Lead Opinion
ON REHEARING EN BANC
Plaintiff/appellant Thomas Koch was demoted from Fire Marshal for the City of Hutchinson (the “City”) in part because of a written report he prepared in the course of his official duties in which he stated his professional opinion as to the cause of a fire. He contends that the report was protected speech under the First Amendment and could not therefore be the basis for his demotion. After a jury verdict in Koch’s favor, the United States District Court for the District of Kansas granted the City’s motion for judgment notwithstanding the verdict, set aside the jury’s verdict and entered judgment for the City. A panel of this court reversed the district court’s judgment. We granted rehearing en banc and, after further consideration, we affirm the district court’s judgment for the City.
BACKGROUND
Koch served as Fire Marshal for the City from November 1976 until he was demoted to Fire Prevention Inspector on July 23, 1979. Koch worked under the supervision of the Fire Chief of the Hutchinson Fire Department, defendant Dallas Jones. His duties as Fire Marshal included the investigation of all fires within the City and the supervision of subordinate fire inspectors.
On May 11, 1979, in pursuit of their official duties, Koch and two subordinate fire inspectors investigated a house fire in which an unattended small child died. In the course of his investigation, Koch sent various items to General Laboratories, an independent laboratory, for analysis. In its report to Koch dated May 22, 1979, the laboratory concluded that a cracked gas valve was a possible source of the fire. Although he had earlier expressed the view that the fire was accidental, Koch stated in his May 24 official report to Reno County Attorney Joseph O’Sullivan that the fire “was an aggravated arson fire.” The report did not mention the analysis of the cracked gas valve by General Laboratories.
O’Sullivan, whose responsibility it was to determine if criminal prosecution was warranted in connection with a fire, questioned Koch’s May 24 report and conclusions and, the day after he received it, asked the other two fire investigators to submit written statements on the cause of the fire.
On May 25, in response to a request from a Hutchinson newspaper reporter, O’Sullivan released to the press the contents of Koch’s report and the reports of the other investigators. On May 30, O’Sullivan, the K.B.I. agent, Koch, Fire Chief Jones, and a police detective met to discuss the situation. Although Koch testified at trial that he felt he cooperated with other officials and answered their questions, Jones, O’Sullivan and the K.B.I. agent testified that Koch was uncooperative and that Koch and O’Sullivan argued. O’Sullivan testified that, in discussing the laboratory analysis omitted from his report, Koch told him that the laboratory results were “negative” and that nothing in the laboratory report contradicted Koch’s conclusion. R.Vol. XVI at 1577. Soon thereafter, a local newspaper story chronicled the dispute as to the origin of the fire.
Sometime after June 5, after learning of the actual contents of the laboratory analysis, O’Sullivan requested a police investigation of Koch because he believed Koch’s omission of that analysis from his report amounted to official misconduct. The investigating detective reported that Koch became “upset” and “irrate” [sic] during the investigation, and that he “told me that he did not have to explain or defend his report to anyone.” R.Vol. XIX, Pl.’s Ex. 52 at 81.
The net result is a total lack of confidence in his [Koch’s] opinion and in his ability to rationally and professionally conduct an investigation. This lack of confidence is not only on my part but is shared with me by the police detectives and the local K.B.I. agent. On the other hand and to the contrary we have total confidence in the other arson investigators in your department, and that not only are they pleasant and cooperative to work with but their conclusions appear based in fact and reason. On behalf of the Reno County Attorney’s Office and as long as I hold this position, I will not accept a report from Chief Fire Marshall [sic] Thomas Koch as the basis of a criminal charge nor do I feel that I could ever call him as a State’s witness and sponsor him as credible and reliable.
R.Supp.VoI. XIX, Pl.’s Ex. 10.
After receiving O’Sullivan’s letter, Jones met with City Manager Pyle to discuss the situation and they determined to put Koch on paid leave of absence until the matter could be investigated. Jones conducted an investigation, during which he met with Koch and heard Koch’s view of the situation. After completing the investigation, Jones and Pyle decided to demote Koch and he was so notified on July 23 in a letter in which Jones stated that Koch had been “uncooperative and belligerent with representatives of other investigating agencies,” had not disclosed information “very important and relevant to the investigation,” had by his behavior and refusal to cooperate with other investigators “destroyed necessary working relationships with these agencies,” and had failed to cooperate with O’Sullivan. R.Vol. XIX Pl.’s Ex. 2. After Koch’s demotion and suspension, local newspaper stories described the entire situation.
