Pratt v. Ottum

• Decision Date: 27 November 2000
• Citation: 761 A.2d 313,2000 ME 203
• Parties: Robert S. PRATT v. John OTTUM et al.
• Court: Maine Supreme Court

761 A.2d 313

2000 ME 203

Robert S. PRATT v. John OTTUM et al.

Supreme Judicial Court of Maine.

Submitted on Briefs September 14, 2000.

Decided November 27, 2000.

Ronald E. Colby III, Esq., Sumner H. Lipman, Esq., Lipman & Katz, P.A., Augusta, attorneys for plaintiff.

Edward R. Benjamin Jr., Esq., Lisa Fitzgibbon Bendetson, Esq., Thompson & Bowie, for Ottum, Quinn & Thompson.

William Fisher, Esq., Portland, for County Commissioners.

Panel: WATHEN, C.J., and CLIFFORD, RUDMAN, DANA, SAUFLEY, ALEXANDER, and CALKINS, JJ.

RUDMAN, J.

[¶ 1] The individually named defendants, John Ottum, Daniel Thompson, and Peter Quinn, appeal from the order of the Superior Court (Lincoln County, Marsano, J.), which denied their motion for a summary judgment on Count X of Robert S. Pratt's amended complaint, alleging civil rights violations pursuant to 42 U.S.C. § 1983. The defendants assert that there are no disputes as to material facts and that they are entitled to summary judgment as a matter of law on their defenses of qualified immunity and legislative immunity. Finding no material facts in dispute regarding the qualified immunity defenses, we vacate and remand the matter for the entry of a summary judgment in favor of the individually named defendants.

I. CASE HISTORY

[¶ 2] Defendants Ottum, Thompson, and Quinn were volunteer members of the General Board and Executive Board of the Lincoln County Planning Office (LCPO)¹ prior to its dissolution in March, 1997. The LCPO was incorporated in 1990 as a non-profit, quasi-municipal corporation.² The LCPO was created in order to strengthen local government within Lincoln County by identifying regional challenges and opportunities and by assisting regional municipalities to coordinate their efforts to address those challenges and opportunities that were beyond the means of any municipality acting singularly.

[¶ 3] Ottum, Quinn, and Thompson were appointed to the General and Executive Boards of the LCPO by Lincoln County and member municipalities. The General Board possessed the general power to govern the LCPO and was comprised of Ottum, Thompson, and Quinn, who served as its Chairman, Vice-Chairman and Treasurer, respectively. Ottum, Quinn, and Thompson also served on the Executive Board, which was responsible for implementing the plans of the General Board.

[¶ 4] In 1989, during the defendants' tenure on the General and Executive Boards, the Executive Board hired Pratt to serve as the LCPO's Executive Director. Pratt's duties included ensuring that the agenda, minutes, and announcements of the General Board were written as proposed, preparing draft annual budgets, overseeing the day-to-day activities of the office, and preparing contracts and proposals. Pratt's salary and benefits were paid by Lincoln County, and the County provided him with a car and a county identification. Pratt's employment was memorialized in a "Memorandum of Understanding." In 1990, the LCPO adopted Lincoln County's personnel policies and Pratt's employment became subject to its provisions as well.³

[¶ 5] In October 1995, the General Board appointed an Evaluation Committee to evaluate Pratt's job performance. The Committee reported numerous deficiencies in Pratt's performance.⁴ The General Board, through Ottum, presented Pratt with the report and informed him that he must make substantial improvement in the areas indicated. Ottum told Pratt that he would be reevaluated in six months.

[¶ 6] In April 1996, the Committee reevaluated Pratt and determined that he had not made the desired improvements. The General Board met on April 22, 1996, and authorized the Executive Board to request Pratt's resignation and resolved that, if Pratt refused to resign, his position would be terminated. In response to this measure, Pratt requested that he be able to submit a letter of resignation in which he would express his decision to "retire." He also requested that he be allowed to draft a retirement agreement and press release.⁵ The parties did not readily come to an agreement over the terms of Pratt's retirement, primarily because of a dispute over the amount of his severance package. In August 1996, negotiations broke down, Pratt withdrew his offer of resignation, and the General Board voted to terminate his position retroactive to April 1996.

[¶ 7] Pratt appealed his termination to the Lincoln County Appeal Board. On October 7, 1996, the Appeal Board ruled that the LCPO had deprived Pratt of his due process by (1) failing to properly advise him of his probationary status in October 1995, when the Evaluation Committee was appointed, (2) not following "progressive disciplinary action procedure," and (3) not permitting Pratt to attend the General Board's executive session in order to respond to the evaluation, all of which was contrary to the LCPO's personnel policy. The Appeal Board ordered that Pratt be reinstated and that, "[i]f the Board of Directors desire to dismiss Mr. Pratt after reinstatement, the proper notice and hearing must be provided."

