The following is a hypothetical case I am using as the culminating activity in Public School Law this semester.
The Dismissal of Principal X
Principal X is principal in a local public middle school in a state that has recently adopted through legislation, articulated with greater precision in state department of education regulations, a new teacher evaluation scheme. The teacher evaluation laws and regulations now require that:
- Any teacher who receives two sequential evaluations less than “satisfactory” shall have his/her tenure status revoked;
- Teacher evaluations shall consist of 40 to 50% measures of student growth, where the majority shall be based on state provided metrics.
- By regulatory decree of the State Commissioner of Education, any other measures selected by local district officials for inclusion in evaluations must be proven correlated with state approved and provided measures of student achievement growth.
Further, the state now conditions receipt of “any and all increases to state aid for local public school districts” on full compliance with statutes and regulations pertaining to teacher evaluation.
On September 20th of 2013, Principal X was provided with growth percentile data on her teachers from the prior year. Of the approximately 40 certified staff in her school, 8 received growth percentile data, two of whom achieved unsatisfactory growth percentile estimates for their students, one of whom received a second unsatisfactory rating in a row ‐Teacher Y.
In keeping with the requirement that any and all other measures used in the state approved teacher evaluations be correlated with the growth percentile measures, the principal was compelled to assign this teacher a second unsatisfactory rating, and thus compelled to revoke the tenure status of Teacher Y. She was a 10 year veteran teacher perceived by the principal and many others in the school to be one of the school’s most valuable human resources. In fact, over the past several years, the principal had relied on this teacher to take the difficult students including playing a more significant role than others in inclusion of children with disabilities in her classroom – and the teacher not only willingly, but eagerly complied.
Frustrated with the outcome of the new state teacher evaluation laws, Principal X took her case to the public and to state officials simultaneously. Without specific reference to the case in question – but via stylized example – the principal used the case of Teacher Y to illustrate how strict requirements of job action based largely on limited and problematic measures could lead to damaging decisions – decisions
1| Page
that she argued were neither in the best interest of the teachers nor the children they served, and decisions likely to negatively affect the quality of education statewide.
The principal made the case for returning discretion on issues of teacher evaluation and human resource management to local officials, including school principals. The principal’s letter led to a sympathetic uprising from community members and parents, who were quick to catch on as to which teacher was actually the basis of the principal’s hypothetical. Parents of that teacher’s students were outraged, and expressed their outrage at local board of education meetings. During this time, the local board of education maintained quiet support of the principal.
The principal had also begun to engage other principals statewide establishing a network of principals publicly proclaiming their opposition to newly adopted state teacher evaluation statutes and regulations. A web site was created, a non‐profit organization (political action organization) was formed, and the original letter of opposition to new state policies posted on the site, along with a petition for other school principals to show support for the group’s cause and/or become an official member.
State officials were less supportive and unamused by this principal’s apparent disrespect for their authority, and her “willful disobedience of existing statutes and regulations” expressed by Principal X’s stalling on submitting relevant evaluation information necessary for revocation of Teacher Y’s tenure status. Further, state officials were less than thrilled with the mounting insurrection initiated by the publicly posted letter to state officials outlining problems with the state teacher evaluation laws.
State officials released a letter to the local board of education indicating that their state aid would be frozen for the coming school year if, in fact, their rogue principal continued to stall and refuse compliance with the teacher evaluation laws. Under pressure from the board, Principal X agreed to initiate procedures that would lead to tenure revocation for Teacher Y. Instead of waiting out this process, Teacher Y chose to resign and pursue employment elsewhere.
But with mounting pressure on the local board of education from state department officials to control the growing movement among principals statewide against the teacher evaluation laws, a movement initiated by one of their most respected principals (who had received only glowing evaluations in prior years), the district board chose to dismiss Principal X, citing that the principal’s activities had distracted her from doing the job required, substantively compromised her effectiveness as a principal and significantly interfered with the ability of district officials to efficiently and effectively carry on district operations (including the uncertainty created over the district’s future state aid receipts).
Principal X is now suing the district for wrongful dismissal, arguing that the district’s dismissal is in violation of her first amendment right to express herself to the public on issues of public interest, for which she, as an informed public school employee has relevant information.
2| Page
Required Reading
Key Cases
Pickering v. Board of Education: http://www.oyez.org/cases/1960‐1969/1967/1967_510
Connick v. Myers: http://www.oyez.org/cases/1980‐1989/1982/1982_81_1251
Garcetti v. Ceballos: http://www.oyez.org/cases/2000‐2009/2005/2005_04_473
Blogs
EdJurist: Garcetti & Schools http://www.edjurist.com/garcetti‐and‐schools
EdJurist: Academic Blogging & Garcetti: http://www.edjurist.com/blog/2008/5/9/academic‐freedomgarcetti‐blogging.html
Law Reviews
Oluwole, J. O. (2007). On the Road to Garcetti: Unpick’erring Pickering and Its Progeny. Cap. UL Rev., 36, 967.