Koch subsequently filed this action in the United States District Court for the District of Kansas, alleging that his demotion violated his First, Fifth, Ninth, and Fourteenth Amendment rights and 42 U.S.C. §§ 1983, 1985, 1986 and 1988. The district court disposed of all claims against the City Commissioners, the procedural due process claims, and the conspiracy claims in various pretrial rulings and in a partial directed verdict.
The City thereafter moved for judgment n.o.v., arguing that, as a matter of law, Koch’s speech was unprotected under the First Amendment because it was not on a matter of “public concern” within the meaning of Connick v. Myers,
A divided panel of this court reversed the judgment n.o.v. and reinstated the jury’s verdict, holding that the speech at issue in this case was constitutionally protected. It affirmed the district court’s other rulings. We granted rehearing en banc on the issue of whether Koch’s speech was constitutionally protected.
For the reasons set forth below, we hold that Koch’s speech was unprotected under the First Amendment and we therefore affirm the district court’s entry of judgment for the City.
DISCUSSION
Relying on Schmidt v. Fremont County School District No. 25,
Koch argues that Schmidt has been implicitly overruled by Connick and can therefore no longer serve as the basis for disposition of this case. He further argues that the applicability of the Pickering balancing test is not properly before the court because the district court never relied on it in granting judgment n.o.v. to the City, and therefore, impliedly ruled in Koch’s favor on that issue. He further contends that the City may not appeal that implicit decision because it failed to file a cross-appeal. Accordingly, Koch argues, the only issue in this appeal is whether Koch’s speech was on a matter of public concern.
It is well settled that “a State cannot condition public employment on a basis that infringes the employee’s constitutionally protected interest in freedom of expression.” Connick v. Myers,
The three United States Supreme Court cases just cited establish the basic framework for analyzing a claim by a public employee that his or her governmental employer made an adverse employment decision in violation of the employee’s First Amendment rights. The balancing test set out in Pickering provides the touchstone. In Rankin the Supreme Court reaffirmed its holding in Connick that the “threshold question in applying this balancing test is whether [the employee’s] speech may be ‘fairly characterized as constituting speech on a matter of public concern.’ ” Rankin,
As a preliminary matter, we delineate the applicable standard of review for an appellate court in a First Amendment case.
B. Existence of Per Se Rule for Speech in Course of Official Duties.
As indicated, our task is first to determine whether Koch’s speech touched upon a matter of public concern. If we find that it did, we must then conduct the balancing of employer and employee interests required by Pickering. An initial question, however, is whether Koch’s speech is exempted from First Amendment protection because of a per se rule removing First
The City argues that communications made in the course of an employee’s official duties are per se exempted from First Amendment protection. We hold that they are not. The City’s argument relies primarily on Schmidt v. Fremont County School District,
Koch argues that Schmidt has been “obviously superseded and modified by Con-nick” and is “out-dated.” Supplemental Brief of Appellant at 24, 26. Koch argues that no “official function” exception to First Amendment protection survives Con-nick; now, the only inquiry, at the threshold level, is whether the speech in question touches upon a matter of public concern. We find no reason to conclude that Schmidt has been either implicitly or explicitly overruled by Connick. Nonetheless, we do not view it as establishing a per se rule exempting statements made in the course of official duties from the protection of the First Amendment.
The Supreme Court in Givhan v. Western Consolidated School District,
Two recent cases from other circuits are instructive. In Gomez v. Texas Dept. of Mental Health and Mental Retardation,
C. Whether Koch’s Speech Was On a Matter of Public Concern.
The district court granted the City’s motion for judgment n.o.v. because it held that Koch’s speech did not involve a matter of public concern within the meaning of Connick. We agree.
As indicated, we must consider the content, form and context of the speech in question to determine whether it relates to a matter of public concern. While cautioning that it is neither “appropriate [n]or feasible to attempt to lay down a general standard against which all [public employee] statements may be judged,” Pickering,
The facts of Connick illustrate the content, form and context inquiry. In Con-nick, the plaintiff-employee, Myers, was an assistant district attorney, who, upon learning of her impending transfer to a different section of the criminal court, expressed dissatisfaction concerning that transfer to her superiors, including Connick, the District Attorney. She met with one of her superiors and discussed her transfer as well as various other office matters. After being told that her concerns were not shared by others in the office, Myers prepared a questionnaire soliciting the views of her coworkers on “office transfer policy, office morale, the need for a grievance committee, the level of confidence in supervisors, and whether employees felt pressured to
Myers brought suit under 42 U.S.C. § 1983, alleging that her employment was terminated in violation of her First Amendment rights. The Supreme Court ultimately disagreed, holding that Myers’ questionnaire, except as it related to the question concerning pressure to work on political campaigns, did not touch upon matters of public concern. Rather, looking at the context of the speech, the Court viewed the bulk of the questions “as mere extensions of Myers’ dispute over her transfer to another section of the criminal court.” Id. at 148,
Myers did not seek to inform the public that the District Attorney’s Office was not discharging its governmental responsibilities in the investigation and prosecution of criminal cases. Nor did Myers seek to bring to light actual or potential wrongdoing or breach of public trust on the part of Connick or others.
