Lead Opinion
We examine the question whether a state police officer’s speech, in different forms, is protected under the First Amendment from retaliatory actions taken by that officer’s superiors. Plaintiffs Ron Huppert and Javier Salgado appeal the district court’s grant of summary judgment in favor of the Appellees, the City of Pittsburg and individual police officers within the Pittsburg Police Department (“PPD”), dismissing their claims under 42 U.S.C. § 1983.
We hold that the speech at issue was given pursuant to Huppert and Salgado’s job duties, and therefore affirm the district court’s grant of summary judgment. Additionally, Salgado appeals the district court’s dismissal on summary judgment of his § 1983 claim brought under the Fourth, Sixth, and Fourteenth Amendments. We affirm the district court on this claim as well. Finally, both Huppert and Salgado appeal the district court’s grant of costs to the Appellees solely on the ground that the Appellees failed to timely file their bill of costs. This argument is meritless, so we also affirm the district court’s award of fees.
I
Huppert joined the PPD on January 25, 1991, where he worked primarily as a patrol officer and an inspector. In 1995, he was assigned to work a twenty-four hour shift at the Pittsburg Seafood Festival. He requested a shift modification, which was subsequently denied by the PPD. He consulted with a labor attorney, who, unbeknownst to Huppert, contacted the PPD. After Huppert returned to work, Lieutenant Aaron Baker (“Baker”) — who is now Chief of Police for the PPD — expressed unhappiness with Huppert and asked Huppert to sign a letter in which he acknowledged (non-existent) sick-leave abuse. When Huppert refused to sign the letter and requested review of all his “sick-leave slips,” the matter was “apparently dropped.”
In 1996, after being promoted to Inspeсtor, Huppert was assigned to investigate a vehicular manslaughter case. He reported that one of his supervisors, Sergeant Keel-er (“Keeler”), a personal friend of Baker, had pursued a carjacking suspect, reaching speeds of up to 100 m.p.h. without using his emergency lights or siren. An innocent third party perished in the resulting crash. In his report about the incident, Huppert discussed his “concerns about Keeler’s conduct during the pursuit,” and Keeler’s use of racial slurs. Now a Commander, Baker charged Huppert with “failure to report and subversive conduct” for not having previously reported this misconduct — which Baker referred to as a “letter of advisement.” The charge was later reduced to a “warning.”
Between 1997 and 1998, while still employed as a Pittsburg police officer, Hup
Sometime prior to 2001, Huppert began working with the FBI on an investigation into suspected corruption within the PPD. While he does not disclose what assistance he gave to the FBI, he does claim that this work was “outside [his] duties as a member of the PPD.” Then, in January 2001, his superior, William Zbacnik, informed Huppert that he would be transferred to “Code Enforcement,” also known as the “Strategic Operations Bureau.” He was officially transferred in June 2001, and was sent to a building known within the PPD as the “Penal Colony,” because “disaffected and/or disfavored officers were assigned there.” Huppert’s new supervisor, William Hendricks (“Hendricks”), informed him that he had been sent to the “Penal Colony” because Baker wanted Hendricks to find a way to fire him. Huppert’s new office at the “Penal Colony” was a “tiny converted bathroom without computer access,” and even though he was assigned to investigate gang-related activity, the building was not equipped with the proper secured areas needed for his investigations. During the six-month period between January and June 2001, Huppert was not permitted to work overtime.
Salgado joined the force in 1995 and was, for the majority of his tenure, a detective. In September 2001, he was assigned to the “Strategic Operations Bureau” as Huppert’s partner. Baker assigned both of them to investigate suspected corruption at the local City-owned golf course, but told them not to inform Hendricks of this assignment. The investigation “revealed improper conduct by members of the PPD, including gambling, accepting free golf, and possible illegal drug activity.” After only two interviews, Baker commanded that Huppert and Salgado cease the investigation. Once they informed Hendricks, he encouraged them to continue investigating and informed Baker that Huppert and Salgado were still looking into corruption at the golf course. Hendricks also informed the FBI that he believed there was a major gambling operation on-going at the golf course.
Huppert claims that while Baker told them not to memorialize their findings, they drafted a report at the conclusiоn of their inquiry and directed it to Baker and the Pittsburg City Manager. The report “included a finding that defendant Zbacnik had accepted thousands of dollars in gratuities and other illegal perks.” However, following the report, Baker took no action against Zbacnik, and instead deemed Zbacnik’s actions a “training issue.”
In 2002, Huppert and Salgado’s office was moved from the “Penal Colony” back to the main Civic Center. They were not initially given an office, and when they finally received one, it was “an old storage room.”
Huppert states that Hendricks was “forced out” in December of 2002, and Michael Barbaniea (“Barbaniea”) took his place. In January 2003, Barbaniea and defendant William “Brian” Addington (“Addington”) falsely accused Huppert and Salgado of engaging in an improper pursuit. Both Huppert and Salgado claim that they were in no way involved in the
It was normal practice at the PPD that when a supervisor was absent, the next senior officer was normally designated as acting unit supervisor. In late 2003 and early 2004, the practice was changed in the Code Enforcement Unit, where Huppert and Salgado were the next senior officers under their supervisor, Sergeant Reposa. Because of the change in practice, Huppert and Salgado were required to report to the Investigations Unit Supervisor, and were hence prevented from exercising any supervisory authority and earning out-of-class pay.
Sаlgado claims that in late 2003 and early 2004, Addington began an investigation of Officer Jim Hartley for allegedly falsifying reports. It was obvious to Salgado that “Addington disliked Hartley and was seeking to terminate him.” Adding-ton sought to have Salgado claim firsthand knowledge of events which Salgado had not actually witnessed, but Salgado refused to do so.