3| Page
Awesome scenario. I love that it is the principal that is under attack. Too many administrators forget that they themselves are subject to these laws, not just their teachers. They are sometimes happy to apply Garcetti but freaked out when it is turned on them. But, there is clear caselaw (and a growing amount) where school administrators are terminated and lose under Garcetti. When you think about it, Garcetti is actually a tremendous weapon against school leaders, moreso than I think it is a weapon for school leaders. A school board, like this one, can pretty much potentially use anything a principal says against them.
I’m a little hesitant to give my opinion, hoping that I do not influence any students currently in this mock trial. So, if students in Bruce’s class are reading this, please do not let this influence you and I will try to help both sides.
As crazy as it is (because this is clearly stuff we should want our principals doing in a democracy), I do not think the principal would win the case (not having a really deep reading of the full 3rd Circuit’s application). I think it would depend a little bit on how the letter was published. If it was in a newspaper or something, I would like the principals case a bit more. But, in the end, I am not sure how a Court even gets to the First Amendment (and the public concern test) because this is pretty clearly pursuant to her official job duties. As I point out in my blog post you reference, I see Garcetti as a preliminary test. It is a gateway through which you must pass before you can get to Pickering, and a very narrow one at that. I feel that a judge would almost have to consciously ignore Garcetti (going straight to Pickering) to find for the principal in this case. That said, recently, I do feel that some judges have been doing just that (although I have not liked the rationale, or lack thereof, for this approach).
Now, the First Amendment might not be the only play here (trying to help out both sides of this mock trial). There are other potential pathways such as a potential due process approach, whistleblowing, an arbitrary and capricious approach, a direct attack on the state Department of Education/officials, and perhaps more. The judge in this case would probably like to reach the right result (which is clearly letting this strong principal keep his/her job) but the judge is going to need a pathway to get there. So, to those on the principals side to this mock trial, your task is to give the judge a way to reach the result she wants to reach anyway.
A great example, and one that, with a few tweaks, might arise in a year or two in New York. It’s too early in our teacher eval system for a required action, but we have a significant number of principals who are actively opposed to multiple elements of the state’s teacher and principal evaluation system. Holding back funds and then going after a principal for not following the law might be a back-door means to strong-arm opponents without having to deal with the fundamental inadequacies of test-based accountability. These testing issues have been wonderfully discussed on this blog already.
I will be looking forward to future posts that offer more as this case ‘moves forward.’ As I’ve told several young folks looking for a career, go into school law and education labor law, and have a strong background in psychometrics. There are many years of litigation ahead.
By all means the new rules will open up a larger legal specialty for those so inclined. Aren’t most of our law makers lawyers? This should bring in more work.
How did the students do presenting their briefs and case before the “judge”?
Sorry, I am not a lawyer….
The “whistle blowing” approach would give justices an opening.
From what I have read…SGP is not a valid construct when evaluating Schools(Principals) or teachers.
This leaves an opening for those Teachers /Principles that are dismissed to sue their former employers.. The State is forcing School Districts to use a new evaluation formula that is putting the Taxpayers of those School Districts financially at risk.
The Principal has “insider knowledge” and is informing the Public. Millions of Taxpayer dollars would be saved.
You forgot to note, Bruce, that this particular Principal X had just been named the state’s High School Principal of the Year. 😉
In terms of the legal analysis, there’s no question that a student could argue that Garcetti should never be applied to educators, citing the Court’s footnote. Depending on the jurisdiction, this may face a contrary Court of Appeals decision, though.
Contract issues (what are the terms of the principal’s contract?) as well as possible collective bargaining terms (if in such a state) might be helpful. And, as Justin notes, there’s the possibility of notice (due process) issues — and maybe even the possibility of promissory estoppel, depending on the nature of any behind the scenes support from the board?? — but I would expect that the employment is largely at will. I would also expect the court to apply Garcetti. And I would expect the principal to lose the lawsuit.
Sigh.
The good news is that Principal X would keep fighting and the state’s policy makers would eventually adopt more sane and balanced policies. Meanwhile Teacher Y moved to Finland and is now appreciated and is being treated as a professional.
Thankfully, the principal who inspired this scenario is still gainfully employed, and seems to have achieved positive recognition.
Oral arguments in our mock case were completed on Monday evening. Attorney’s for both sides were peppered with tough questions by our panel of judges. The debate certainly centered on the difficult question of what constitutes a matter of public concern and what would delineate a matter of public concern from an issue pursuant to the job duties of the principal.
This is where Justin’s comments about my choice to make this about the principal become most interesting – because that which is pursuant to the official duties of a principal is much broader than that which might be pursuant to the duties of, say, a music teacher in the school.
Attorneys on behalf of the district argued that one of the job duties of the principal is to be the public face of the school, to lead in the adoption and implementation of mandates. This, of course was countered with the difficult question of when, if ever, a school leader might be able to speak out publicly against policies? Does Garcetti almost always apply?
