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Melissa Kallstrom, et al.,
Plaintiffs,
-v-
City of Columbus,
Defendant.
FOR THE SOUTHERN DISTRICT OF OHIO
EASTERN DIVISION
No. C-2-96-124
165 F. Supp. 2d 686, 2001 U.S. Dist. Lexis 16315
September 27, 2001, Filed
Prior decision: #96-3853, 136 F.3d 1055, 1998
U.S. App. Lexis 1941, 1998 FED App.
0055P, 13 IER Cases (BNA) 1202; reh. den. 1998 U.S. App. Lexis 10896
(6th Cir.)
OPINION, ORDER, AND
ISSUANCE OF LIMITED PERMANENT INJUNCTION
I. INTRODUCTION
"Our liberty depends on the freedom of
the press, and that cannot be limited without being lost."
-- Thomas Jefferson, 1786
In this case, the Court is being asked to limit the freedom of the press
by preventing the news media from obtaining public information contained in the
city's personnel files. City police officers fear its publication may endanger
themselves and their families.
To deny members
of the press access to public information solely because they have the ability
to disseminate it would silence the most important critics of governmental
activity. This not only violates the Constitution, but eliminates the very
protections the Founders envisioned a free press would provide.
Plaintiffs, who are three Columbus police officers
("Officers"), filed suit against defendant City of Columbus
("City") seeking compensatory damages under 42 U.S.C. §§ 1983 and
1988 and an injunction to prevent further dissemination of their personal
information. Specifically, plaintiffs claim defendant violated their rights to
privacy as guaranteed by the Due Process Clause of the Fourteenth Amendment by
making their personnel records [*689] available to a criminal defense attorney
pursuant to the Ohio Public Records Act, Ohio Rev. Code § 149.43. Fn. 1 In October 1998, intervenors, a group of ten
Ohio news organizations, joined the lawsuit without opposition after the City,
citing the Sixth Circuit decision in this case, denied their request to see
plaintiffs' personnel files. Fn. 2
These matters are before the Court on,
among other motions, intervenors' motion for summary judgment in their
declaratory judgment action and defendant's motion for summary judgment on
plaintiffs' § 1983 claim. For the reasons set forth herein, the Court grants
intervenors' motion for summary judgment on grounds one and two of their
declaratory judgment action, denies intervenors' motion for summary judgment on
ground three of their declaratory judgment action, and grants defendant's
motion for summary judgment as to plaintiffs' § 1983 claim.
II. FACTS
A. The Original
Proceeding Before This Court
Plaintiffs Melissa Kallstrom, Thomas
Coelho, and Gary Householder are undercover officers in the narcotics division
of the Columbus Police Department. All three officers were involved in a
federal investigation of the Short North Posse ("Posse"), a violent
gang in the Short North area of Columbus. The undersigned Judge presided over
the criminal prosecution of forty-one members of the Short North Posse on drug
conspiracy charges. United States v. Derrick Russell, et al., CR-2-95-44 (S.D.
Ohio) (Smith, J.). Beginning in September 1995, eight alleged Posse members
were tried before a jury in this Court. All three plaintiffs served as
prosecution witnesses during the trial, which resulted in seven convictions and
one acquittal.
During the Russell trial, the City
released Officer Kallstrom's personnel file to one of the defendant's lawyers,
who apparently allowed at least one of the Posse defendants to read it in the
courtroom. Officers Coelho and Householder suspect copies of their personnel
files were obtained by the same defense attorney. Following a request in the
fall of 1995, the City also released Officer Coelho's file to the Police
Officers for Equal Rights. Fn. 3 The
organization was investigating possible discriminatory hiring and promotion
practices by the City. Plaintiffs allege the files included the Officers'
addresses and phone numbers; the names, addresses, and phone numbers of
immediate family members; the names and addresses of personal references; the
Officers' banking institutions and account information, including account
balances; their social security numbers; responses to questions regarding their
personal lives asked during the [*690] course of polygraph examinations; and,
copies of their drivers' licenses, which included the Officers' pictures and
home addresses. Plaintiffs contend they feared for their safety and the
well-being of their families knowing that Posse members might have access to
this information.
