NOTICE: This opinion is subject to
formal revision before publication in the preliminary print of the
United States Reports. Readers are requested to notify the Reporter
of Decisions, Supreme Court of the United States, Washington,
D. C. 20543, of any typographical or other formal errors, in
order that corrections may be made before the preliminary print
goes to press.
SUPREME COURT OF THE UNITED STATES
_________________
No. 17–21
_________________
FANE LOZMAN, PETITIONER
v. CITY OF
RIVIERA BEACH, FLORIDA
on writ of certiorari to the united states
court of appeals for the eleventh circuit
[June 18, 2018]
Justice Kennedy delivered the opinion of the
Court.
This case requires the Court to address the
intersection of principles that define when arrests are lawful and
principles that prohibit the government from retaliating against a
person for having exercised the right to free speech. An arrest
deprives a person of essential liberties, but if there is probable
cause to believe the person has committed a criminal offense there
is often no recourse for the deprivation. See,
e.g.,
Devenpeck v.
Alford, 543 U. S. 146, 153 (2004).
At the same time, the First Amendment prohibits government
officials from retaliating against individuals for engaging in
protected speech.
Crawford-El v.
Britton, 523
U. S. 574, 592 (1998).
The petitioner in this case alleges that
high-level city policymakers adopted a plan to retaliate against
him for protected speech and then ordered his arrest when he
attempted to make remarks during the public-comment portion of a
city council meeting. The petitioner now concedes there was
probable cause for the arrest. The question is whether the presence
of probable cause bars petitioner’s retaliatory arrest claim under
these circumstances.
I
The city of Riviera Beach is on the Atlantic
coast of Florida, about 75 miles north of Miami. The petitioner
here is Fane Lozman. In 2006 Lozman towed his floating home into a
slip in the City-owned marina, where he became a resident. Thus
began his contentious relationship with the City’s elected
officials.
Soon after his arrival Lozman became an
outspoken critic of the City’s plan to use its eminent domain power
to seize homes along the waterfront for private development. Lozman
often spoke during the public-comment period at city council
meetings and criticized councilmembers, the mayor, and other public
employees. He also filed a lawsuit alleging that the Council’s
approval of an agreement with developers violated Florida’s
open-meetings laws.
In June 2006 the Council held a closed-door
session, in part to discuss the open-meetings lawsuit that Lozman
recently had filed. According to the transcript of the meeting,
Councilmember Elizabeth Wade suggested that the City use its
resources to “intimidate” Lozman and others who had filed lawsuits
against the City. App. 176. Later in the meeting a different
councilmember asked whether there was “a consensus of what Ms. Wade
is saying,” and others responded in the affirmative.
Id., at
181–182. Lozman alleges that these remarks formed an official plan
to intimidate him. The City, on the other hand, maintains that the
only consensus reached during the meeting was to invest the money
and resources necessary to prevail in the litigation against
it.
In all events, Lozman became embroiled in a
number of disputes with city officials and employees over the
ensuing years, many of which Lozman says were part of the City’s
plan of retaliation. The dispute that led to this litigation took
place in 2006. In November of that year, five months after the
closed-door meeting where the “intimidate” com- ment was made, the
City Council held a public meeting. The agenda included a
public-comment session in which citizens could address the Council
for a few minutes. As he had done on earlier occasions and would do
more than 200 times over the coming years, see Tr. in No.
9:08–cv–80134 (SD Fla.), Doc. 785, p. 61, Lozman stepped up to
the podium to give remarks. He began to discuss the recent arrest
of a former county official. Councilmember Wade interrupted Lozman,
directing him to stop making those remarks. Lozman continued
speaking, this time about the arrest of a former official from the
city of West Palm Beach. Wade then called for the assistance of the
police officer in attendance. The officer approached Lozman and
asked him to leave the podium. Lozman refused. So Wade told the
officer to “carry him out.” The officer handcuffed Lozman and
ushered him out of the meeting. The incident was recorded on video.
See Record, Def. Exh. 505, Doc. 687, available at
https://www.supremecourt.gov/media/
video/mp4files/Lozman_v_RivieraBeach.mp4. According to the City,
Lozman was arrested because he violated the City Council’s rules of
procedure by discussing issues unrelated to the City and then
refused to leave the po- dium. According to Lozman, the arrest was
to retaliate for his open-meetings lawsuit against the City and his
prior public criticisms of city officials.
