COLLEEN KOLLAR-KOTELLY, UNITED STATES DISTRICT JUDGE
Plaintiff Kristopher Baumann, Chairman of the District of Columbia Fraternal Order of Police ("FOP") and an Officer with
The parties generally agree as to events at issue.
On Saturday May 30, 2009, the MPD Emergency Response Team ("ERT") responded to an incident in which a suspect barricaded himself inside a residence. Pl.'s Stmt. ¶ 1. During the standoff, the following radio exchange, excerpted in relevant part, took place between members of the ERT:
Pl.'s Ex. 26 (10/1/2010 PERB Hearing Examiner's Report & Recomm.) at 10, ECF No. [89]. The incident was resolved shortly thereafter without deploying tear gas. Id.
The following Monday, Officer Wendell Cunningham — a member of the ERT and Vice Chairman of the FOP — contacted the Plaintiff to discuss concerns raised regarding the incident. See Pl.'s Ex. 1 (PERB Tr.) at 161-62. Specifically, ERT members voiced safety concerns as a result of "someone outside of ERT interfering with a barricade scene." See Pl.'s Stmt. ¶ 3; Pl.'s Ex. 1 (PERB Tr.) at 162.
The Plaintiff also received several calls from the media regarding the barricade. Pl.'s Stmt. ¶ 5; Pl.'s Ex. 2 (PERB Tr.) at 1471-72. On June 2, 2009, the Plaintiff was contacted by the media and advised that an MPD official had stated that tear gas had been ordered at the barricade, but that another MPD official had denied that there was an order to deploy tear gas. Pl.'s Stmt. ¶ 6; Pl.'s Ex. 3 (Baumann Dep. Tr.) at 137. The next day, at the Plaintiff's instruction, Officer Cunningham requested a copy of the transmission "over the ERT channel" during the incident for purposes of "incident review." Pl.'s Stmt. ¶ 7; Pl.s' Ex. 3 (Baumann Dep. Tr.) at 138. MPD released a copy of the transmission to Officer Cunningham on June 5, 2009, at which time he signed an acknowledgment that "[i]t is understood[,] the following recordings are for internal investigation only[,] there are no public requests for any of these incidents and the recordings will not be released to the public without prior, written approval from the Office of Unified Communications." Pl.s' Ex. 8 (Final Investigation Report) at 23. That same day, the Plaintiff listened to the MPD radio transmissions during the incident and released a portion of the recording to the media. Pl.'s Stmt. ¶ 8.
On October 9, 2009, the Plaintiff was served with a Final Investigation Report and Notice of Proposed Adverse Action. See Pl.'s Ex. 8 (Final Investigation Report) and 9 (Notice of Proposed Adverse Action). The Final Investigation Report charged the Plaintiff with misconduct for releasing audio transmissions to the media "without receiving proper authorization from the Metropolitan Police Department and the Director of the Office of Unified Communication prior to dissemination." Pl.'s Ex. 8 (Final Investigation Report) at 4. The Report alleged that the Plaintiff provided the information to the media "as a means to discredit Officials of the Department, and discredit the Department as a whole." Id. at 5. On December 20, 2009, MPD issued a Final Notice of Adverse Action, citing the Defendant for violating MPD General Order 204.01, Parts VI-C-1 & 7 by releasing the audio transmissions to the media without "the prior written approval from the Office of Unified Communications" or MPD. Pl.'s Ex. 10 (Final Notice of Adverse Action) ¶ 3. MPD General Order 204.01, Parts VI-C-1 & 7 ("the General Order") provide that "[c]onfidential
The Plaintiff appealed the adverse action. On February 5, 2010, Chief of Police Cathy L. Lanier denied the Plaintiff's appeal. See Pl.'s Ex. 11 (Chief Lanier Letter denying appeal) at 7. In her letter denying the appeal, Chief Lanier noted that the recording related to two separate ongoing criminal investigations concerning the May 30, 2009 barricade and constituted "secure tactical communications by members of the [ERT]." Id. at 4.
In the testimony Chief Lanier gave to the Public Employee Relations Board on February 3, 2010, Chief Lanier indicated that she did not consider it harmful for legitimate safety concerns to be brought to the attention of the public by the D.C. police union. Pl.'s Ex. 2 (PERB Tr.) at 1314.
The Plaintiff filed his initial Complaint accompanied by a motion for preliminary injunction with this Court on June 29, 2009. Compl., ECF No. [1], Mot. for Prelim. Inj., ECF No. [4]. The Court denied Plaintiff's request for preliminary injunctive relief on July 11, 2009. 7/11/2009 Order & Mem. Opin., ECF Nos. [12, 13].