Id. Thus, since the “focus” of her questionnaire was “to gather ammunition for another round of controversy with her superiors”, no matters of public concern were implicated.
In contrast to Connick, in both Pickering and Rankin the Supreme Court found speech on matters of public concern. In Pickering, appellant Pickering, a high school teacher, wrote a letter to a local newspaper critical of the local school board’s methods of informing taxpayers of the reasons why additional revenues for schools were needed. The letter also criticized the way the school board allocated money between educational and athletic programs. The letter was sent in the context of the school board’s proposed tax increase to raise money for educational purposes and was in response to articles attributed to a local teachers’ organization and a letter from the superintendent of schools, all of which appeared in local newspapers, urging passage of the tax increase. The Supreme Court, focusing implicitly on the content of the speech, concluded that “the question whether a school system requires additional funds is a matter of legitimate public concern” requiring “free and open debate.” Pickering,
Rankin similarly involved speech on a matter of public concern. In that case, Rankin, the constable of Harris County, Texas, fired McPherson, a deputy constable whose duties were “purely clerical” for stating, in response to the news that someone had attempted to assassinate the President of the United States, “if they go for him again, I hope they get him.” Rankin,
Lower court efforts to draw more specific guidance from the Supreme Court’s language and case law have resulted in a variety of statements and decisions. In Wilson v. City of Littleton, Colorado,
in rejecting the other questions in Myers’ questionnaire as outside the “rubric of matters of ‘public concern,’ ” we do not understand the Court to be saying that the performance of a district attorney’s office or of a district attorney as an elected official is not of public concern. Bather, it apparently was the Court’s view that the other questions in Myers’ questionnaire, while “related to an agency’s efficient performance,” did not sufficiently inform the issue as to be helpful to the public in evaluating the conduct of government.
Id. (citations omitted) (emphasis original in part, added in part). The court went on to conclude that:
In order for a public employee’s speech to be “of public concern,” ... it is not always enough that “its subject matter could in [certain] circumstances, [be] the topic of a communication to the public that might be of general interest.” What is actually said on that topic must itself be of public concern.
Id. at 769 (citations omitted) (emphasis original). Thus, this circuit has already indicated that what is of general interest to the public is not necessarily of public concern for First Amendment purposes. See also Piver v. Pender County Bd. of Educ.,
After Connick, many courts have particularly focused on the extent to which the content of the employee speech was calculated to disclose wrongdoing or inefficiency or other malfeasance on the part of governmental officials in the conduct of their official duties. See, e.g., Daniels v. Quinn,
The Seventh Circuit has turned this aspect of the analysis into an inquiry into the motive of the speaker. See Callaway v. Hafeman,
As the Supreme Court has explicitly stated, context is also important. While the Court has made clear that “[t]he private nature of the statement does not... vitiate the status of the statement as addressing a matter of public concern," Rankin,
With those general guidelines in mind, we turn to the content, form and context of Koch’s speech to determine if it addressed a matter of public concern, the threshold inquiry in the Pickering balancing test. We hold that it did not.
With regard to the content and form of Koch’s speech, his official report stated his professional opinion as to the cause of a fire in which a small child died. As we have indicated, we view the fact that his speech took place in a report in the course of his official duties as a factor which weighs against, in the circumstances of this case, a finding that his speech involved matters of public concern for the purposes of the First Amendment. His written report was simply one of many routine official reports which are processed through the City’s local governmental agencies on a daily basis. While the conduct of local government is, broadly speaking, an obvious matter of public concern, absent a more compelling circumstance than the simple fact that Koch’s report was a routine governmental report, we conclude that Koch’s expressed opinion in his report does not address a matter of public concern. In view of other aspects of the content, form and context of his report, we find no such compelling circumstance.
As the Supreme Court has stated, speech “not otherwise of public concern does not attain that status because its subject matter could, in different circumstances, have been the topic of a communication to the public that might be of general interest.” Connick,
Koch asserts that his speech “was calculated to inform and alert the public about the city government’s discharge of its duty
Koch’s remaining two arguments concerning media publicity of his report and subsequent events and public access to the report through the Kansas “sunshine” laws do not persuade us that his speech addressed a matter of public concern.