Under arrest, Lozman was escorted to police
headquarters. He was charged with disorderly conduct and resisting
arrest without violence and then released. Later, the State’s
attorney determined there was probable cause to arrest Lozman for
those offenses but decided to dismiss the charges.
Lozman filed this lawsuit under Rev. Stat.
§1979, 42 U. S. C. §1983. The complaint described a
number of alleged incidents that, under Lozman’s theory, showed the
City’s purpose to harass him in different ways. These ranged from a
city employee telling Lozman that his dog needed a muzzle to the
City’s initiation of an admiralty lawsuit against Lozman’s floating
home—the latter resulting in an earlier decision by this Court. See
Lozman v.
Riviera Beach, 568 U. S. 115 (2013).
The evidence and arguments presented by both parties with respect
to all the matters alleged in Lozman’s suit consumed 19 days of
trial before a jury. The jury returned a verdict for the City on
all of the claims.
Before this Court, Lozman seeks a reversal only
as to the City’s alleged retaliatory arrest at the November 2006
city council meeting. The District Court instructed the jury that,
for Lozman to prevail on this claim, he had to prove that the
arresting officer was himself motivated by impermissible animus
against Lozman’s protected speech and that the officer lacked
probable cause to make the arrest. The District Court determined
that the evidence was insufficient as a matter of law to support
probable cause for the offenses charged at the time of the arrest
(disorderly conduct and resisting arrest without violence). But the
District Court concluded that there may have been probable cause to
arrest Lozman for violating a Florida statute that prohibits
interruptions or disturbances in schools, churches, or other public
assemblies. Fla. Stat. §871.01 (2017). (The City had brought this
statute to the District Court’s attention during the course of the
litigation.) The District Court allowed the jury to decide whether
there was probable cause to arrest for the public-disturbance
offense.
Judgment having been entered for the City after
the jury’s verdict, Lozman appealed. The Court of Appeals for the
Eleventh Circuit affirmed. 681 Fed. Appx. 746 (2017). As relevant
here, the Court of Appeals assumed that the District Court erred
when it instructed the jury that the officer, rather than the City,
must have harbored the retaliatory animus. But the Court of Appeals
held that any error was harmless because the jury necessarily
determined that the arrest was supported by probable cause when it
found for the City on some of Lozman’s other claims—specifically,
his claims that the arrest violated the Fourth Amendment and state
law.
Id., at 751–752. And, under precedents which the Court
of Appeals deemed controlling, the existence of probable cause
defeated a First Amendment claim for retaliatory arrest. See
id., at 752 (citing
Dahl v.
Holley, 312
F. 3d 1228, 1236 (CA11 2002)).
This Court granted certiorari, 583 U. S.
___ (2017), on the issue whether the existence of probable cause
defeats a First Amendment claim for retaliatory arrest under §1983.
The Court considered this issue once before, see
Reichle v.
Howards, 566 U. S. 658, 663 (2012), but resolved the
case on different grounds.
II
The issue before the Court is a narrow one. In
this Court Lozman does not challenge the constitutionality of
Florida’s statute criminalizing disturbances at public assemblies.
He does not argue that the statute is overly broad,
e.g.,
Terminiello v.
Chicago, 337 U. S. 1 (1949);
Watchtower Bible & Tract Soc. of N. Y., Inc. v.
Village of Stratton, 536 U. S. 150 (2002); or that it
impermissibly targets speech based on its content or viewpoint,
e.g., Texas v.
Johnson, 491 U. S. 397 (1989);
Cohen v.
California, 403 U. S. 15 (1971); or
that it was enforced in a way that curtailed Lozman’s right to
peaceful assembly,
e.g., Brown v.
Louisiana, 383
U. S. 131 (1966). Lozman, furthermore, does not challenge the
validity of the City Council’s asserted limitations on the subjects
speakers may discuss during the public-comment portion of city
council meetings (although he continues to dispute whether those
limitations in fact existed).