The Defendants filed a Motion for Summary Judgment requesting judgment in their favor on all of the Plaintiff's pending claims. Mot. for Summ. J., ECF No. [87]. On March 27, 2013, the Court granted summary judgment in the Defendants' favor as to the Plaintiff's Whistleblower Protection Act and First Amendment retaliation claims. See Baumann v. District of Columbia, 933 F.Supp.2d 19 (D.D.C.2013). The Court, however, denied summary judgment on the Plaintiff's claim that the General Order is an unlawful prior restraint because neither party employed the balancing test set forth in Pickering v. Bd. of Educ., 391 U.S. 563, 568, 88 S.Ct. 1731, 20 L.Ed.2d 811 (1968) and United States v. Nat'l Treasury Employees Union ("NTEU"), 513 U.S. 454, 465-66, 468, 115 S.Ct. 1003, 130 L.Ed.2d 964 (1995) for analyzing the constitutionality of "restraints on the speech of government employees on matters of public concern." Id. at 41-42. Consequently, the Court requested further briefing on this claim.
The parties filed cross-motions for summary judgment on the remaining claim that the General Order is an unlawful prior restraint in violation of the First Amendment. In its supplemental briefing before the Court, the Plaintiff argues that since he released the recording to the media in his capacity as lead union representative for the FOP, he was speaking as a citizen about a matter of public concern and, accordingly, any restriction on his speech must be analyzed under the balancing test set forth in Pickering and NTEU. In applying that test, the Plaintiff contends that MPD officers' and the public's interest in officers being able to speak about important matters ailing the police department far outweighs the government's speculative concerns about confidentiality and agency efficiency.
The Defendants argue that the General Order only reaches speech made by sworn or civilian MPD employees in their professional capacity, and is thus speech not protected by the Pickering/NTEU balancing test. The Defendants further argue that even if the Court finds that the restraints on the Plaintiff's speech must be analyzed under Pickering/NTEU, the General
The Court agrees with the Plaintiff that in transmitting the recording to the media while employed as a full-time union representative the Plaintiff spoke as a citizen on an issue of public concern and any restriction on his speech must be analyzed under the Pickering/NTEU balancing test. However, the Court disagrees that the Pickering/NTEU balancing test requires judgment in the Plaintiff's favor and, accordingly, upholds the constitutionality of the General Order as applied to the Plaintiff.
"The court shall grant summary judgment if the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." Fed.R.Civ.P. 56(a).
(B) showing that the materials cited do not establish the absence or presence of a genuine dispute, or that an adverse party cannot produce admissible evidence to support the fact.
Fed.R.Civ.P. 56(c)(1). "If a party fails to properly support an assertion of fact or fails to properly address another party's assertion of fact as required by Rule 56(c), the court may ... consider the fact undisputed for purposes of the motion." Fed. R.Civ.P. 56(e). When considering a motion for summary judgment, the court may not make credibility determinations or weigh the evidence; the evidence must be analyzed in the light most favorable to the nonmoving party, with all justifiable inferences drawn in his favor. Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 255, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986). "If material facts are at issue, or, though undisputed, are susceptible to divergent inferences, summary judgment is not available." Moore v. Hartman, 571 F.3d 62, 66 (D.C.Cir.2009) (citation omitted).
The mere existence of a factual dispute, by itself, is insufficient to bar summary judgment. See Liberty Lobby, 477 U.S. at 248, 106 S.Ct. 2505. "Only disputes over facts that might affect the outcome of the suit under the governing law will properly preclude the entry of summary judgment." Id. For a dispute about a material fact to be "genuine," there must be sufficient admissible evidence that a reasonable trier of fact could find for the nonmoving party. Id. The Court must determine "whether the evidence presents a sufficient disagreement to require submission to a jury or whether it is so one-sided that one party must prevail as a matter of law." Id. at 251-52, 106 S.Ct. 2505. "If the evidence is merely colorable, or is not sufficiently probative, summary judgment may be granted." Id. at 249-50, 106 S.Ct. 2505 (internal citations omitted). The adverse party must "do more than simply show that there is some metaphysical doubt as to the material facts." Matsushita Elec. Indus. Co. v. Zenith Radio Corp., 475 U.S. 574, 586, 106 S.Ct. 1348, 89 L.Ed.2d 538 (1986). Conclusory assertions offered without any factual basis in the record cannot create a genuine dispute. See Ass'n of Flight Attendants-CWA v. U.S. Dep't of Transp., 564 F.3d 462, 465-66 (D.C.Cir.2009).