Huppert and Salgado allege that in February 2004, defendant Wayne Derby (“Derby”) became their supervisor. Derby informed them that he was Chief Baker’s “ ‘hatchet man’ ” and that Baker saw them as “malcontents.” He subsequently took away their undercover vehicle and replaced it with an easily recognizable, though unmarked, Ford Taurus. They claim this hindered their work as gang detectives.
Huppert then states that in March 2004, he was subpoenaed to testify before a Contra Costa County grand jury that was “probing corruption in the PPD.” Other officers, including Baker, were also subpoenaed to testify, and the subpoenas were received at the PPD for delivery to the individual officers. Huppert’s receipt of this subpoena was “recorded in a subpoena log posted in the [PPD] break room.” Huppert states that Baker openly discussed his testimony, and told Huppert he knew Huppert had testified before the grand jury as well. Baker also identified officers who he thought would be “bad witnesses” for the department, which Huppert understood to indicate Baker’s belief that they were “malcontents.”
Sometime after his grand jury testimony, Derby informed Huppert that his position as a gang investigator was being eliminated and he was transferred to a position investigating fraud and forgeries. Adding-ton became his supervisor, and he was assigned to investigate fraud claims, which Huppert claims are lеss desirable than “person crimes.” After the transfer, Addington changed the way in which fraud cases were handled within the PPD, requiring Huppert to generate reports in order to close each case. Huppert believes this increase in workload was initiated simply as a method of harassment. Additionally, Addington would criticize the completed reports over minor mistakes, “such as the letter ‘M’ (for ‘Male’) being in the wrong font.” Addington also refused to permit Huppert to wear a uniform shirt with an outdated embroidered badge when other officers were allowed to do so. He would call Huppert to come to his office claiming he had Huppert’s “pink slip,” but would then admit he was just “kidding.” Finally, Addington attempted to replace Huppert’s “superlative” yearly evaluation, originally conducted by Sergeant Stroup, with an evaluation completed by Adding-ton. After Huppert and the Patrol Officers’ Association filed a grievance against the PPD and Addington, Baker restored Stroup’s original evaluation to Huppert’s
In May 2004, Salgado was placed on administrative leave pending an investigation into whether he had falsified police reports in Health and Safety Code section 11550 cases. While he admits that he did “cut and paste” when drafting his arrest reports, he claims this was “an accepted practice at the time in the PPD,” and that he actually ensured that the proper individual results were accurately recorded. In fact, he insists this practice was “encouraged by [his] supervisors,” and he had seen other officers using his prefabricated reports.
In July 2004, Salgado received a Notice of Prоposed Disciplinary Action, which suggested his termination. Two days before Salgado’s Shelly
Barbaniea informed Salgado that if he were to resign, the criminal charges would be dropped. Salgado reviewed his personnel file and found that it had been purged of all positive references and performance reviews. Notably absent was his 2001 Officer of the Year award. Salgado refused to resign and was officially terminated on August 24, 2004.
Huppert and Salgado filed this civil rights action in the Northern District of California on April 7, 2005. The defendants moved for summary judgment, which the court granted on November 15, 2006.
II
We review a district court’s grant of summary judgment de novo. Dietrich v. John Ascuaga’s Nugget,
On Huppert and Salgado’s appeal regarding the award of costs, we review for clear error the district court’s findings of fact with respect to the timeliness of the cost application. Chevron USA Inc. v. Bronster,
Ill
Three issues are before us on appeal. First, whether the district court improperly dismissed on summary judgment Huppert and Salgado’s § 1983 claims for violations of the First Amendment. Second, whether the presiding judge also erred by granting summary judgment on Salgado’s claim alleging violations of the Fourth, Sixth, and Fourteenth Amendments. Finally, whether the district court incorrectly awarded costs to the Appellees.
A
The Supreme Court has clearly stated that public employees do not shed their First Amendment rights simply because they are employed by the government. The First Amendment shields a public employee if he speaks as a citizen on a matter of public concern. See, e.g., Ceballos,
Recently, in Eng v. Cooley,
(1) whether the plaintiff spoke on a matter of public concern; (2) whether the plaintiff spoke as a private citizen or public employee; (3) whether the plaintiffs protected speech was a substantial or motivating factor in the adverse employment action; (4) whether the state had an adequate justification for treating the employee differently from other members of the general public; and (5) whether the state would have taken the adverse employment action even absent the protected speech.
Id. at 1070. We reaffirmed this test in Robinson v. York,
Our sister circuits and the Supreme Court have said that the question whether the plaintiff acted pursuant to his or her job duties is antecedent to a determination whether the plaintiff spoke regarding a matter of public concern. See, e.g., Chaklos v. Stevens,
Where applicable below, we will move through the sequential Eng factors. The first two prongs of this inquiry address whether the speech should be protected under the First Amendment, whilе the last three address whether that protected speech caused some retaliatory response. However, because these are sequential steps, as explained in Eng, failure to meet one necessarily concludes our inquiry.
Huppert and Salgado point to four incidents where they believe their protected speech led to retaliatory action by the Appellees: (1) Huppert’s assistance to the Contra Costa County District Attorney’s Office in 1997 and 1998 investigating corruption at the PPD; (2) Huppert and Salgado’s report and memoranda regarding their golf-course investigation; (3) Huppert’s cooperation with the FBI in its investigation of corruption within the PPD; and (4) Huppert’s testimony before the Contra Costa County grand jury investigating potential corruption within the PPD. We discuss each in turn.
1
Huppert’s first claim of retaliation stems from his cooperation with the Contra Cos-ta County District Attorney’s Office in 1997 and 1998 during its investigation of the Public Works Department. He claims that during this time he was not working as a police officer, but instead as an assistant to the District Attorney. Then, after his superiors at the PPD discovered his involvement with the criminal investigation, he was “treated with scorn and as an outcast.” Also as a result of this involvement, he claims that he was passed over for a promotion, transferred to the Penal Colony, and that his assistance led to additional acts of retaliation.