Koch argues, citing Wichert v. Walter,
We do not believe, however, that the scope of an employee’s freedom of speech can turn on his ability to convince a newspaper to print a story about his plight. The factors which determine whether a story is newsworthy are hardly coterminus with the factors which determine whether the communication has societal ramifications, and in any event, newspaper editors cannot decide the question for us.
Egger v. Phillips,
Finally, Koch relying on the majority opinion of the previous panel of this court, argues that Kansas law gives the public access to investigative reports prepared by Fire Marshals such as Koch under Kansas
Though a state may choose to provide broader rights under its own laws than those granted by the federal Constitution, it has no power to enlarge the scope of federal rights themselves. Whether or not the state of Texas would characterize the speech in question as addressed to a matter of public concern is therefore irrelevant to the federal issue.
Gomez v. Texas Dept. of Mental Health and Mental Retardation,
In sum, considering the content, form and context of Koch’s speech, we hold that it did not involve a matter of public concern for the purpose of the First Amendment.
D. Balancing Under Pickering.
Even were we to conclude that Koch’s speech touched, even tangentially, upon a matter of public concern, we would nonetheless conclude that it is unprotected under the First Amendment because it fails the Pickering balancing test.
As indicated, Pickering requires us to balance the interests of the employee in making the statement at issue against the interests of the state, as an employer, in promoting the efficient provision of services. “In performing the balancing, the statement will not be considered in a vacuum; the manner, time, and place of the employee’s expression are relevant, as is the context in which the dispute arose.” Rankin,
The Supreme Court has “recognized as pertinent considerations whether the statement impairs discipline by superiors or harmony among coworkers, has a detrimental impact on close working relationships for which personal loyalty and confidence are necessary, or impedes the performance of the speaker’s duties or interferes with the regular operation of the enterprise.” Rankin,
Rankin has further made clear that the employee’s responsibilities within the workplace are relevant to the Pickering balancing. “The burden of caution employees bear with respect to the words they speak will vary with the extent of authority and
Finally, different considerations come into play if the disputed speech reflects negatively on the employee’s ability and competence to perform his or her job. The Supreme Court in Pickering specifically noted that:
[T]his case does not present a situation in which a teacher’s public statements are so without foundation as to call into question his fitness to perform his duties in the classroom. In such a case, of course, the statements would merely be evidence of the teacher’s general competence, or lack thereof, and not an independent basis for dismissal.
Pickering,
Applying those factors to this case, we hold that the Pickering balance clearly tips in favor of the employer, the City. As the Supreme Court has stated, the manner, time and place of employee speech are relevant to the Pickering balance, as is the context of the speech. Koch’s speech occurred in the course of and as a part of his official duties. While we have declined to establish a per se rule regarding speech made as a part of an employee’s official functions, the fact that the speech occurs in such a situation is an important factor in the Pickering balancing, just as it is a factor in the threshold public concern inquiry. See Connick,
Furthermore, we hold that the City was entitled to evaluate Koch’s official report, prepared and submitted in the course of his normal duties as Fire Marshal, as a reflection upon his ability and competence to perform his job. Accordingly, the City was entitled to view Koch’s report as reflecting negatively upon his ability and competence because of, among other things, its omission of the laboratory analysis suggesting a possible accidental cause of the fire.
From the interview with an applicant for a position to discussions with the employee about the proper discharge of his duties, the content of an employee’s speech naturally affects his superior’s assessment of him and forms the basis of personnel decisions. ... [The employee’s superior in this case] was entirely justified in evaluating the soundness of [the employee’s] investigative technique, the inferences he drew from certain informant statements, and the overall soundness of his conclusion that certain leads were worth pursuing. ... [The employee] was simply doing his job as a criminal investigator, and the quality of that work was something [his superior] routinely had to assess.
Egger,
Additionally, there is evidence that Koch’s report had a “detrimental impact on close working relationships for which personal loyalty and confidence is necessary,” within the meaning of Rankin,
The nature of the ongoing working relationship between Koch, O’Sullivan and other agencies underscores the significance of
I had to be personally satisfied or convinced myself from any case that I ever filed that the person accused did the acts that he was accused of, and that that constituted a criminal offense. And ever [sic] witness that I then use to prove that charge, I had to have absolute confidence in, especially in a case where you’re talking about an area in which my witness has greater expertise than I do. ... And I felt like I had to have absolute confidence in the objectivity and the professionalism of the person whose opinion I was advocating before I would proceed on a case, and in this particular case, I did not have that in Tom Koch, I did not feel that I ever would, and frankly, did not want him coming over to the office any more with his opinions because I wouldn’t proceed in a criminal case based upon his opinion.