Instead Lozman challenges only the lawfulness of
his arrest, and even that challenge is a limited one. There is no
contention that the City ordered Lozman’s arrest to discriminate
against him based on protected classifications, or that the City
denied Lozman his equal protection rights by placing him in a
“class of one.” See
Village of Willowbrook v.
Olech,
528 U. S. 562 (2000) (
per curiam). Lozman, moreover,
now concedes that there was probable cause for the arrest. Although
Lozman does not indicate what facts he believes support this
concession, it appears that the existence of probable cause must be
based on the assumption that Lozman failed to depart the podium
after receiving a lawful order to leave.
Lozman’s claim is that, notwithstanding the
presence of probable cause, his arrest at the city council meeting
violated the First Amendment because the arrest was ordered in
retaliation for his earlier, protected speech: his open-meetings
lawsuit and his prior public criticisms of city officials. The
question this Court is asked to consider is whether the existence
of probable cause bars that First Amendment retaliation claim.
III
It is well established that in a §1983 case a
city or other local governmental entity cannot be subject to
liability at all unless the harm was caused in the implementation
of “official municipal policy.”
Monell v.
New York City
Dept. of Social Servs., 436 U. S. 658, 691 (1978); see
Los Angeles County v.
Humphries, 562 U. S. 29,
36 (2010). Lozman’s §1983 damages claim is against only the City
itself, based on the acts of its officers and employees—here, the
members of the City Council. Lozman says that the City, through its
city councilmembers, formed an official policy to retaliate against
him and ordered his arrest. The Court assumes in the discussion to
follow that the arrest was taken pursuant to an official city
policy, but whether there was such a policy and what its content
may have been are issues not decided here.
This brings the discussion to the issue the
parties deem central to the case: whether the conceded existence of
probable cause for the arrest bars recovery regardless of any
intent or purpose to retaliate for past speech. Two major
precedents could bear on this point, and the parties disagree on
which should be applicable here. The first is this Court’s decision
in
Mt. Healthy City Bd. of Ed. v.
Doyle, 429
U. S. 274 (1977). See also
Board of Comm’rs, Wabaunsee
Cty. v.
Umbehr, 518 U. S. 668 (1996). Lozman urges
that the rule of
Mt. Healthy should control and that under
it he is entitled to recover. The second is this Court’s decision
in
Hartman v.
Moore, 547 U. S. 250 (2006), which
the City cites for the proposition that once there is probable
cause there can be no further claim that the arrest was retaliation
for protected speech.
Mt. Healthy arose in a civil, not
criminal, context. A city board of education decided not to rehire
an untenured school teacher after a series of incidents indicating
unprofessional demeanor. 429 U. S., at 281–283. One of the
incidents was a telephone call the teacher made to a local radio
station to report on a new school policy.
Id., at 282.
Because the board of education did not suggest that the teacher
violated any established policy in making the call, this Court
accepted a finding by the District Court that the call was
protected speech.
Id., at 284. The Court went on to hold,
however, that since the other incidents, standing alone, would have
justified the dismissal, relief could not be granted if the board
could show that the discharge would have been ordered even without
reference to the protected speech.
Id., at 285–287. In terms
of precepts in the law of torts, the Court held that even if
retaliation might have been a substantial motive for the board’s
action, still there was no liability unless the alleged
constitutional violation was a but-for cause of the employment
termination.
Ibid.; see also
Umbehr,
supra, at
675.
The City resists the applicability of the
Mt.
Healthy test as the sole determinant here. It contends that,
where there was probable cause for the arrest, the applicable
precedent is
Hartman—a case that was in the criminal sphere
and that turned on the existence of probable cause.
The background in
Hartman was that a
company and its chief executive, William Moore, had engaged in an
extensive lobbying and governmental relations campaign opposing a
particular postal service policy. 547 U. S., at 252–253. Moore
and the company were later prosecuted for violating federal
statutes in the course of that lobbying.
Id., at 253–254.
After being acquitted, Moore filed suit against five postal
inspectors, alleging that they had violated his First Amendment
rights when they instigated his prosecution in retaliation for his
criticisms of the Postal Service.
Id., at 254. This Court
held that a plaintiff alleging a retaliatory prosecution must show
the absence of probable cause for the underlying criminal charge.