The Plaintiff, in releasing the recording to the media, engaged in expressive conduct, or "speech," under the First Amendment. See Texas v. Johnson, 491 U.S. 397, 404, 109 S.Ct. 2533, 105 L.Ed.2d 342 (1989) ("The First Amendment literally forbids the abridgment only of `speech,' but we have long recognized that its protection does not end at the spoken or written word."); United States v. Jin-Woo Kim, 808 F.Supp.2d 44, 56 (D.D.C.2011) ("The Supreme Court, however, has made clear that the First Amendment protects expressive conduct whether it is oral, written, or symbolic. There is no authority for Defendant's proposition that the First Amendment protects his ability to orally disclose the contents of a classified document but not his transmission of that document in writing." (internal citations omitted)); Mt. Healthy City School Dist. Bd. Of Educ. v. Doyle, 429 U.S. 274, 284, 97 S.Ct. 568, 50 L.Ed.2d 471 (1977) (finding that a teacher's release of a school memorandum to the media was a communication protected by the First Amendment); Boehner v. McDermott, 484 F.3d 573, 578 (D.C.Cir.2007) (analyzing whether Representative McDermott's disclosure to the media of a recording of a third-party conversation was protected by the First Amendment without questioning that the disclosure constituted speech). "Public employees do not surrender all their First Amendment rights by reason of their employment. Rather, the First Amendment protects a public employee's right, in certain circumstances, to speak as a citizen addressing matters of public concern." Garcetti v. Ceballos, 547 U.S. 410, 417, 126 S.Ct. 1951, 164 L.Ed.2d 689 (2006). But because "the government, federal or state, [also] has a significant interest, `as an employer, in regulating the speech of its employees' in order to perform its public services effectively," American Postal Workers Union v. U.S. Postal Services, 830 F.2d 294, 300 (D.C.Cir.1987), restraints on the speech of government employees speaking as citizens on matters of public concern are governed by a balancing test:
Weaver v. U.S. Information Agency, 87 F.3d 1429, 1439 (D.C.Cir.1996) (describing the test set forth in NTEU, 513 U.S. at 466, 115 S.Ct. 1003, and Pickering, 391 U.S. at 568, 88 S.Ct. 1731). By contrast, "the First Amendment places no restrictions on the government's right to punish employees for speech made `pursuant to their official duties.'" Thompson v. District of Columbia, 530 F.3d 914, 916 (D.C.Cir.2008) (quoting Garcetti, 547 U.S. at 421, 126 S.Ct. 1951). Accordingly, a threshold question for a public employee's First Amendment claim is "whether the employee spoke as a citizen on a matter of public concern." Garcetti, 547 U.S. at 418, 126 S.Ct. 1951 (emphasis added).
While the parties advocate opposite legal conclusions, they have no evidentiary disagreements as to this threshold question, so the Court can answer the question as to the capacity in which the Plaintiff spoke as a matter of law. The undisputed facts show that the Plaintiff, although an MPD officer, was assigned full-time to act as Chairman of the FOP, the D.C. police union, pursuant to the Collective Bargaining Agreement between the
The Defendants argue that, although the Plaintiff was a union leader, in releasing the recording to the media he spoke in his official capacity as an MPD officer because his speech "owe[d] its existence to [an MPD] employee's professional responsibilities," Def.'s Mot. for Summ. J. at 1, i.e., the "Plaintiff would not have had this type of access [to acquire the recording] absent his employment relationship with MPD," Def.'s Opp'n to Pl.'s Mot. for Summ. J. at 3. This argument, however, misinterprets Garcetti and the thrust of Supreme Court case law on government employee speech. "Garcetti carves out [from First Amendment protection] speech made pursuant to an employee's official duties — not speech `related to his official duties' or that `concern[s] special knowledge gained through his employment.'" Hawkins v. District of Columbia, 923 F.Supp.2d 128, 139 (D.D.C. 2013) (emphasis in original). Indeed, in its cases addressing restraints on government employee speech, the Supreme Court has repeatedly recognized the significant importance of "promoting the public's interest in receiving the well-informed views of government employees engaging in civic discussion" about matters related to their employment. Garcetti, 547 U.S. at 419, 126 S.Ct. 1951 (discussing Pickering and its progeny). Accordingly, the Court concludes that the Plaintiff spoke to the media as a citizen, not as an MPD employee.