R.Vol XVI at 1586. The City Manager, Pyle, testified that there was an “absolute requirement that they [Koch and the county attorney] cooperate with each other.” R. Vol. XIV at 1114. Accordingly, although Koch and O’Sullivan did not work together on a daily basis, they could, in arson prosecutions, have a working relationship requiring mutual trust and confidence. See also Saye v. St. Vrain Valley School Dist.,
Finally, Koch’s position within the workplace and his responsibilities further persuade us that the Pickering balance clearly tips in favor of the City. Unlike the “purely clerical” employee in Rankin, whose speech was protected under the First Amendment, Koch had a greater “confidential, policymaking, or public contact role.” See Rankin,
We have considered the many factors applicable to the Pickering balancing test and hold that the City’s interest in implementing a personnel decision on the basis of Koch’s speech in the circumstances of this case clearly outweighed his interest in making the speech in question. Koch’s written report reflected upon his competency and ability to perform his job and caused evident disruption of necessary working relationships between Koch and others. As a result, the City’s ability to efficiently perform its necessary duties was significantly impaired. We therefore hold that the City did not violate Koch’s First Amendment rights when it demoted him from Fire Marshal to Fire Prevention Inspector.
CONCLUSION
For the foregoing reasons we affirm the judgment of the district court granting judgment n.o.v. to the City, setting aside the jury verdict in Koch’s favor and entering judgment for the City.
Notes
. In addition to the City and Jones, the remaining defendants were Joan Schrag, Bill Born-holdt, Ralph Gingerich, John Corey, Dan Robinson and George Pyle. Schrag was the mayor, Pyle was the City Manager, and the others were City Commissioners of Hutchinson at the time of Koch’s demotion.
. There was testimony suggesting that other pieces of information should have been included in Koch’s report. R. Vol. XV at 1477-78; R. Vol. XVII at 1799-1800. On cross-examination, the City elicited from Koch that certain other "details” of which Koch was aware (the fact that an electrical inspector determined that the house had oversized fuses and poor wiring and the fact that Koch’s two subordinate fire inspectors believed the fire to be of accidental origin) were omitted from the report. R. Vol. XV at 1425-30.
.O’Sullivan testified he was suspicious about Koch's report because Koch’s views in the report differed from those of the other inspectors and because O’Sullivan felt “that Mr. Koch had changed his mind regarding the cause of the fire after he found out the parents [of the dead child] couldn’t be charged with endangering a child.” R. Vol. XVI at 1573. The subordinate inspectors testified, and had earlier reported to a police detective who investigated Koch, that they viewed Koch’s change in view in the same way. R. Vol. XTV at 927-28, 1030-35; R. Vol. XIX, Pl.’s Ex. 52 at 80.
. The detective's testimony was that Koch got "quite irritated" and “agitated” and "told me that he didn’t have to explain his report to me or any other policeman, and we had a few words and he left the office.” R. Vol. XVI at 1781.
. Koch had earlier filed a state court mandamus action, which resulted in findings against him on all counts, including a due process claim. Koch v. Martindell, No. 79 C 403 (Kan.Dist.Ct. Aug. 28, 1980). The Kansas Court of Appeals affirmed in a per curiam opinion, Koch v. Martindell, No. 80-52, 577-A (Kan.Ct.App. Nov. 5,
.The previous panel opinion disposed of Koch’s five other grounds for challenging the district court's judgment. See Koch v. City of Hutchinson,
We note that a recent Supreme Court decision, St. Louis v. Praprotnik, — U.S. -,
The court has not been asked to decide, nor does it decide, for the purposes of defendant’s motion, whether the acts of the individual defendants constituted official policy or custom of the City of Hutchinson so as to subject the City to liability under 42 U.S.C. § 1983.
R. Vol. I at 367. In view of our disposition of this case, we need not address that question.
. Both the district court and Judge Seth in his dissent from the panel opinion in this case relied in part on Schmidt to find Koch’s speech unprotected.
. The panel opinion based its conclusion that Koch’s speech was on a matter of public concern on the fact that Koch’s report was ultimately disclosed to the press, that Kansas law pro
. Koch further argues that, even if the Pickering balancing test is properly before the court, application of the test would result in a finding that his speech was protected.