Under the Eng test, we first consider whether his investigation involved a matter of public concern. “[S]peeeh involves a matter of public concern when it fairly can be said to relate to ‘any matter of political, social, or other concern to the community.’ ” Gibson v. Office of Atty. Gen., State of Cal.,
However, it is less apparent that Huppert meets the second prong of the Eng test. As explained in Eng, “the plaintiff bears the burden of showing the speech was spoken in the capacity of a private citizen and not a public employee.”
Ceballos said that speech which “owes its existence to an employee’s professional responsibilities” is not protected by the First Amendment. Id. at 421,
Only twice since Ceballos have we had the opportunity to determine whether an employee’s speech was pursuant to his official duties.
Then, in Marable v. Nitchman,
Our sister circuits have also weighed in, providing additional analysis to guide our decision. First, in Morales v. Jones,
This brings us back to any statements Huppert may have made during the investigation at the Public Works yard. Huppert argues that he was not acting as a police officer during his cooperation with the District Attorney’s office. Instead, he claims he was an “assistant to the District Attorney.” However, in his deposition, Huppert concedes that he was asked to participate in the investigation, and subsequently assigned to do so, by the police
2
Second, both Huppert and Salgado argue they were retaliated against after they completed them investigation into improper conduct at the Pittsburg Golf Course.
Their argument is remarkably similar to Huppert’s contention regarding the Public Works yard. As we have already noted, an investigation into corruption at a public department is most certainly a matter of public concern. The same is true for corruption within or concerning the police force. See Thomas,
Huppert and Salgado argue that they were not acting pursuant to their job duties because, while Baker had originally assigned them to conduct the inquiry, he then ordered them to discontinue their investigation after only two interviews. However, their immediate supervisor, Hendricks, told them to continue the investigation and encouraged them to report the results. They followed Hendricks’s direction and completed their investigation, which culminated in a memorandum directed to Chief Baker and the City Manager.
This is one of the clearest examples of speech pursuant to one’s job duties. Though Huppert and Salgado would have us believe that they acted outside the chain-of-command by continuing their investigation in direct contravention to Baker’s demand that they cease, Hendricks ordered them to continue. Furthermore, Hendricks informed Baker that Huppert and Salgado would be probing deeper into misconduct at the Golf Course. “When [they] went to work and performed the tasks [they were] paid to perform, [Huppert and Salgado] acted as ... government employee[s]. The fact that [their] duties sometimes required [them] to speak or write does not mean [their] supervisors were prohibited from evaluating [their] performance.” Ceballos,
3
Huppert’s third claim is that he was the subject of retaliatory action following his cooperation with the FBI, which began sometime in 2001. From his declaration, it appears he assisted in their investigation probing corruption at the PPD, which he claims was “outside [his] duties as a mem
The California courts have repeatedly articulated the duties of a police officer within the state. As the oft-quoted passage in Christal v. Police Commission of City and County of San Francisco,
The duties of police officers are many and varied. Such offiсers are the guardians of the peace and security of the community, and the efficiency of our whole system, designed for the purpose of maintaining law and order, depends upon the extent to which such officers perform their duties and are faithful to the trust reposed in them. Among the duties of police officers are those of preventing the commission of crime, of assisting in its detection, and of disclosing all information known to them which may lead to the apprehension and punishment of those who have transgressed our laws. When police officers acquire knowledge of facts which will tend to incriminate any person, it is their duty to disclose such facts to their superiors and to testify freely concerning such facts when called upon to do so before any duly constituted court or grand jury. It is for the performance of these duties that police officers are commissioned and paid by the community....
See also Riverside County Sheriff’s Dep’t v. Zigman,
Though Huppert argues that he was repeatedly informed by the FBI that his investigatory work was outside his duties as a police officer, this is not enough to overcome California’s jurisprudence defining such duties. It is clear that in California a police officer’s official duties include investigating corruption, so as to “prevent[ ] the commission of crime, ... [and] assist[] in its detection.” Christal,
4
Huppert’s fourth and final cause of action hinges on alleged retaliation following his testimony before the county grand jury, which was also investigating corruption at the PPD. Again, under Christal and its progeny, it is manifest that California expects such testimony from its police officers. As the California Court of Appeal made clear: “When police officers acquire knowledge of facts which will tend to incriminate any person, it is their duty to disclose such facts to their superiors and to testify freely concerning such facts when called upon to do so before any duly constituted court or grand jury.” Id. (emphasis added). Testifying before a
We decline to follow the Third Circuit’s decision in Reilly v. Atlantic City,
The court admitted that it was answering the question of “whether truthful trial testimony arising out of the employee’s official responsibilities constitutes protected speech.” Id. at 230 (emphasis added). It went on to concede that “Reilly’s trial testimony appears to have stemmed from his official duties in the investigation.” Id. at 231. However, instead of finding that this was obviously speech pursuant to Reilly’s job duties, the court took a swift turn to conclude that truthful testimony is never part of a police officer’s duties. Id. This is in sharp contradiction to the Supreme Court’s holding in Ceballos, which drew a distinct line between speech pursuant to one’s job duties and speech in a private capacity. By first finding that Reilly’s speech was pursuant to his job duties, but subsequently concluding that it was protected by the First Amendment, the Reilly court impermissibly began chipping away at the plain holding in Ceballos.
Judge Fletcher’s dissent relies on two other cases to show that a police officer’s grand jury testimony should be protected as a matter of law. The first, Morales, is clearly distinguishable on the facts.