Plaintiffs brought suit against the City
under 42 U.S.C. §§ 1983 and 1988 seeking compensatory damages and an injunction
to prevent further dissemination of their personal information. After initially
entering a temporary restraining order, this Court denied plaintiffs' motion
for a preliminary injunction and entered final judgment for the City. The Court
based its decision on a clear and unbroken line of Sixth Circuit decisions that
steadfastly refused to recognize a general constitutionally protected right to
privacy that would prevent the government from releasing personal information
about an individual. Fn. 4 Plaintiffs then
appealed the Court's decision to the Sixth Circuit.
B. Sixth Circuit
Appeal
On February 12, 1998, a three-judge panel reversed the decision of this
Court and remanded the case for further proceedings. See Kallstrom v. City of
Columbus, 136 F.3d 1055 (6th Cir. 1998). Establishing new law for the Sixth
Circuit Fn. 5, the panel held the Officers had a
constitutionally protected privacy right in the information contained in their
personnel files, "specifically their interest in preserving their lives
and the lives of their family members, as well as preserving their personal
security and bodily integrity." Id. at 1062. The court found "where the
release of private information places an individual at substantial risk of
serious bodily harm, possibly even death," the government act is subject
to strict scrutiny and will be upheld under the substantive due process
component of the Fourteenth Amendment only where it furthers a compelling state
interest and is narrowly drawn to further that interest. Id. at 1064. The court then balanced the
interests of the Officers against those of the City. It found the City did not
establish that its actions narrowly served a compelling state interest and,
therefore, disclosure of the information unconstitutionally denied the Officers
their fundamental rights to privacy and personal security. Id. at 1065.
The Sixth Circuit also held that procedural
due process requires the Officers receive notice and an opportunity to be heard
prior to the release of personal information "where the disclosure of the
requested information could potentially threaten the officers' and their
families' personal security." 136 F.3d at 1069.
C. Proceedings
Before This Court on Remand
Following the Sixth Circuit's ruling, intervenors requested portions of
plaintiffs' [*691] personnel records from the City pursuant to Ohio's public
records laws. The City refused to provide any of the requested records, citing
the Sixth Circuit opinion in this case and because, as members of the
press, the intervenors have "substantial capacity ... to disseminate"
identifying information in the plaintiffs' records to "wide and diverse
audiences, including Short North Posse members or other dangerous persons who
have the motive and capabilities to harm the officers or their families."
Intervenor Compl. (Doc. 26) at P 17; Defendant Answer (Doc. 28) at P 2. The
news organizations then intervened in this lawsuit without opposition.
Intervenors filed their motion for summary
judgment on July 28, 2000. Plaintiffs made no effort to respond and did not
file for an extension. Fn. 6 Thus, on September
12, 2000, this Court granted intervenors' unopposed motion for summary judgment. More than a month after
intervenors' motion was granted, plaintiffs sought leave to file a response to
intervenors' motion for summary judgment. Due to plaintiffs' counsel's
difficult personal circumstances, this Court granted plaintiffs' motion to file
a responsive memorandum. Defendant then filed for summary judgment on January
2, 2001, adopting many of intervenors' positions.
These issues are now before the Court.
First, plaintiffs move to dismiss intervenors' claims as moot following recent
actions by the Ohio Supreme Court and the Ohio General Assembly. Second,
intervenors seek to strike portions of plaintiffs' response to intervenors'
motion for summary judgment as hearsay. Third, intervenors move for summary
judgment seeking declarations that (1) the Sixth Circuit decision in this case
does not prohibit the City from complying with the news organizations' request;
(2) the First Amendment prohibits the City from denying a public records
request from a member of the press due to the press' ability to disseminate the
information; and, (3) the constitutional right of privacy as articulated by the
Sixth Circuit does not exist. Finally, defendant moves for summary judgment on
plaintiffs' § 1983 claim.