[¶ 8] The Appeal Board, however, did not decide the issue of whether Pratt was entitled to back pay and benefits. On November 5, 1996, it issued a supplemental order, awarding Pratt back pay and benefits for the period from August 20, 1996, the date of Pratt's dismissal, to the date of his reinstatement. It denied Pratt's demand for back pay and benefits for the period immediately prior to August 20, 1996.

[¶ 9] On October 15, 1996, the Executive Board informed Pratt that he had been reinstated, but that he was "not to participate in the operation of the LCPO except as directed," that he was to "complete any and all assignments from [his] home," and that he would "not have any supervisory responsibilities." Pratt eventually met with Thompson and Quinn on November 5, 1996, and they informed him that he was to return to work the next day, but that his duties had been substantially reduced. During Pratt's absence, the Executive Board had hired Terri Jones as its "Managing Director." The Executive Board had delegated to Jones the primary responsibilities that Pratt had previously held. Jones was also given Pratt's office.

[¶ 10] On November 6, 1996, Pratt filed a seven-count complaint against the LCPO, including (1) an M.R. Civ. P 80B appeal of the Appeal Board's adverse decision on back pay and benefits for the period between April 23, 1996, and August 20, 1996; (2) statutory claims for unpaid wages and compensatory time; (3) a plea for injunctive relief from the LCPO's failure to fully reinstate Pratt to his executive duties; (4) a claim for breach of contract, and (5) a section 1983 claim for violation of Pratt's First Amendment and Due Process rights.

[¶ 11] Upon his return to the workplace, the environment became tense and unfriendly. Pratt expressed concern to Ottum, Thompson, and Quinn that the LCPO did not have the resources to pay two directors' salaries and made statements to the press that the LCPO was in "dire straits" because of a lack of funding.⁶

[¶ 12] On January 17, 1997, Pratt conducted an evaluation of Donna Heavener, a LCPO staff member, and was critical of her job performance. Heavener appealed Pratt's evaluation and characterized the appeal as a grievance as well, alleging that Pratt was intimidating and harassing her for perceived disloyalty relating to his prior termination. On January 28, 1997, Ottum wrote to Pratt and advised him that he was suspended with pay. At a February hearing on Heavener's grievance, the General Board went into executive session and emerged from it with the news that they would not hold the Heavener grievance hearing and that Pratt's suspension with pay would continue because they had decided to dissolve the LCPO. On March 13, 1997, the General Board formally voted to dissolve the corporation because its financial solvency was in jeopardy.

[¶ 13] On June 4, 1997, Pratt amended his complaint, adding as defendants, Lincoln County, the Board of County Commissioners, and the defendants-in-interest in this interlocutory appeal—Ottum, Thompson and Quinn. In addition to adding two new claims against the governmental defendants, this amended complaint added section 1983 claims against Ottum, Quinn, and Thompson.

[¶ 14] Ottum, Thompson, and Quinn filed a summary judgment motion on February 1, 1999, asserting legislative and qualified immunity defenses. The Superior Court denied their motion.⁷ The court ruled, "[b]y 1996, it was well established `that a constructive discharge of a public employee without procedural due process constitutes an unconstitutional deprivation of property.' Because their actions violated plaintiff's clearly established rights, defendants are not entitled to a qualified immunity as a matter of law."

II. STANDARD OF REVIEW

[¶ 15] An order denying a motion for a summary judgment must be reviewed for errors of law. See Andrews v. Dep't of Envtl. Prot., 1998 ME 198, ¶ 10, 716 A.2d 212, 217

. The availability of the qualified immunity defense is a question of law. See id. at ¶ 13, 716 A.2d at 217. Pursuant to the death-knell exception to the final judgment rule, we will hear a government official's interlocutory appeal from an order denying a motion for summary judgment in which a claim of immunity is raised. See id. (citing J.R.M., Inc. v. City of Portland, 669 A.2d 159, 160 & n. 1 (Me.1995)). A court ruling on a motion for summary judgment may consider only the portions of the record referred to, and the material facts set forth, in the Rule 7(d) statements.⁸

See Prescott v. State Tax Assessor, 1998 ME 250, ¶ 5, 721 A.2d 169, 172 (citations omitted).

III. DISCUSSION

[¶ 16] Pursuant to 42 U.S.C. § 1983:

Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State . . ., subjects, or causes to be subjected, any citizen of the United States ... to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable

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