VINCENT L. BRICCETTI, District Judge.
Plaintiff Stephen Cole-Hatchard brings this action pursuant to 42 U.S.C. § 1983 and state law against defendants George Hoehmann, town supervisor for the Town of Clarkstown, New York (the "town"); Frank Borelli, the town's deputy supervisor and a member of the town board; town board members Stephanie Hausner, John J. Noto, and Adrienne D. Carey; the town itself; and the town board (the "board"). The amended complaint claims defendants violated plaintiff's constitutional rights to free speech, due process, free assembly, and equal protection, violated the New York Labor Law,
Before the Court is defendants' motion to dismiss the amended complaint under Rule 12(b)(6). (Doc. #34).
For the following reasons, defendants' motion is GRANTED in part and DENIED in part.
The Court has subject matter jurisdiction under 28 U.S.C. § 1331 and § 1367(a).
In deciding the pending motion, the Court accepts as true all well-pleaded factual allegations in the amended complaint and draws all reasonable inferences in plaintiff's favor. As noted below, the Court also relies on several documents that are "integral to the complaint."
Plaintiff worked for the Clarkstown Police Department (the "department") for thirty-two years, attaining the rank of detective sergeant. Plaintiff claims defendants stripped him of significant job responsibilities and effectively forced him to resign on September 4, 2016, in retaliation for comments plaintiff made to a reporter about defendants' campaign financing.
In June 2014, plaintiff was "selected" by the Rockland County District Attorney to be the director of the Strategic Intelligence Unit ("SIU") (Am. Compl. ¶ 31), a "very prestigious" position. (
Before the incidents described in the amended complaint, plaintiff's responsibilities within the department also included "communicating with news media on behalf of the [d]epartment, and the responsibility for addressing many of the requests for information made to the [d]epartment pursuant to the New York State Public Officers Law." (Am. Compl. ¶ 37).
From March 16 through March 28, 2016, plaintiff corresponded via email with Steven Lieberman, a local newspaper reporter, regarding a story Lieberman was writing about campaign financing. Plaintiff used his department email address to conduct this correspondence, but claims he was "off the clock and at home when virtually all of the email exchanges occurred." (Am. Compl. ¶ 60). Plaintiff claims this exchange was unrelated to his law enforcement duties.
According to the amended complaint, in October 2015, a terminated Clarkstown police officer made large, illegal donations to the campaigns of Hoehmann, Borelli, Noto, and the Rockland County Republican Party. Allegedly, Lieberman had examined public records and concluded certain donations to Hoehmann and the Republican Party were improper. Plaintiff claims Lieberman asked him via email whether, in his opinion as a former elected official,
On March 28, 2016, Lieberman also asked plaintiff via email about a confidential disciplinary proceeding against a Clarkstown police officer, to whom the parties refer as "Officer P." Lieberman wrote, "Aside: What's up with P[ ]? Is he out?" (Loomba Decl. Ex. C). Plaintiff responded, "721-0774 Don[']t want an email on that[.]" (
On June 29, 2016, the department's chief, Michael Sullivan, served plaintiff with a written Notice of Internal Investigation, indicating Hoehmann, Borelli, Noto, Carey, Hausner, and the board had accused plaintiff of communicating with a reporter about Officer P's pending disciplinary matter. That afternoon, Chief Sullivan questioned plaintiff about the accusation. Plaintiff admitted he had communicated with the media about the department generally, but denied disclosing any information to anyone about Officer P's disciplinary matter.
On July 1, 2016, Hoehmann sent Chief Sullivan a memorandum, copying Borelli, Hausner, Noto, and Carey, among others. According to the memorandum, it was "clear that there was an email exchange and a suggestion that [Plaintiff] and the Reporter would have further dialogue over [Officer P's] status." (Loomba Decl. Ex. F). The memorandum directed plaintiff's "immediate reassignment today out of the [SIU] to other duties appropriate to his status and rank as a detective sergeant within [department headquarters]" and ordered that plaintiff "is not to have any duties that place him in contact with members of the press and media, either direct or indirect." (
Plaintiff alleges defendants used his email exchange regarding Officer P as a pretext for retaliating against plaintiff for his comments to Lieberman about defendants' campaign financing. Plaintiff claims Hoehmann already knew the complaint against plaintiff was "without foundation" when he sent the July 1 memorandum to Chief Sullivan. (Am. Compl. ¶ 85). Plaintiff alleges the July 1 memorandum was nevertheless placed in plaintiff's personnel file and was "reported to news agencies including but not limited to a Facebook page" operated by an entity that supports the "electoral aspirations" of Hoehmann, Borelli, Noto, and Carey. (
Based on the July 1 memorandum, plaintiff alleges he was "demoted" from the SIU directorship; "stripped of numerous other long-time responsibilities with the Police Department; transferred back to police headquarters with no specific duties given; and prohibited from speaking or communicating with the press `directly or indirectly.'" (Am. Compl. ¶ 95).