First, in Morales, the Seventh Circuit found that “[b]eing deposed in a civil suit pursuant to a subpoena was unquestionably not one of Morales’ job duties.” 494
Also, in Evans, Evans was the former accountant and bookkeeper for the Benicia Housing Authority (“BHA”), which is an “independent public agency created to provide low-cost housing to the city.”
The district court held that “Evans’ statements to the Grand Jury concerning the tenant rent account irregularities and Peterson’s reduced working hours ... [were] not made pursuant to Evans’ official job duties.” Id. at *1. Hence, under Ceballos, the statements were protected by the First Amendment and any retaliatory action taken violated Evans’ constitutional rights.
In addition to the reality that Evans cannot and does not bind us, it is so factually distinguishable as to be irrelevant to our discussion here. Evans was an accountant working for the city’s independent housing authority. The California courts have never explicitly, or even impliedly, stated that one duty of an accountant at a public agency is to testify before grand juries. It comports with our understanding of Ceballos that such testimony would be outside the practical duties of a bookkeeper. However, this says nothing about whether California expects its police officers to testify about alleged criminal conduct. Judge Fletcher’s reliance on this case is unavailing and unpersuasive here, merely discussed because the court chose to protect the speech of a person testifying before a grand jury. The question is not whether such testimony occurred, but instead whether the obligation to provide that testimony “owes its existence to an employee’s professional responsibilities.” Ceballos,
Our holding does not imply that a police officer might never be protected if he speaks on issues such as corruption, for we recognize that “[e]xposing governmental inefficiency and misconduct is a matter of considerable significance.” Ceballos,
5
There exist other avenues of recourse available to protect an officer who exposes misconduct within the police department and is subsequently subjected to retaliation. States, including California, have created “whistle-blower” statutes for this exact purpose, and our holding today does not impact those statutes. See, e.g., Cal. Gov.Code § 8547-8547.12. As the majority in Ceballos explicitly stated, “[t]he dictates of sound judgment are reinforced by the powerful network of legislative enactments — such as whistle-blower protection laws and labor codes — available to those who seek to expose wrongdoing.”
Our conclusion today enforces these statutes and empowers a state to choose the appropriate remedy for an individual who speaks on this type of issue and is then subjected to retaliation. Further, it is these statutes that protect officers from the “Catch 22” — i.e., either not complying with a subpoena and being found in contempt of court, or testifying only to then be the subject of retaliation — that concerns Judge Fletcher. Yet, under Ceballos, these individuals are not entitled to the protections of the Civil Rights Act or the remedies accompanying a victorious § 1983 suit when speaking pursuant to their official duties.
B
In addition to his First Amendment claims, Salgado also appeals the district court’s grant of summary judgment on his § 1983 claim for violations of his rights under the Fourth, Sixth, and Fourteenth Amendments. As with Huppert’s claims regarding retaliation from his cooperation with the FBI, Salgado fails to identify concrete claims, bolster those claims with facts, or cite legal authority pertaining to the claims. These claims are therefore abandoned. See Fed. R.App. P. 28(a)(9)(A); Xin Liu,
C
Finally, Huppert and Salgado contend that the district court improperly awarded costs to the Appellees. They do not challenge the court’s determination that the Appellees were the prevailing party; instead they argue that the Appellees failed to timely file their costs, rendering an award inappropriate. Local Rule section 54-l(a) states: “No later than 14 days after entry of judgment or order under which costs may be claimed, a prevailing party claiming taxable costs must serve and file a bill of costs.... ” While the district court issued its summary judgment ruling on November 15, 2006, the final order was not docketed until November 17, 2006. The Appellees filed their bill of costs on November 30, 2006, within the fourteen-day time period required by the Local Rules.
IY
We affirm the district court’s grant of summary judgment on all claims and the award of costs.
AFFIRMED.
Notes
. Skelly v. State Personnel Board,
. Judgment was entered on November 17, 2006.
. The City counters that this claim is time-barred under the applicable statute of limitation. While Huppert's assistance to the District Attorney’s office took place in 1997 and 1998, the claimed retaliatory actions occurred over a long period of time. Additionally, none of these alleged actions were discrete, see Nat'l R.R. Passenger Corp. v. Morgan,
. In Ms dissent, Judge Fletcher also points to Eng and Robinson as cases where "we have addressed whether a government employee’s speech was made pursuant to his or her official duties.’’ Dissent, at 9354, 9356, 9357. However, neither Eng nor Robinson actually decided the scope of the plaintiff's job duties. In both, we were unable to review the question because the district court had determined that genuine issues of material fact were present and had denied qualified immunity. Eng,
. We remanded for additional fact-finding on the question whether pursuing a complaint all the way up the chain of command within the California Department of Corrections and Rehabilitation is within the duties of a prison guard. Freitag,
. This is the only First Amendment retaliation claim on which Salgado joins.
Dissenting Opinion
dissenting:
I respectfully dissent.
Former police officers Ron Huppert and Javier Salgado (“Plaintiffs”) sued their former employer, the City of Pittsburg, California, and several individual members of the Pittsburg Police Department (“PPD”) (collectively, “Defendants”) under 42
The majority concludes that Huppert and Salgado’s speech on these four occasions was not protected under the First Amendment. I agree with the majority with respect to Huppert’s speech on the first occasion. But I disagree with the majority with respect to Huppert’s speech on the second, third, and fourth occasions and Salgado’s speech on the third occasion.
I. Factual Background
The majority opinion provides a somewhat truncated narrative of the evidence before the district court. I provide a more extended, free-standing narrative of that evidence, laying the full foundation for Huppert and Salgado’s First Amendment claims. I could have made my narrative shorter by adding discrete pieces of information to supplement the majority’s narrative in various places, but the result would have been choppy and awkward. My narrative is necessarily somewhat redundant, but it is intended to make the reader’s ultimate task easier. My narrative relies only on evidence in the record that is properly cognizable on summary judgment.