In addition, the Plaintiff's speech — releasing a recording of a radio transmission that revealed security risks to the public and MPD officers due to the MPD's handling of barricade situations — related to a matter of public concern. See Tao v. Freeh, 27 F.3d 635, 640 (D.C.Cir.1994) ("a matter of public concern ... involves information that enables `members of society to make informed decisions about the operation of their government.'" (quoting McKinley v. City of Eloy, 705 F.2d 1110, 1114 (9th Cir.1983))); O'Donnell v. Barry, 148 F.3d 1126, 1133-34 (D.C.Cir.1998) ("important issues of Police Department policy" are matters of public concern); Connick v. Myers, 461 U.S. 138, 146, 103 S.Ct. 1684, 75 L.Ed.2d 708 (1983) (describing generally that matters of public concern relate "to any matter of political, social, or other concern to the community...").
Accordingly, as the Court finds that the Plaintiff was speaking as a citizen on a matter of public concern, the Court shall evaluate the constitutionality of the General Order as applied to the Plaintiff by balancing the "interests of the employee... in commenting upon matters of public concern and the interest of the State, as an employer, in promoting the efficiency of the public services it performs
As a government employee, and specifically a police officer, the Plaintiff and the public have a strong interest in the Plaintiff's ability to comment on matters of public concern. The Supreme Court has repeatedly recognized that "government employees are often in the best position to know what ails the agencies for which they work" and thus "public debate may gain much from their informed opinions." Waters v. Churchill, 511 U.S. 661, 674, 114 S.Ct. 1878, 128 L.Ed.2d 686 (1994) (citing Pickering, 391 U.S. at 572, 88 S.Ct. 1731). In turn, the District of Columbia Circuit has deemed "important issues of Police Department policy" to be clear matters of public concern. O'Donnell, 148 F.3d at 1133-34; see also LeFande v. District of Columbia, 613 F.3d 1155, 1160 (D.C.Cir. 2010) (MPD regulation empowering the Chief of Police to fire Reserve Corps members without process was a matter of public concern). Here, the Plaintiff wanted to speak about safety concerns to the public and the police force due to the MPD's management of barricade situations. Given the special knowledge the Plaintiff has as a police officer and the important police department policy on which he wanted to comment, the Plaintiff and his potential audiences have a strong interest in the Plaintiff's ability to speak on the present matter.
While the Plaintiff's First Amendment interest in opining about police department policy and procedures is strong, his interest is not significantly burdened by the General Order. The parts of the General Order at issue prohibit the release to the public of a defined and narrow set of protected information; specifically, confidential information that may jeopardize the successful conclusion of an investigation, and MPD documents other than those listed as releasable to the public in the broad categories enumerated in Part VI-B of General Order 204.01.
Under the General Order, officers are only limited from releasing confidential information, and only if it "may jeopardize the successful conclusion of an investigation," and MPD documents — and only documents — that do not fall into one of the broad categories of information that the General Order states may be released to the public. Moreover, Part VI-C-1's restriction on the release of information is time-limited, extending only through the "conclusion of an investigation." Once an investigation is complete, confidential information pertaining to that investigation, such as the information contained in the recording at issue, is no longer restricted by Part VI-C-1 and is presumably a "releasable" document in so far as it is information regarding "circumstances surrounding an incident." See MPD General Order 204.01, Part VI-B-2. In the present case, the General Order simply limited the Plaintiff in releasing the recording itself during two ongoing criminal investigations, not the expression of his personal views about the matter. Chief Lanier's testimony before the Public Employee Relations Board indicating that she does not believe it is harmful for the D.C. police union to bring safety concerns to the attention of the public supports this narrow interpretation of the General Order's restriction on speech.
This limited burden on the Plaintiff's First Amendment interests is far from the "sweeping," "wholesale deterrent to a broad category of expression" involved in cases like Harman, 140 F.3d at 116 and NTEU, 513 U.S. at 480, 115 S.Ct. 1003 (striking down ban prohibiting federal employees from accepting honoraria for making speeches or writing articles on any subject) on which the Plaintiff relies. NTEU, 513 U.S. at 467, 115 S.Ct. 1003. The burden placed on speech by the General Order is more closely akin to the
The Defendants justify parts VI-C-1 & 7 of the MPD's General Order 204.01 as necessary to "protect the MPD's interest in efficient and effective law enforcement" and, more specifically, the MPD's interest in "maintaining discipline, security, and confidentiality, and esprit de corps among its officers." Def.'s Mot. for Summ. J. at 7, 8. The Supreme Court has held that the government's burden of justifying the restriction "is not satisfied by mere speculation or conjecture; rather, a governmental body seeking to sustain a restriction on ... speech must demonstrate that the harms it recites are real and that its restriction will in fact alleviate them to a material degree." Edenfield v. Fane, 507 U.S. 761, 770-71, 113 S.Ct. 1792, 123 L.Ed.2d 543 (1993). In other words, the government must "demonstrate actual harm before its interests may be deemed to justify a restriction on speech...." Sanjour v. E.P.A., 56 F.3d 85, 98 (D.C.Cir. 1995) (citing Edenfield, 507 U.S. at 770-71, 113 S.Ct. 1792) (striking down prior restraint in part because the government agency did not make any effort to demonstrate that the restraint at issue was adopted to address genuinely experienced harms); see also Fire Fighters Ass'n v. Barry, 742 F.Supp. 1182, 1191 (D.D.C. 1990) (internal citation omitted) ("the defendants must show that the plaintiffs' acts in displaying the bumper stickers in some way harmed the government's legitimate interest in maintaining departmental discipline" through the Bumper Sticker regulation).