Id., at 265–266. If there was probable cause, the case ends.
If the plaintiff proves the absence of probable cause, then the
Mt. Healthy test governs: The plaintiff must show that the
retaliation was a substantial or motivating factor behind the
prosecution, and, if that showing is made, the defendant can
prevail only by showing that the prosecution would have been
initiated without respect to retaliation. See 547 U. S., at
265–266.
The Court in
Hartman deemed it necessary
to inquire as to the existence of probable cause because proving
the link between the defendant’s retaliatory animus and the
plaintiff’s injury in retaliatory prosecution cases “is usually
more complex than it is in other retaliation cases.”
Id., at
261
. An action for retaliatory prosecution “will not be
brought against the prosecutor, who is absolutely immune from
liability for the decision to prosecute.”
Id., at 261–262.
Instead, the plaintiff must sue some other government official and
prove that the official “induced the prosecutor to bring charges
that would not have been initiated without his urging.”
Id.,
at 262. Noting that inquiries with respect to probable cause are
commonplace in criminal cases, the Court determined that requiring
plaintiffs in retaliatory prosecution cases to prove the lack of
probable cause would help “bridge the gap between the
nonprosecuting government agent’s motive and the prosecutor’s
action.”
Id., at 263.
The City’s argument here is that, just as
probable cause is a bar in retaliatory prosecution cases, so too
should it be a bar in this case, involving a retaliatory arrest.
There is undoubted force in the City’s position.
Reichle,
566 U. S., at 667–668. There are on average about 29,000
arrests per day in this country. Dept. of Justice–FBI, Uniform
Crime Report, Crime in the United States, 2016 (Fall 2017). In
deciding whether to arrest, police officers often make split-second
judgments. The content of the suspect’s speech might be a
consideration in circumstances where the officer must decide
whether the suspect is ready to cooperate, or, on the other hand,
whether he may present a continuing threat to interests that the
law must protect. See,
e.g., District of Columbia v.
Wesby, 583 U. S. ___, ___ (2018) (slip op., at 10)
(“suspect’s untruthful and evasive answers to police questioning
could support probable cause” (internal quotation marks
omitted)).
For these reasons retaliatory arrest claims,
much like retaliatory prosecution claims, can “present a tenuous
causal connection between the defendant’s alleged animus and the
plaintiff’s injury.”
Reichle, 566 U. S., at 668. That
means it can be difficult to discern whether an arrest was caused
by the officer’s legitimate or illegitimate consideration of
speech.
Ibid. And the complexity of proving (or disproving)
causation in these cases creates a risk that the courts will be
flooded with dubious retaliatory arrest suits. See Brief for
District of Columbia et al. as
Amici Curiae 5–11.
At the same time, there are substantial
arguments that
Hartman’s framework is inapt in retaliatory
arrest cases, and that
Mt. Healthy should apply without a
threshold inquiry into probable cause. For one thing, the causation
problem in retaliatory arrest cases is not the same as the problem
identified in
Hartman.
Hartman relied in part on the
fact that, in retaliatory prosecution cases, the causal connection
between the defendant’s animus and the prosecutor’s decision to
prosecute is weakened by the “presumption of regularity accorded to
prosecutorial decisionmaking.” 547 U. S., at 263. That
presumption does not apply in this context. See
Reichle,
supra, at 669. In addition, there is a risk that some police
officers may exploit the arrest power as a means of suppressing
speech. See Brief for Institute for Free Speech as
Amicus
Curiae.
IV
The parties’ arguments raise difficult
questions about the scope of First Amendment protections when
speech is made in connection with, or contemporaneously to,
criminal activity. But whether in a retaliatory arrest case the
Hartman approach should apply, thus barring a suit where
probable cause exists, or, on the other hand, the inquiry should be
governed only by
Mt. Healthy is a determination that must
await a different case. For Lozman’s claim is far afield from the
typical retaliatory arrest claim, and the difficulties that might
arise if
Mt. Healthy is applied to the mine run of arrests
made by police offi- cers are not present here.