On July 29, 2016, a local newspaper allegedly quoted Hoehmann's chief of staff saying, "When [plaintiff] got caught leaking information about a current officer, he made up a fantastical story about political retribution to cover himself." (Am. Compl. ¶ 155). On August 1, 2016, Hoehmann allegedly went on a Rockland County radio station and said plaintiff had leaked confidential information about another police officer to the media.
In August, the department's internal affairs investigation allegedly exonerated plaintiff of leaking Officer P's confidential information. Defendants received the complete written report from the investigation on August 12, 2016. Plaintiff learned of his exoneration on August 17.
Plaintiff claims defendants continued to make public, false accusations against him. Between August 17 and September 1, 2016, defendants allegedly accused him of "illegal political espionage; illegally surveilling and investigating a judge; illegally surveilling and investigating a sheriff; abusing department owned asse[ts]; racial surveillance; racial profiling; illegally violating intelligence guidelines, including 28 C.F.R. 23; and illegally monitoring civilians expressing a dislike towards police." (Am. Compl. ¶ 99 (internal quotation marks omitted)). Defendants made some of these accusations in counterclaims against plaintiff in a separate lawsuit in which plaintiff was not initially a party. (Ranni Decl. Ex. E). Defendants also allegedly "`leaked' and caused to be published false and defamatory allegations that Plaintiff improperly deleted files while under `investigation.'" (Am. Compl. ¶ 93).
Plaintiff claims defendants' actions caused him to resign and retire on September 4, 2016.
In deciding a Rule 12(b)(6) motion, the Court evaluates the sufficiency of the operative complaint under the "two-pronged approach" articulated by the Supreme Court in
To survive a Rule 12(b)(6) motion, the allegations in the complaint must meet a standard of "plausibility."
Plaintiff's free speech claim actually contains two different claims. First, plaintiff claims defendants "interfere[d] with [his] right to freedom of speech by prohibiting him from having contact with members of the media." (Am. Compl. ¶ 119). Second, plaintiff claims defendants "retaliated against [him] for his previous exercise of his right to freedom of speech." (
Plaintiff does not state a claim for interference with prospective speech.
A plaintiff alleging a violation of his prospective right to free speech must show "either that (1) defendants silenced him or (2) defendants' actions had some actual, non-speculative chilling effect on his speech."
Plaintiff does not plausibly allege defendants' actions silenced him or had an actual chilling effect on his speech with respect to matters of public concern. The July 1 memorandum is the only action plaintiff alleges defendants took to curb plaintiff's speech. Moreover, the only matter of public concern about which plaintiff alleges he wishes to speak as a private citizen is defendants' campaign contributions. But the order removing plaintiff from "duties that place him in contact with members of the press and media, either direct or indirect" (Loomba Decl. Ex. F) did not prevent plaintiff from speaking privately about this matter.
Plaintiff does, however, state a plausible First Amendment retaliation claim.
The First Amendment prohibits government officials from subjecting a public employee to retaliatory actions for exercising the employee's free speech rights under the First Amendment.
Plaintiff adequately alleges his speech about campaign financing was protected.
"[W]hen public employees make statements pursuant to their official duties, the employees are not speaking as citizens for First Amendment purposes, and the Constitution does not insulate their communications from employer discipline."
First, as alleged, plaintiff's speech to Lieberman about defendants' campaign financing was made in his capacity as a private citizen. Plaintiff claims he was giving an opinion as a former elected official experienced in campaign finance issues, not as a representative of the department. The list of plaintiff's official responsibilities in the amended complaint does not include investigating public corruption or violations of campaign finance laws. Although plaintiff's duties did include communicating with the press generally, plaintiff's alleged comments to Lieberman did not address any department matter or investigation; indeed, Lieberman was asking for plaintiff's thoughts about Lieberman's own reporting. Moreover, speaking to a reporter about public documents is a channel available to private citizens. Even if plaintiff's use of his work email favors finding this was public speech, this one fact does not outweigh the allegations suggesting plaintiff was speaking as a private citizen.
Second, plaintiff's speech was on a matter of public concern, because it allegedly concerned illegal campaign financing. "`[P]ublic corruption or wrongdoing' is almost always a matter of public concern."
In the First Amendment retaliation context, employment action is adverse if it "would deter a similarly situated individual of ordinary firmness from exercising his or her constitutional rights."
Plaintiff alleges defendants' retaliatory actions: (i) cost plaintiff his "very prestigious" SIU directorship; (ii) stripped him of his responsibilities—including his role interacting with the media—without assigning him new ones; (iii) changed the location of his job; and (iv) subjected him to accusations of illegal activity. This sufficiently pleads adverse employment action.
Defendants argue even if plaintiff has pleaded the elements of a First Amendment retaliation claim,
Plaintiff plausibly claims defendants' stated reason for taking action against him—his email about Officer P—was pretextual, and the real reason defendants took action against him was to retaliate for plaintiff's comments about campaign financing. At this stage, the Court is required to accept this allegation as true. Thus, as alleged, the third element of the
Accordingly, dismissal of plaintiff's free speech retaliation claim is not warranted.