. Rankin also reaffirmed that even public employee speech not involving matters of public concern may, in “unusual circumstances,” be protected by the First Amendment. Rankin,
. The complete inquiry into whether a state employer’s personnel decision has improperly infringed upon an employee's First Amendment rights involves several steps. First, the employee must show that his speech was constitutionally protected (the Connick-Pickering test, a question of law); next, the employee must prove that his protected speech "was a ‘motivating factor’ in the detrimental employment decision. The employer 'then bears the burden of showing by a preponderance of the evidence that it would have reached the same decision ... in the absence of the protected activity.’” Saye v. St. Vrain Valley School Dist. RE-1J,
. The majority of the previous panel specifically declined to address the question of whether the district court’s grant of judgment n.o.v. to the City could be upheld under the balancing test enunciated in Pickering v. Board of Education,
. See also Brasslett v. Cota,
.We reject Koch’s argument that the Pickering balancing test is not properly before this court because the district court did not rely on that test in granting judgment n.o.v. to the City, thereby implicitly ruling in Koch’s favor on that issue, and because the City failed to cross-appeal the district court’s implicit decision. As indicated, application of the Pickering balancing test is a question of law, properly reviewable de novo by this court. The failure of the City to cross-appeal that point does not render it unre-viewable by this court. See Blum v. Bacon,
. The court in Egger also impliedly rejected the rationale of Schmidt as establishing a per se content-based rule exempting "peculiarly internal matters of governmental employment” from First Amendment protection. Egger,
. While the Court concluded that most of Myers’ questionnaire did not relate to matters of public concern, it held that the question relating to pressure to work on political campaigns for office-supported candidates did "touch" upon a matter of public concern “in only a most limited sense.” Connick,
. Accordingly, where an employee sought to disclose wrongdoing, inefficiency or malfeasance courts have typically found speech on matters of public concern. See, e.g., Southside Pub. School v. Hill,
. Contrary to Koch’s suggestion, we do not view his offical report on the cause of a fire as speech on a matter "inherently” of public concern, as the Supreme Court in Connick,
. A pretrial conference order lists among plaintiffs exhibits numerous newspaper articles dating from the time of the fire to August, 1980, and covering the actual fire and ensuing events up to and including Koch’s lawsuits. R. Vol. I at 49-51. The record reveals that seven articles appeared concerning the fire, the dispute between Koch and others as to the cause of the fire, and Koch’s suspension and demotion.
. Different considerations may come into play in the Pickering balance, depending on whether the employee’s speech is made in a public or private forum.
When a teacher speaks publicly, it is generally the content of his statements that must be assessed to determine whether they “in any way either impeded the teacher’s proper performance of his daily duties in the classroom or ... interfered with the regular operation of the schools generally.” Private expression, however, may in some situations bring additional factors to the Pickering calculus. When a government employee personally confronts his immediate superior, the employing agency’s institutional efficiency may be threatened not only by the content of the employee’s message but also by the manner, time, and place in which it is delivered.
Givhan v. West. Line Consol School Dist.,
. Koch’s immediate superior, Fire Chief Jones, testified that "good judgment" would have required inclusion of the lab report. R. Vol. XI at 177. Koch himself testified that inclusion of the report "would have improved the technicality of the report." R. Vol. XV at 1411.
. A number of cases have emphasized the heightened governmental interest in maintaining harmony among employees in the law enforcement context, where "[m]utual trust and respect among [employees] ... are particularly important" and “[t]he need for confidentiality cannot be gainsaid." Egger,
Dissenting Opinion
with whom Judge SEYMOUR joins, dissenting:
With respect, I must dissent from the en banc court’s analysis of what is a matter of public concern and its application of the balancing test of Pickering v. Board of Education,
To focus properly, we must identify the precise issues presented to this court for review. The jury resolved all of the factual issues against the City of Hutchinson. The City neither complains of the jury instructions or verdict form nor argues that the evidence was insufficient to support the jury’s verdict. The district court based its grant of judgment n.o.v. on the sole ground that Koch’s “speech involved in this case cannot fairly be characterized as relating to a matter of ‘public concern’ and therefore the speech is not protected under the First and Fourteenth Amendments.” I R. 365. The order granting en banc rehearing was limited to the issues discussed in the “protected speech” section of the panel majority’s opinion and the dissent, which focused on Koch’s report as a “statement of his conclusions as a public employee limited to a matter within his official duties.” See Koch v. City of Hutchinson,
In addressing this issue, the City sets forth three alternative arguments. First, the City advocates a per se rule that a public employee’s statements made in the ordinary course of business can never be protected speech. Second, it argues that the speech here cannot be regarded as a matter of public concern. Finally, it asserts that even if Koch’s statement is
With respect to the City’s first argument, I agree with the majority that there should be no per se rule denying First Amendment protection to speech uttered in the ordinary course of a public employee’s business duties. Where I really part company with the majority is on the second issue — whether this speech touches on a “matter of public concern.” The majority correctly states the law in the context in which this issue usually arises: where the question is whether the speech that caused an employee’s discharge was mere griping or agitation over working conditions or internal policy decisions affecting the employee, as opposed to political commentary on an issue of public concern. That is, did the employee speak as employee or as citizen? Sometimes the lines are hard to draw, but I generally agree with the balance the courts have struck when the issue is presented in this context.