Here Lozman does not sue the officer who made
the arrest. Indeed, Lozman likely could not have maintained a
retaliation claim against the arresting officer in these
circumstances, because the officer appears to have acted in good
faith, and there is no showing that the officer had any knowledge
of Lozman’s prior speech or any motive to arrest him for his
earlier expressive activities.
Instead Lozman alleges more governmental action
than simply an arrest. His claim is that the City itself retali-
ated against him pursuant to an “official municipal policy” of
intimidation.
Monell, 436 U. S., at 691. In particular,
he alleges that the City, through its legislators, formed a
premeditated plan to intimidate him in retaliation for his
criticisms of city officials and his open-meetings lawsuit. And he
asserts that the City itself, through the same high officers,
executed that plan by ordering his arrest at the November 2006 city
council meeting.
The fact that Lozman must prove the existence
and enforcement of an official policy motivated by retaliation
separates Lozman’s claim from the typical retaliatory arrest claim.
An official retaliatory policy is a particularly troubling and
potent form of retaliation, for a policy can be long term and
pervasive, unlike an ad hoc, on-the-spot decision by an
individual officer. An official policy also can be difficult to
dislodge. A citizen who suffers retaliation by an individual
officer can seek to have the officer disciplined or removed from
service, but there may be little practical recourse when the
government itself orchestrates the retaliation. For these reasons,
when retaliation against protected speech is elevated to the level
of official policy, there is a compelling need for adequate avenues
of redress.
In addition, Lozman’s allegations, if proved,
alleviate the problems that the City says will result from applying
Mt. Healthy in retaliatory arrest cases. The causation
problem in arrest cases is not of the same difficulty where, as is
alleged here, the official policy is retaliation for prior,
protected speech bearing little relation to the criminal offense
for which the arrest is made. In determining whether there was
probable cause to arrest Lozman for disrupting a public assembly,
it is difficult to see why a city official could have legitimately
considered that Lozman had, months earlier, criticized city
officials or filed a lawsuit against the City. So in a case like
this one it is unlikely that the connection between the alleged
animus and injury will be “weakened . . . by [an
official’s] legitimate consideration of speech.”
Reichle,
566 U. S., at 668. This unique class of retaliatory arrest
claims, moreover, will require objective evidence of a policy
motivated by retaliation to survive summary judgment. Lozman, for
instance, cites a transcript of a closed-door city council meeting
and a video recording of his arrest. There is thus little risk of a
flood of retaliatory arrest suits against high-level
policymakers.
As a final matter, it must be underscored that
this Court has recognized the “right to petition as one of the most
precious of the liberties safeguarded by the Bill of Rights.”
BE&K Constr. Co. v.
NLRB, 536 U. S. 516, 524
(2002) (internal quotation marks omitted). Lozman alleges the City
deprived him of this liberty by retaliating against him for his
lawsuit against the City and his criticisms of public officials.
Thus, Lozman’s speech is high in the hierarchy of First Amendment
values. See
Connick v.
Myers, 461 U. S. 138, 145
(1983).
For these reasons, Lozman need not prove the
absence of probable cause to maintain a claim of retaliatory arrest
against the City. On facts like these,
Mt. Healthy provides
the correct standard for assessing a retaliatory arrest claim. The
Court need not, and does not, address the elements required to
prove a retaliatory arrest claim in other contexts.
This is not to say, of course, that Lozman is
ultimately entitled to relief or even a new trial. On remand, the
Court of Appeals, applying
Mt. Healthy and other relevant
precedents, may consider any arguments in support of the District
Court’s judgment that have been preserved by the City. Among other
matters, the Court of Appeals may wish to consider (1) whether any
reasonable juror could find that the City actually formed a
retaliatory policy to intimidate Lozman during its June 2006
closed-door session; (2) whether any reasonable juror could find
that the November 2006 arrest constituted an official act by the
City; and (3) whether, under
Mt. Healthy, the City has
proved that it would have arrested Lozman regardless of any
retaliatory animus—for example, if Lozman’s conduct during prior
city council meetings had also violated valid rules as to proper
subjects of discussion, thus explaining his arrest here.
For these reasons, the judgment of the Court of
Appeals is vacated, and the case is remanded for further
proceedings consistent with this opinion.
It is so ordered.
Comments
Be the first to comment
Leave a Comment