Like his free speech claim, plaintiff's due process claim actually contains two different claims: a claim for deprivation of his "property interest in his employment" (Am. Compl. ¶ 127) without procedural due process, and a so-called "stigma-plus" claim for constitutional defamation,
To determine whether plaintiff states a claim for deprivation of a property interest without due process, the Court examines (i) whether plaintiff possessed a protected property interest; and (ii) what process plaintiff was due before he could be deprived of that interest.
"Property interests are not created by the Constitution; rather `they are created and their dimensions are defined by existing rules or understandings that stem from an independent source such as state law-rules or understandings that secure certain benefits and that support claims of entitlement to those benefits.'"
Plaintiff pleads no protected property interest in his position as director of the SIU.
Particular positions or ranks in public employment are protected if they would be "protected under state law" and are of "sufficient importance" to the employee.
Plaintiff has not alleged facts showing his position at the SIU is protected by a state law source, such as the civil service law or a collective bargaining agreement,
Further, plaintiff does not adequately plead he was deprived of due process when he was allegedly forced to resign from the department on September 4, 2016.
When a public employee resigns, "the only possible dispute is whether the resignation was voluntary or involuntary," which "cannot be determined in advance."
In New York, a police officer may bring an Article 78 proceeding,
"`Stigma plus' refers to a claim brought for injury to one's reputation (the stigma) coupled with the deprivation of some `tangible interest' or property right (the plus), without adequate process."
To establish the "stigma" element of the claim, plaintiff must allege the government made false and defamatory statements that "call into question [his] good name, reputation, honor, or integrity,"
The "deleterious effects [flowing] directly from a sullied reputation," including "economic harm,"
Plaintiff cannot rely on his resignation from the department for the "plus" because he did not avail himself of an Article 78 proceeding after he resigned. As explained
None of the other alleged negative effects of defendants' statements,
Accordingly, plaintiff's due process claim must be dismissed.
"To succeed on a First Amendment claim [for retaliation against associational conduct
Defendants contend this claim fails because plaintiff has not shown a causal connection between plaintiff's association with journalists and defendants' alleged retaliation.
The Court disagrees.
Plaintiff associated with Lieberman in late March 2016. Defendants' alleged retaliation came in early July. Under the circumstances, a three-month interval is sufficiently close to imply causation.
Defendants also raise the
Accordingly, dismissal of plaintiff's free association retaliation claim is not warranted.
Plaintiff claims his equal protection rights were violated because defendants "targeted [him] for disfavor based upon his refusal to comply with Defendants' political agenda." (Am. Compl. ¶ 144). It is clear, therefore, that plaintiff's equal protection claim is based solely on his being retaliated against for his speech and association with Lieberman.
When an equal protection claim "is based on an alleged First Amendment violation, the former `coalesces with the latter.'"
Accordingly, dismissal of plaintiff's equal protection claim is not warranted.
Defendants contends plaintiff's failure to file a notice of claim dooms his state common law claim for defamation.
The Court agrees.
"[I]n a federal court, state notice-of-claim statutes apply to
Plaintiff does not dispute his failure to file a notice of claim in this case. Rather, he argues he did not have to file a notice of claim because his claims for damages are incidental to the injunctive relief he seeks. However, the amended complaint seeks "an award of damages, both compensatory and punitive, against the Defendant[s] in an amount to be determined at trial for defamation." (Am. Compl. ¶ F). This is more than incidental. Although the amended complaint also states "Defendants and their agents should be ordered to issue corrections of their false statements, and be enjoined from further uttering false statements regarding Plaintiff" (Am. Compl. ¶ 166), the Court is not persuaded this is the primary relief sought. Indeed, the "prayer for relief" does not even mention this proposed injunctive relief.
Accordingly, dismissal of plaintiff's defamation claim is warranted.
Defendants contend they are entitled to dismissal by reason of legislative immunity.
The Court disagrees.
Legislative immunity only attaches to actions that are "legislative in function," that is, "taken `in the sphere of legitimate legislative activity.'"
The only action defendants argue was within the sphere of legitimate legislative activity is reassigning plaintiff away from the SIU and changing his duties. This is a discretionary personnel decision, not a legislative action. Nor is it apparent on the face of the complaint that any other of defendants' alleged actions falls within the scope of legislative activity.
Accordingly, dismissal on the basis of legislative immunity is not warranted at this stage.
The individual defendants argue in the alternative that they are entitled to qualified immunity on plaintiff's remaining § 1983 claims. Qualified immunity shields government officials whose conduct "does not violate clearly established statutory or constitutional rights of which a reasonable person would have known."
During the time period described in the amended complaint, it was clearly established law that retaliation against a public employee for protected speech violates the Constitution. Moreover, without the benefit of a fuller factual record, the Court cannot conclude any defendant was objectively reasonable to believe his or her actions did not violate such clearly established law.
Accordingly, dismissal on the basis of qualified immunity is not warranted at this stage.
The motion to dismiss is GRANTED as to plaintiff's claims for prospective interference with speech, violation of due process, violation of the New York Labor Law, and common law defamation.
The motion is DENIED as to plaintiff's claims for retaliation against speech and association and violation of equal protection.
By separate order, the Court will schedule an initial conference.
The Clerk is directed to terminate the motion. (Doc. #34).
SO ORDERED.