Here, in contrast, we face a different situation: Koch is speaking “as an employee,” and, although his speech is not pure political commentary, it also is not upon matters only of personal interest. Koch’s report did not express a complaint about working conditions or internal policy. Instead, it stated that he believed a fire which claimed the life of a child had been deliberately set. Surely the majority would agree that the cause of a fatal accident at a nuclear power plant would be a matter of grave public concern, on a regional and perhaps national scale. The cause of a fire in which someone dies, particularly if that cause might be arson, stimulates grave concern on a local level. And when, as in this case, law enforcement officials disagree about how such a fire started, the public should know about this disagreement, if for no other reason than to assess the conduct of government officials. See Connick,
The majority applies the “content, form and context” analysis of Connick,
The context of Koch’s speech — an official report prepared pursuant to duty — is quite different from the context of the speech in Connick. That Koch has spoken in his position as fire marshal rather than as a
The majority’s result places government employees whose duties require conclusions on issues of intense public concern in an untenable position. Will a district attorney dare seek an indictment in a case of corruption of a popular official? Could a staff member of the Warren Commission conclude President Kennedy was shot for arranging an attempted Mafia assassination of Fidel Castro when the duty is to determine why Kennedy was assassinated? Will the county coroner report that a jail prisoner died of beatings rather than suicide? The majority’s narrow construction of “public concern” leaves a host of public servants, including fire marshals, police, and coroners, under pressure not to report unpopular conclusions. This result is directly at odds with the Supreme Court’s rationale for protecting speech in the public workplace. As the Court held in Rankin: “Vigilance is necessary to ensure that public employers do not use authority over employees to silence discourse ... simply because superiors disagree with the content of employees’ speech.” at —,
My conclusion that a report of arson is a matter of public concern is fully consonant with the post-Connick case law cited by the majority. See cases cited in majority opinion at 1445-46. In fact, a reader would anticipate from the manner in which the majority opinion describes the precedents that it is building up to a finding of public concern, rather than its opposite. For example, Piver v. Pender County Board of Education,
The majority sets forth several reasons for tipping the Pickering balance in favor of the City of Hutchinson. First, the majority again weighs against Koch the fact that his speech was made in an official report. At 1450. But the majority provides no rationale for assigning the presumption against the employee; and as a general proposition the fact that the speech is contained in an official report should weigh in favor of the employee under Pickering. The government’s interests “in promoting the efficiency of the public services it performs through its employees,” Pickering,
The majority, however, ignores the governmental interests in protecting speech in official reports and looks only at the “disruptive” aspects of Koch’s statement. The relevant considerations on this aspect, as the majority declares, are whether the statement (1) impairs discipline or harmony on the job, (2) has a detrimental impact on necessarily close working relationships, or (3) impedes the performance of the speaker’s duties or interferes with the regular operation of the enterprise. At 1449. This test requires courts to determine whether the particular speech in the particular context would be inherently or necessarily inflammatory and disruptive of the working relationships on the employee’s job.
In Pickering the Supreme Court asked whether the speech at issue could “be regarded as per se detrimental,” and asked whether it would “normally have any necessary impact” on the operations of the workplace.
If speech is not per se disruptive, then the government must prove that the speech on matters of public concern actually created disruption in the workplace. See Rankin, at —,
After weighing the evidence for itself the majority holds that the City, based upon county attorney O’Sullivan’s recommendations, was entitled to evaluate the report as reflecting negatively upon Koch’s ability and competence to perform his job, partly because of his omission of the laboratory analysis suggesting a possible accidental cause of the fire. At 1450. It then says there is evidence that Koch’s report had a detrimental impact on the working relationships on the job and analyzes in detail the poor relationship between Koch and O’Sullivan, which it attributes to this report. At 1451-52. And finally, because Koch was not a purely clerical employee and had a policymaking and public contact role, the majority says that the City had a significant interest in regulating his speech. At 1452-53. Weighing these factors together, the majority holds that the City’s interest in regulating the speech clearly outweighed Koch’s interest in making the speech.
