), users of public facilities, e. g., Lamb’s Chapel v. Center Moriches Union Free School Dist., 508 U. S. 384, 390-394 (1993); Healy v. James, 408 U. S. 169 (1972), and recipients of small government subsidies, e. g., FCC v. League of Women Voters of Cal., 468 U. S. 364 (1984), who are much less dependent on the government but more like ordinary citizens whose viewpoints on matters of public concern the government has no legitimate interest in repressing. The First Amendment permits neither the firing of janitors nor the discriminatory pricing of state lottery tickets based on the government’s disagreement with certain political expression. Independent contractors appear to us to lie somewhere between the case of government employees, who have the closest relationship with the government, and our other unconstitutional conditions precedents, which involve persons with less close relationships with the government. The Board’s and the dissent’s assertion, post, at 687, 696-697, that the decision below represents an unwarranted “extension” of
B
1
The dissent’s fears of excessive litigation, see post, at 697-699, cannot justify a special exception to our unconstitutional conditions precedent to deprive independent government contractors of protection. Nor can its assertion that the allocation of government contracts on the basis of political bias is a “long and unbroken tradition of our people.” Post, at 688. We do not believe that tradition legitimizes patronage contracting, regardless of whether one approaches the role of tradition in First Amendment adjudication from the perspective of Part I of the Rutan dissent, see post, at 687 (quoting Rutan v. Republican Party of Ill., 497 U. S. 62, 95 (1990) (Scalia, J., dissenting)) (a practice that “ ‘bears the endorsement of a long tradition of open, widespread, and unchallenged use that dates back to the beginning of the Republic’ ” is presumed constitutional) (emphasis added), or from that of Justice Holmes, compare post, at 690 (quoting Holmes’ discussion of traditional usage of legal terminology in a tax case) with Abrams v. United States, 250 U. S. 616, 630 (1919) (Holmes, J., dissenting) (rejecting both the self-interested “logi[c]” and the long history of the suppression of free speech, including the Sedition Act of 1798 and “the common law as to seditious libel,” in favor of the true “theory of our Constitution,” which values free speech as essential to, not subject to the vicissitudes of, our political system).
The examples to which the dissent cites, post, at 688-690, are not, in our view, “‘the stuff out of which the Court’s principles are to be formed,’ ” post, at 687 (quoting Rutan, supra, at 96 (Scalia, J., dissenting)). Consider, for example, the practice of “courtroom patronage,” whereby “[ejlected judges, who owe their nomination and election to the party, give the organization lucrative refereeships, trusteeships,
2
The dissent’s own description of the “lowest-responsible-bidder” and other, similar requirements covering a wide range of government contracts that the Federal Government, all 50 States, and many local government authorities, have voluntarily adopted, see post, at 690-695, at least suggests that government contracting norms incompatible with political bias have proliferated without unduly burdening the government. In fact, lowest- and lowest-responsible-bidder requirements have a long history, as a survey of 19th century state constitutions and federal territorial legislation reveals. See, e. g., Ala. Const., Art. IV, § 30 (1875), in 1 Federal and State Constitutions 161 (F. Thorpe ed. 1909); Civil Government in Alaska Act, Tit. I, §2 (1900), in id., at 243; Ark. Const., Art. XIX, §§ 15, 16 (1874), in id., at 366; Colo. Const., Art. V, §29 (1876), in id., at 485; Del. Const., Art. XV, §8 (1897), in id., at 631; Permanent Government for District of Columbia Act, § 5 (1878), in id., at 645-646; Ill. Const., Art. III, § 39 (1848), in 2 id., at 991; Ill. Const., Art. IV, § 25 (1870), in id., at 1022; Kan. Const., Art. XVI, §2 (1858), in id., at
In sum, neither the Board nor Umbehr have persuaded us that there is a “difference of constitutional magnitude,” Lefkowitz, 414 U. S., at 83, between independent contractors and employees in this context. Independent government contractors are similar in most relevant respects to government employees, although both the speaker’s and the government’s interests are typically — though not always— somewhat less strong in the independent contractor case.
III
Because the courts below assumed that Umbehr’s termination (or nonrenewal) was in retaliation for his protected speech activities, and because they did not pass on the balance between the government’s interests and the free speech interests at stake, our conclusion that independent contractors do enjoy some First Amendment protection requires that we affirm the Tenth Circuit’s decision to remand the case. To prevail, Umbehr must show that the termination of his contract was motivated by his speech on a matter of public concern, an initial showing that requires him to prove more than the mere fact that he criticized the Board members before they terminated him. If he can make that showing, the Board will have a valid defense if it can show, by a preponderance of the evidence, that, in light of their knowledge, perceptions, and policies at the time of the termination, the Board members would have terminated the contract regardless of his speech. See Mt. Healthy City Bd. of Ed. v. Doyle, 429 U. S. 274 (1977). The Board will also prevail if it can persuade the District Court that the County’s legitimate interests as contractor, deferentially viewed, outweigh the free speech interests at stake. And, if Umbehr prevails, evidence that the Board members discovered facts after termination that would have led to a later termination anyway, and evidence of mitigation of his loss by means of his subsequent contracts with the cities, would be relevant in assessing what remedy is appropriate.
Finally, we emphasize the limited nature of our decision today. Because Umbehr’s suit concerns the termination of a pre-existing commercial relationship with the government, we need not address the possibility of suits by bidders or applicants for new government contracts who cannot rely on such a relationship.
It is so ordered.
The Chief Justice joins all but Part II-B-1 of this opinion.
The Board also asserts that state and local government decisions on individual contracts are insulated by the Tenth Amendment or legislative immunity from constitutional scrutiny and liability. See Brief for Petitioner 23-26, 37. The Tenth Amendment claim was not raised in its petition, so we do not address it. See this Court’s Rule 14.1(a). Because only claims against the Board members in their official capacities are before us, and because immunity from suit under § 1983 extends to public servants only in their individual capacities, see, e. g., Leatherman v. Tarrant County Narcotics Intelligence and Coordination Unit, 507 U. S. 163, 166 (1993), the legislative immunity claim is moot.