In his sworn declaration, Plaintiff Huppert states that he joined the PPD in 1991. In 1995, when he was a patrol officer, he was assigned to work a continuous 24-hour shift at the Pittsburg Seafood Festival. He requested a modification of the shift to allow breaks during the 24-hour period. After the request was denied, he consulted a labor attorney. Without Huppert’s knowledge, the attorney contacted the PPD. Defendant Aaron Baker was then a Lieutenant in the PPD. Then-Lieutenant Baker was “unhappy” with Huppert as a result of his complaint about his 24-hour shift. At Baker’s direction, Huppert was presented with a letter asking him to acknowledge his sick leave abuse. Huppert refused to sign the letter and demanded to see his “sick leave slips” for the relevant period. Huppert states that the matter was then “apparently dropped.”
Huppert states that in 1996, after he had been promoted to Inspector, he was assigned to investigate a vehicular manslaughter case. One of Huppert’s supervisors, Sergeant Keeler, had been pursuing a carjacking suspect at speeds of up to 100 m.p.h. without using his siren or emergency lights. During the chase, the suspect struck and killed an innocent third person. Huppert reported his “concerns about Keeler’s conduct during the pursuit.” He also reported Keeler’s use of “racial slurs, including ‘nigger’ and ‘gorilla’ with reference to African-Americans.” Keeler was a personal friend of Baker. Now a Commander, Baker charged Huppert with misconduct for not having previously reported Keeler’s use of racial slurs and sent him a “warning” letter. (In his sworn declaration, Baker calls it a “letter of advisement.”) Huppert states that even though Keeler’s use of racial slurs was verified by another officer, Baker concluded that Huppert’s report was “unfounded.”
Huppert states that in 1998 he took the sergeant’s exam. He finished first on the written portion. During the oral portion of the exam, he was questioned “mostly” about his goatee. He was not promoted to sergeant. The day after the oral examination, Baker told him that he had been passed over because of the goatee.
Hupрert states that sometime prior to 2001 he began cooperating with the FBI in an investigation of corruption in the PPD. Huppert characterizes this cooperation as being “outside [his] duties as a member of the PPD.” Defendant Baker had been promoted to Chief of Police in September 1998. Huppert states that Baker learned of his cooperation with the FBI and in 2001 had him transferred from Investigations to Code Enforcement. Commander William Hendricks was in charge of this unit. Hendricks states in his sworn declaration that the Code Enforcement unit “was known as the ‘Penal Colony’ because disaffected and/or disfavored officers were assigned there.” He states, “Chief Aaron Baker expressly ordered me to terminate plaintiff Huppert or force him to take a position outside the Department; then-Lieutenant William Zbacnik was present during this conversation.” Huppert states in his declaration that Hendricks told him that Baker had “told him to see that I left or find a way to fire me.”
Huppert states that Defendant Zbacnik told him that he was not allowed to work overtime for the six-month period between January and June 2001. Huppert was physically transferred from the newly rebuilt Pittsburg Civic Center to a building where the “Penal Colony” worked. Huppert’s office in the Penal Colony was a “tiny converted bathroom without computer access.” Even though Huppert was assigned to investigate gangs, the Penal Colony building did not have “a secured area that a Gang and Intelligence office would need.”
Plaintiff Salgado states in his sworn declaration that in September 2001 he was assigned to the Code Enforcement unit and became Huppert’s partner. Both Huppert and Salgado state that the City Manаger then asked them to “investigate possible corruption at the City-owned golf course.” They state that Baker told them not to inform their superior, Hendricks, of the investigation. Their investigation “revealed improper conduct by members of the PPD, including gambling, accepting free golf, and possible illegal drug activity.” Hendricks states in his declaration that after two interviews and only one day of investigating, Baker ordered Huppert and Salgado to stop the investigation.
Hendricks states, “I tried to protect [Huppert and Salgado] from any retaliation. I went to the FBI with what I believed to be a major gambling operation, and told Baker that I had referred the matter to the FBI. I learned from my discussions with Chief Baker and others that Zbacnik, Lt. Robert Gomez, and other people under Zbacnik’s command were involved in illegal activity at the Golf Course. I told Baker that he may be violating the law by trying to bury the investigation by Huppert and Salgado. Baker threatened me with my career if I continued to press the matter.”
Huppert states that he and Salgado continued to investigate “with the knowledge and encouragement of Hendricks.” Hendricks states that Baker ordered them not to write a report, but Huppert states that he nonetheless reported their “initial findings” in an “ ‘abridged’ memo.” Huppert
Huppert and Salgado state that in May 2002 the Code and Enforcement unit was moved back to the main Civic Center building. They were not given an office initially, but were eventually assigned one in “an old storage room.”
Huppert states that in December 2002, Hendricks was “forced out.” Defendant Michael Barbanica became the new supervisor of them unit. In January 2003, Barbaniea and Defendant William “Brian” Addington falsely accused Huppert and Salgado of having engaged in an improper pursuit. Huppert and Salgado state that neither of them had been involved in the pursuit in question. Barbanica initially said that an “ ‘anonymous concerned citizen’ ” had called to complain about Huppert and Salgado’s alleged pursuit, but Barbanica later admitted that he had made this up.
Huppert and Salgado state that in late 2003 and early 2004 their supervisor was Sergeant Reposa. When Reposa was absent, neither Huppert nor Salgado was permitted to serve as acting supervisor, even though that would have been the normal practice. Huppert and Salgado were thereby denied the opportunity to earn “out-of-class pay.”