The Plaintiff argues that the MPD's alleged "general interest in confidentiality and efficiency" is conjectural and thus insufficient to meet the government's heightened burden. While the Defendants briefs are surprisingly sparse in their discussion of actual harms, the Defendants do cite to several exhibits explaining the confidential and tactical importance of the recording to two ongoing criminal investigations. See, e.g., Pl.'s Ex. 11 (Chief Lanier
As an initial matter, the D.C. Circuit has held that "because of the special degree of trust and discipline required in a police force there may be a stronger governmental interest in regulating the speech of police officers than in regulating the speech of other governmental employees." O'Donnell, 148 F.3d at 1135. The D.C. Circuit further explained in Boehner, 484 F.3d at 579, that "those who accept positions of trust involving a duty not to disclose information they lawfully acquire while performing their responsibilities have no First Amendment right to disclose that information." Courts have long been deferential to rules or regulations restricting government employees from disclosing confidential or otherwise protected information, even if lawfully obtained. Id. at 578 (finding that the House Ethics Committee rule prohibiting committee members and staff from disclosing "any evidence relating to an investigation to any person or organization outside the Committee unless authorized by the Committee" was "reasonable" and raised no First Amendment concerns); see also Connick, 461 U.S. at 153 n. 14, 103 S.Ct. 1684 (observing that the government's case for regulating employee speech is strengthened when the expression violates a rule or regulation); Snepp v. United States, 444 U.S. 507, 516, 100 S.Ct. 763, 62 L.Ed.2d 704 (1980) (upholding as constitutional under the First Amendment provision in CIA contract requiring prepublication review before CIA officers published any information relating to the agency because of risk of secure information being compromised); Weaver, 87 F.3d at 1443 (upholding agency regulation requiring prepublication review of any employee publication relating to the work of the agency because of risk of disclosure of confidential information or information otherwise harmful to foreign relations); Kim, 808 F.Supp.2d at 56-57 (upholding as constitutional under the First Amendment federal statute prohibiting the disclosure of confidential information by individuals holding a security clearance). Accordingly, the Court grants substantial weight to the MPD's proclaimed interest in promoting agency effectiveness by restricting the disclosure of information related to its operations, including the investigation of incidents inside its police offices.
The interests the MPD seeks to protect by employing the General Order to limit the disclosure of information, like that released by the Plaintiff, are real and not conjectural. The Plaintiff released a recording to the media that contained information central to two separate ongoing criminal investigations and an ongoing internal investigation into MPD practices. In reviewing the recording before releasing it to the union, the MPD had determined that it should be for internal investigation purposes only and not released to the public. The Court can reasonably infer, especially in light of the police department's strong interest in confidentiality and discipline, that releasing the recording to the media just as the MPD was beginning to gather information to conduct these investigations, was disruptive to the MPD's ability to effectively handle these investigations.
Given the minimal burden on the Plaintiff's ability to speak and the government's strong interest in regulating the release of a narrow category of information that would affect the confidentiality and effectiveness of MPD operations, the Pickering/NTEU balancing test weighs in favor of finding the General Order, as applied to the Plaintiff, constitutional. Most importantly, the General Order does not restrict the Plaintiff's expression of his personal views. The General Order simply restricted the Plaintiff's ability to release the recording itself at the time he did, not express his personal views on safety concerns related to the barricade situation. Indeed, Chief of Police Lanier stated that she did not find it harmful for legitimate
For the foregoing reasons, the Court finds that under the Pickering/NTEU balancing test, the government's interest in restricting the Plaintiff's speech through parts VI-C-1 & 7 of MPD General Order 204.01 outweighs the Plaintiff's interest in the type of speech restricted by the General Order. Therefore, parts VI-C-1 & 7 of MPD General Order 204.01 are not an unconstitutional prior restraint on speech. Accordingly, the Plaintiff's [99] Motion for Summary Judgment is DENIED and the Defendants' [100] Motion for Summary Judgment is GRANTED.
An appropriate Order accompanies this Memorandum Opinion.