Shooting for a win-win-win angle, the attorneys for the district pointed out (as per Justin’s explanation – they did there reading, and more) that using Garcetti as a gateway, the principal’s speech and perhaps more importantly what they characterized as her obstructive actions could only be seen as pursuant to her official duties as an educational leader charged with implementation of the mandate.
They took their arguments a few steps further, suggesting that her actions were at best marginally different from the internal kerfuffle in the DA’s office in Connick v. Myers – that this was really just about the principal trying to protect the interests of a single favored teacher who had now been objectively classified as ineffective. In their final shot, they asserted that even if evaluated under a balancing test, considering the speech in question and potential disruption (including loss of funds) not only to the efficient operations of the school, but of the entire state system (RTTT funds in jeopardy) that the magnitude of the disruption outweighed the principal’s interest in protecting this single teacher (as they had characterized it). In their view, the yet-to-be-tested teacher evaluation law itself was the greater public interest and that allowing subversion of the law would be analogous to allowing police officers to choose when to enforce DUI laws (potentially putting at risk highway funds – noting parallel to RTTT funding) or whether school officials enforce vaccine requirements based on personal objections (creating health risks).
I hadn’t conceived of this being the major issue in the case, but a fair amount of attention was paid to delineating between the principal’s speech (letter, blog post) and what were characterized as the principal’s foot-dragging and obstruction of the policy at the local level (even though she eventually complied).
The justices did not seem to be completely buying the point that school leaders should follow blindly any/all state statutes, simply because they were statutes – one judge quipping that segregation had been law… was it okay to speak out about that?
In rebuttal, attorneys for Principal X (Sheila Wright) emphasized that the state had little basis for their claim that adoption of this policy was the greater public interest and that their client was uniquely positioned to inform the public of the potential problems – the potential greater risks to the public – of moving forward with this ill-conceived policy.
The justices will render their decision on Monday, May 6. Update at that time.
Sounds like a great argument … and a fun time. Folks vastly underrate how much fun school law can be.
I like the paragraph that starts “in rebuttal …” – if that argument was framed right (and getting that framing right would be very difficult) I think it could be a winner eventually, especially because you have the language in Garcetti opening the door for treating educators differently (thus opening a backdoor potentially). The trick there is going to be to cite a great deal of precedent that education is a huge public interest … and find that backdoor (because taking on the Supreme Court decision directly with a pure First Amendment analysis is not going to work). That’s why I would like a substantive due process case against the Board’s actions … it is a backdoor to get the right result while still acknowledging the role of the First Amendment but not directly ignoring/overruling Garcetti.
Being primarily a school finance professor… I agree that school law can be much more fun.
Certainly the most fun/interesting/valuable part of the debate in my view involved the discussion of “whose public interest?” Who defines the public interest… and who may engage actively in debate over it? Ultimately, when, if ever, is a public official charged with upholding the state’s version of the public interest, able to speak out in favor of an alternative version without fearing retribution… and where there are no clear issues of corruption or immanent physical danger involved.
On the evening of May 6, the court issued its majority opinion in what became identified as the case of Principal Wright vs. Local Public School District. Following is an excerpt from the majority decision:
In a decision concurring in part and dissenting in part, two justices issued the following cautions:
It appears to me that the board & Supt. created a hostile workplace for the teacher forcing him/her to resign and then compounded the mistake by caving into the State’s political pressure and firing the principal. The board is at fault in both instances as they are the only ones that can hire and fire upon recommendation of the Supt. If they were consistent in their approach then perhaps they wouldn’t be in court. I wonder if the board is looking for a new Supt. after all this mess.
Unfortunately, I don’t think the principal could successfully mount a claim of harassment against her, by the school (drawing on the hostile environment phrasing). The intent here is to point out the awkward position of the board, the superintendent, the principal and the teacher when a policy is adopted and enforced from above, but is considered by many working in the trenches to be deeply flawed. The teacher may be wrongfully classified, leaving her little recourse. The principal is obligated under law to play the henchman role for the state, under the flawed policy/metrics. The board and supt are faced with threat of loss of substantial financial aid for their district, inhibiting their ability to plan their budget for the following year, perhaps necessitating layoff notices, etc. So, it’s hard to see how the local board really isn’t just in as awkward a position as the principal. It’s all a matter of who caves first… or who fights hardest… and who wins/loses in the short… and long term.
A very interesting decision, and the case bears some superficial similarities to the wide-spread opposition by school administrators in New York, organized by two Long Island principals and signed by 1539 principals and thousands of other educators and parents. One big difference is that there have been no threats to the two organizers from their superintendents or Boards of Education because these upper management folks agree with the positions, and the two districts don’t fear the loss of state aid. But it’s a bolder move for some of the other principals around the state.
Indeed it is a stylized tale of the NY principals… One that has likely yet to fully run its course. Let’s hope it turns out better than this.