Huppert and Salgado state that in February 2004, Defendant Wayne Derby became their supervisor. Derby informed them that he was Baker’s “ ‘hatchet man’ ” and that Baker saw them as “malcontents.” Derby took away the unmarked undercover car that Salgado had previously driven and replaced it with a Ford Taurus that, while unmarked, was “easily recognizable as a police vehicle.” Driving the Taurus “hindered” Huppert and Salgado’s “ability to function as gang detectives.”
Huppert states that in March 2004 he was subpoenaed to testify before a civil grand jury that was “probing corruption in the PPD.” Huppert had been contacted about the probe several years earlier by Senior Investigator Tom Leary of the Contra Costa County District Attorney’s Office. On what he describes as his “personal time,” Huppert had met with Leary, Deputy District Attorney Sepulveda, and FBI Special Agent Joe Davidson. Huppert states that Davidson told him that his “actions in connection with the probe were as an individual and not in my capacity as a member of the PPD.” Grand jury subpoenas were delivered to the PPD for service on about a dozen individual officers. Huppert was served with his subpoena in front of other PPD officers, and the subpoena was recorded in a log posted in the break room. Huppert states that Baker told him that he knew he had testified before the grand jury. However, Baker states in his declaration that “I was not aware that Huppert ever testified before the Grand Jury regarding these issues.” Baker states further, “I have never been informed of the substance of such testimony by Huppert.”
Huppert states that after he testified before the grand jury, Defendant Derby informed him that his position as gang investigator was being “eliminated.” Hup
Huppert states that Addington engaged in numerous acts to make his work life difficult. For example, he sent reports back to Huppert “because of ‘flaws’ such as the letter ‘M’ (for ‘Male’) being in the wrong font”; he refused to allow Huppert to wear a uniform shirt with an out-of-date embroidered badge when other officers were permitted to do so; and he told Huppert to come see him because he had his “‘pink slip,’” and then said he was kidding. Further, Addington attempted to replace a “superlative” yearly evaluation of Huppert by Sergeant Stroup that was already in his personnel file with an evaluation of his own, even though Addington had not been Huppert’s supervisor at the time in question. After Huppert and the Patrol Officers’ Association filed a grievance against the PPD and Addington, Baker restored Stroup’s evaluation to Huppert’s file.
Beginning in April 2005, Huppert retired on disability due to a knee injury. He states in his declaration that elective surgery on his knee “might” have enabled him to return to active police work. “However, given the persistent and pervasive discrimination and harassment I suffered, the fact that my long-time partner, Salgado, was terminated after he began his association with me, and the other means by which the defendants in this action sought to destroy my career and the careers of other good officers, I accepted the disability retirement and elected not to undergo surgery.” (In the district court, Huppert claimed racial discrimination in violation of state law, and his reference to “discrimination” in the just-quoted sentence is a reference to that claim. Huppert has not appealed the district court’s summary judgment ruling on his state-law discrimination claim.)
Salgado states that in late 2003 and early 2004, Addington began investigating PPD Officer Jim Hartley for alleged falsification of reports. It was “apparent” to Salgado that “Addington disliked Hartley and was seeking to terminate him.” Addington attempted to persuade Salgado to “claim first-hand knowledge of incidents I had not witnessed.” Salgado refused.
Salgado states that in May 2004 he was placed on administrative leave pending an investigation into whether he had falsified reports in California Health and Safety Code § 11550 (“driving under the influence”) cases. Salgado states in his declaration that he “did ‘cut and paste’ when writing such reports,” but that this was “an accepted practice at the time in the PPD.” He states that “the individual test results for each suspect were accurately recorded.” Salgado states further that “cutting and pasting ... was actually encouraged by some supervisors.” “On several occasions defendants Barbaniea and Addington asked me to provide officers with one of my preformatted reports, and during the investigation of my reports I saw reports written by officers Raman, Albanese, and Wentz using my template. ... A number of the questioned reports that led to my termination were in
Salgado states that in July 2004 he was given a Notice of Proposed Disciplinary Action proposing his termination from the PPD. Two days before his scheduled hearing under Skelly v. State Personnel Board,
Defendant Addington testified in his deposition that one of the two Deputy District Attorneys to whom he spoke was reluctant to file criminal charges against Salgado. Addington testified that after he made “my own pitch” to the Deputy criminal charges were filed. Salgado pleaded no contest to five felony counts of falsifying reports in violation of California Penal Code § 118.5.
Except as noted during the course of the foregoing narrative, Defendants do not contest the factual accuracy of Huрpert, Salgado, and Hendricks’ sworn declarations.
II. Legal Background
For nearly four decades, we determined whether a public employee’s speech was protected under the First Amendment by following the analysis in Pickering v. Board of Education,
The Supreme Court’s recent decision in Garcetti v. Ceballos,
The Court wrote that “the parties in this case do not dispute that Ceballos wrote his disposition memo pursuant to his employment duties. We thus have no occasion to articulаte a comprehensive framework for defining the scope of an employee’s duties in cases where there is room for serious debate.” Id. at 424,
In four eases decided after Ceballos, we have addressed whether a government employee’s speech was made pursuant to his or her official duties. The first case is Freitag v. Ayers,
When Freitag’s immediate supervisors continued to ignore and belittle her complаints, she wrote to the head of the California prison system, the Director of the California Department of Corrections and Rehabilitation (“CDCR”). After her supervisors retaliated against her for having written to the Director, Freitag contacted a state senator and California’s Office of the Inspector General (“Inspector General”), an independent agency that oversees the CDCR. Freitag’s supervisors further retaliated against her for having contacted the state senator and the Inspector General.