In my view the majority, under the guise of applying the Pickering balancing test, usurps the jury’s function of determining why Koch was demoted. The linchpin of the City’s argument is that Koch deliberately withheld evidence and that county attorney O’Sullivan and, later, Koch’s superiors in the city government, were therefore justified in losing confidence in him. From the majority’s recitation of the evidence on this issue, one would think that there was no dispute that Koch engaged in this deception. If the evidence were as one-sided as the majority states it, then the majority’s Pickering analysis might be correct. But this is not an open and shut case. Rather, the majority overlooks those parts of the record that support the jury’s verdict. For example, the majority does not mention that O’Sullivan took exception to Koch’s conclusions before O’Sullivan ever knew of the omitted laboratory report.
Koch does not dispute that there was acrimony and divisiveness in the instant case. The questions here are why did it develop and why was Koch demoted? Was Koch demoted because his reasoning was faulty or dishonest, or because O’Sullivan did not want to hear the conclusion Koch was required by his job to make? In the face of the conflicting evidence in the record, this is a fact question that was properly submitted to the jury and then was decided against the City. In my opinion, we must construe the jury’s conclusion as one that Koch was demoted because of his expression of belief as to the cause of the fire.
This appellate court has reweighed the evidence and found that the motivating factor in the detrimental employment decision was not Koch’s speech. Whether there was substantial evidence to support the verdict is not an issue before us, either in the original panel decision or in the en banc rehearing. I think the speech was clearly on a matter of public concern, and Koch could not be demoted just because he stated his conclusion in a report required of him as employee. The issue before the jury was whether Koch was fired for his conclusion or for some other reason. We have no authority to overturn the jury’s determination on that issue. Therefore, I dissent.
. Of course, a holding that speech addresses a matter of public concern only qualifies the speech for First Amendment protection; it does not guarantee that the speech will be protected. See Pickering,
. The panel opinion mentioned that the fire marshal’s reports are public information, Koch,
. Several days before submitting his written report to O’Sullivan, Koch met with O’Sullivan and told him that the fire appeared to be caused by arson. Koch testified that O’Sullivan immediately became “defensive” and emphasized to Koch that arson was difficult to prove. XV R. 1279-80. O'Sullivan admitted that he refused to see Koch or return Koch's calls after reading Koch’s report because “I wasn’t at all comfortable with [Koch’s] decision and I wanted to see the reports of the other fire investigators before I talked to him.” XVI R. 1614.
. At the trial Koch testified in detail about the factors that led him to conclude the fire was arson. See XIV R. 1171-91; XV R. 1195-1251. Koch said he did not mention the broken gas valve in his report because he had discounted it as a possible source of the fire for several reasons. First, the evidence led Koch to conclude that the gas valve was broken as a result of the fire and was not a cause of the fire. The residents of the house did not smell gas leaking as they would have had the gas valve been broken before the fire. XIV R. 1180. Second, there was no ignition source near the place where the gas valve was broken. Id. Koch did mention in his report that ”[g]as was indeed a fuel after the roof collapsed prior to being shut off by firefighters; line severed when roof fell," II R., Exhibit 1 at 4, but O'Sullivan maintained that Koch’s failure to include a laboratory report listing the gas valve as a potential fire source bordered on criminal conduct in falsely reporting a crime. XVI R. 1581-84.
. Koch testified that in investigating this fire he applied the general presumption for fire investigators going into a fire investigation — that "until proven otherwise, it’s an accidental fire.” XIV R. 1168; see also XV R. 1433 ("you don’t want to claim arson until you’re very sure. That is very detrimental to any investigation”). Also, Koch specifically denied falsifying the report or suppressing any evidence which conflicted with his conclusion that the fire was arson. XV R. 1324, 1342.
. I would have preferred a more detailed special verdict form than was given here. Ideally, the court should have asked specifically whether Koch was demoted because of the content of his speech in the report. Asking only whether the report was a substantial or motivating factor in the demotion somewhat blurs the line between whether it was Koch’s conclusion or how he arrived at the conclusion that made the difference. Nevertheless, the City did not object to the verdict form, and when considered together with the jury’s conclusion that Koch would not have been demoted absent the speech, I think we must accept the verdict as a finding that Koch was demoted because the City used his conclusion of arson as an excuse to demote him.
Concurrence Opinion
concurring statement:
I concur in the court’s opinion. The key in the difficult task of applying the general principles to the facts of this case lies in the fact that official reports cannot be immunized from competency judgments just because they involve subjects which are inherently dramatic and likely to attract public attention. I am satisfied that the court’s opinion takes into account all the relevant factors and gives them, on balance, the proper weight.