We were unsure, based on the record before us, whether Freitag’s letter to the Director of the CDCR was protected speech under the First Amendment. We remanded for a factual determination of the scope of Freitag’s “official duties,” stating that “[w]e are unsure whether prison guards are expected to air complaints ... all the way up to the Director.” Id. at 546. However, we were certain that Freitag had not spoken “pursuant to [her] official duties,” and that she was protected by the First Amendment, when she contacted the state senator and the Inspector General. Id. at 545. We wrote:
Freitag acted as a citizen when she wrote letters to Senator Polanco and communicated with the Inspector General regarding her complaints of sexual harassment. Her right to complain both to an elected public official and to an independent state agency is guaranteed to any citizen in a democratic society regardless of his status as a public employee. Under Ceballos, Freitag does not lose her right to speak as a citizen simply because she initiated the commu*717 nications while at work or becausе they concerned the subject matter of her employment.
Id. (citations omitted); see also Fuerst v. Clarke,
The second case is Marable v. Nitchman,
We held that Marable’s complaints were protected by the First Amendment. We wrote:
At the outset, we think it worth noting that an employee’s charge of high level corruption in a government agency has all of the hallmarks that we normally associate with constitutionally protected speech. The matter challenged was a matter of intense public interest, had it become known, and criticisms of a government lie at or near the core of what the First Amendment aims to protect.
Id. at 932. We concluded that Marable’s speech, including his speech within the WSF hierarchy, was protected because it was not made pursuant to his official duties:
The Supreme Court has observed that the inquiry into whether employee speech is pursuant to employment duties is a practical one.... Functionally, ... it cannot be disputed that [Marable’s] job was to do the tasks of a Chief Engineer on his fеrry, and such tasks did not include pointing to corrupt actions of higher level officials whom he purportedly thought were abusing the public trust and converting public funds to their own use by overpayment schemes.
Id.
The third case is Eng v. Cooley,
In reviewing Eng’s First Amendment retaliation claim, we stated that “ ‘the question of the scope and content of a plaintiffs job responsibilities is a question
The fourth case is Robinson v. York,
In determining whether Robinson’s reports were filed pursuant to his official duties, we stated that the “scope of Robinson’s duties is a question of fact. [W]hen there are genuine and material disputes as to the scope and content of the plaintiffs job responsibilities, the court must reserve judgment ... until after the fact finding process.” Id. at 823-24 (internal quotation marks and citations omitted; bracket and ellipses in original). We concluded that we must “assume the resolution of this dispute in the non-moving party’s favor.” Id. at 824 (citing Eng,
The lesson from the Supreme Court’s decision in Cebados, and from the four cases we have decided since then, is clear. If a public employee’s speech is made pursuant to his or her official duties, it is not protected under the First Amendment. However, if thеre is a genuine issue of material fact as to whether speech was made pursuant to a plaintiffs official duties, that issue may not be treated as a question of law to be resolved at summary judgment. Rather, it must be treated as a question of fact to be resolved in a fact-finding proceeding.
In Freitag, we were uncertain whether Freitag had a duty to report her complaints to the Director of the CDCR.
Requiring factual determinations by a jury, or by a judge after a bench trial, when there is a genuine factual dispute about the scope of a plaintiffs official duties makes sense as a matter of institutional competence. In many instances, a judge сan have only an imperfect understanding of the precise duties associated with a public sector job when all he or she knows is a job title. The duties of jobs with the same title often vary substantially depending on the agency and job location. The duties associated with a particular job may change over time. And the actual duties of an employee may vary substantially from the formal, publicly released job description. Thus, for a judge to conclude as a matter of law what is, and is not, included in a public employee’s official duties is a very hazardous enterprise.
III. Plaintiffs’ Protected Speech
Plaintiffs contend that they engaged in protected speech on four occasions: (1) Huppert’s speech during his investigation into corruption at the public works yard in 1997 and 1998; (2) Huppert’s speech during his cooperation with the FBI in its investigation into corruption in the police department sometime prior to 2001; (3) Huppert and Salgado’s speech during their-investigation into police corruption at the city-owned golf course beginning in late 2001; and (4) Huppert’s subpoenaed speech to the grand jury in 2004 during its investigation into corruption in the police department.
I agree with the majority that the district court’s summary judgment with respect to Huppert’s speech on the first occasion should be affirmed. In my view, Huppert has provided insufficient evidence that his speech on that occasion was not uttered pursuant to his official duties to survive summary judgment.
However, I disagree with the majority with respect to Huppert’s speech on the second, third, and fourth occasions, and with respect to Salgado’s speech on the third occasion. In my view, there is a genuine issue of materiаl fact whether Plaintiffs’ speech on the second and third occasions was uttered pursuant to their official duties and, therefore, whether it was protected under the First Amendment. Further, in my view, Huppert’s speech on the fourth occasion was protected, as a matter of law, under the First Amendment:
A. Huppert’s Speech During the FBI Investigation into Corruption in the Pittsburg Police Department
Huppert states in his declaration that sometime prior to 2001 he began cooperating with the FBI in its investigation of corruption in the Pittsburg Police Department (“PPD”). Huppert specifically states that his cooperation was “outside [his] duties as a member of the PPD.” Huppert states that in 2001, when Police Chief Baker learned of his cooperation with the FBI, he retaliated by transferring Huppert to the Code Enforcement unit of the PPD, otherwise known as the Penal Colony.
In my view, Huppert has created a genuine issue of material fact as to the scope of his official duties. Huppert has specifically, and not implausibly, stated that his speech during his cooperation with the FBI’s investigation into corruption in the PPD was not part of his official duties as a member of the PPD. I therefore conclude that the scope of Huppert’s official duties, and the motivation for Baker’s assignment of Huppert to the Penal Colony, are questions of fact to be resolved by a jury, not an issue- of law to be resolved on summary judgment.
Huppert and Salgado state in their declarations that the City Manager asked them to conduct the investigation into police corruption at the city-owned golf course. Commander Hendricks states in his declaration that Police Chief Baker told Huppert and Salgado to stop their investigation after only one day. Hendricks states that Baker explicitly ordered Huppert and Salgado not to write a report. Huppert states that, in direct disobedience to Baker’s order, he and Salgado continued their investigation and that he wrote a report of their “initial findings.” Huppert and Salgado state that they were retaliated against for this speech.
Huppert and Salgado contend that because they continued their investigation, and because Huppert wrote the report in direct contravention of orders from Police Chief Baker, the speech contained in the report was not made pursuant to their official duties. I recognize that Huppert and Salgado continued their investigation with the knowledge and encouragement of Commander Hendricks. But any encouragement from Hendricks conflicted with the direct order of Police Chief Baker. In my view, a direct order from the Chief of Police is a more authoritative source for determining the scope of a police officer’s official duties than the encouragement of a lower-ranking officer in the department to disobey that order. At most, Hendricks’ encouragement of Huppert and Salgado creates a factual question as to the scope of their official duties. This is precisely the type of question that we saved for fact-finding proceedings in Freitag, Eng, and Robinson. Huppert and Salgado’s version of the facts “plausibly indicates that [they] had no official duty” to prepare the report on their publiс golf course corruption investigation. Eng,
Police Chief Baker, who is a defendant in this suit, may be able to provide evidence that would help a jury determine the scope of Huppert and Salgado’s official duties. For example, Baker could testify that in directing them not to prepare the report, he was defining the contours of their official duties. If this is so, Huppert was not acting pursuant to his official duties when he wrote the report, and his (and Salgado’s) speech is protected under the First Amendment. On the other hand, Baker could testify that writing the report was part of their official duties, and that Baker was directing them not to perform their duty. If this is so, Baker may have been behaving improperly by attempting to cover up corruption in his police force, but Huppert and Salgado were acting pursuant to their official duties in preparing the report, and their speech was not protected.
C. Subpoenaed Testimony Before the Grand Jury Investigating Corruption in the Pittsburg Police Department
Huppert was subpoenaed to appear before a civil grand jury investigating corruption in the Pittsburg Police Department. He appeared before the grand jury in compliance with the subpoena. We do not know his actual testimony, but we know that he testified concerning corruption in the PPD. Huppert states that after he testified he was subjected to various retaliatory actions.
The majority relies on Christal v. Police Commission of San Francisco,
The majority’s conclusion that Huppert’s subpoenaed speech before the grand jury is not protected under the First Amendment conflicts with two recent decisions by our sister circuits. In Morales v. Jones,
Being deposed in a civil suit pursuant to a subpoena was unquestionably not one of Morales’ job duties because it was not part of what he was employed to do. Nonetheless, Morales testified about speech he made pursuant to his official duties and we must determine whethеr that fact renders his deposition unprotected. We hold that it does not....
Id. at 598.
In Reilly v. Atlantic City,
[T]he act of offering truthful testimony is the responsibility of every citizen, and the First Amendment protection associated with fulfilling that duty of citizenship is not vitiated by one’s status as a public employee. That an employee’s official responsibilities provided the initial impetus to appear in court is immaterial to his/her independent obligation as a citizen to testify truthfully.
Id. at 231.
A recent district court decision in our own circuit is even more directly on point. In Evans v. Housing Authority of Benicia,
The court held that Evans’ testimony before the grand jury was protected, both as to the hours worked by Peterson and to her failure to collect rents. The court wrote:
*722 Testifying before the Grand Jury was not in any way part of Evans’ official job duties. It was clearly not within the scope of Evans’ official job duties to testify before the Grand Jury about Peterson’s alleged failure to cоllect past due rents.... Nor was it within the scope of Evans’s duties to testify before the Grand Jury about Peterson’s reduced work hours. Rather, it was Evans’ duty as a citizen to expose such official malfeasance to broader scrutiny.
Id. But see Deprado v. City of Miami,
Morales, Reilly, and Evans hold that where there is an independent legal duty to speak (in our case, to testify before the grand jury pursuant to a subpoena), the employee has First Amendment protection for truthful speech uttered in performance of that independent legal duty. The fact that the employer may require its employees to obey a law that exists independent of the employment relationship does not allow the employer to retaliate against an employee for obeying that law.
This holding comports with sound policy. There are strong reasons to avoid holding that police officers have an official duty, within the meaning of Ceballos, to testify before a grand jury pursuant to a subpoena about corruption among their fellow officers. Such a holding would result in a Catch 22. If a police officer were subpoenaed to testify, he or she would have two choices. One choice would be to testify before the grand jury. In that event, the officer could lawfully be fired in retaliation for his or her testimony. The other choice would be to refuse to testify. In that event, the officer would face contempt (and possibly other adverse consequences) for failing to comply with a subpoena.
The subject of Huppert’s testimony before the grand jury was, in the words of our decision in Marable, “high level corruption in a government agency,” which “has all the hallmarks that we normally associate with constitutionally protected speech.”
Conclusion
The majority holds that Huppert’s speech during the FBI investigation into corruption in the Pittsburg Police Department, and Huppert and Salgado’s speech during the investigation into police corruption at the city-owned golf course, were not protected under the First Amendment. In so holding, the majority fails to follow our binding circuit precedent in four cases decided after the Supreme Court’s decision
The majority also holds that Huppert’s subpoenaed speech to the grand jury investigating corruption in the Pittsburg Police Department was not protected by the First Amendment. In so holding, the majority creates a circuit split with the Seventh Circuit’s decision in Morales and the Third Circuit’s decision in Reilly.
I respectfully dissent.