III. DISCUSSION
A. Plaintiffs'
Motion to Dismiss Intervenors' Claims as Moot
Plaintiffs argue intervenors' claims should
be dismissed as moot following recent actions by the Ohio Supreme Court and the
Ohio General Assembly. A case is moot if the requested relief has been granted
or no live controversy remains. [*692] See Deakins v. Monaghan, 484 U.S. 193,
199, 98 L. Ed. 2d 529, 108 S. Ct. 523
(1988); Great W. Sugar v. Nelson, 442 U.S. 92, 93, 60 L. Ed. 2d 735, 99 S. Ct.
2149 (1979). Specifically, plaintiffs contend that the Ohio Supreme Court's
decision in State ex. rel. Keller v. Cox, 85 Ohio St. 3d 279, 707 N.E.2d 931
(1999), prevents intervenors from inspecting plaintiffs' personnel records
under Ohio's Public Records Act, Ohio Rev. Code § 149.43. They also argue the
General Assembly's amendment of the public records laws to limit access to
peace officer records prevents the relief intervenors seek.
The Court finds intervenors' claims remain justiciable. First, the
intervenors' federal constitutional claims are not affected by the recent
changes in state law. Second, the 1999 amendment to the Ohio Public Records Act
does not prevent intervenors from receiving the requested records. The
legislation states on its face that it applies "only" to requests for
records or releases of information "made on or after the effective
date" of the amendment, which was December 1999. Intervenors made their
request to the City for plaintiffs' personnel records in October 1998 -- more
than a year before the legislation became effective. Additionally, even if the
amendment did apply, it still allows press access to police officers' home
addresses. Although the amendment exempts from public disclosure certain
information about peace officers, it provides an agency "shall disclose to
the journalist the address of the actual personal residence of the peace
officer" upon written request. Ohio Rev. Code § 149.43(B)(5).
The Ohio Supreme Court's decision in Keller
is equally inapplicable. In Keller, an attorney representing a criminal
defendant sought a writ of mandamus to compel county officials to allow the
attorney to inspect the personnel records of a county detective. The detective
planned to testify in the prosecution of the attorney's client. The court found
that the federal constitutional right of privacy barred access to these records
"to a defendant who might use the information to achieve nefarious
ends." Keller, 85 Ohio St. 3d at 282, 707 N.E.2d at 934. Further, plaintiffs
contend the "good sense rule" mentioned by the court prevents the
relief intervenors seek. In Keller, the suggested a "good sense rule"
because the information was "sought by a defendant in a criminal
case." Id. No one suggests intervenors are criminal defendants or would
use the information to achieve "nefarious ends." As neither the
amendment to the Ohio Public Records Act nor Keller prohibit the relief
intervenors seek, the Court DENIES plaintiffs' motion to dismiss intervenors'
claims as moot.
B. Intervenors'
Motion to Strike Portions of Plaintiffs' Memorandum in Opposition
Intervenors move to strike portions of
plaintiffs' memorandum in opposition to intervenors' motion for summary
judgment. Specifically, intervenors claim pages five through the top half of
page seven of plaintiffs' memorandum and the corresponding evidentiary
materials should be stricken as hearsay. On these pages, plaintiffs quote from
an FBI Bulletin, the Calibre Press Street Survival Newsline, a transcript from
ABC News 20/20, and a letter from the former U.S. Attorney for the Southern
District of Ohio. The full news stories are attached as exhibits to the
memorandum. Intervenors contend that plaintiffs are using these exhibits in an
attempt to prove that the release of plaintiffs' addresses will endanger the
Officers. Intervenors argue that plaintiffs use of an out-of-court declaring to
prove this risk to [*693] the Officers constitutes hearsay. Plaintiffs offer no
response.
Federal Rule of Civil Procedure Rule 56(e)
requires testimony in support of or in opposition to summary judgment to be
made on personal knowledge "setting forth such facts as would be
admissible in evidence." Fed. R. Civ. P. 56(e). Hearsay statements are not
admissible unless covered by an exception under the Federal Rules of Evidence.
Fed. R. Evid. 802. A statement is hearsay if (1) it is made by someone other
than the declarant while testifying at trial or a hearing and (2) is offered in
evidence to prove the truth of the matter asserted. Fed. R. Evid. 801(c). The
challenged statements are classic hearsay and do not fall within any of the
exceptions provided by the Federal Rules of Evidence. Therefore, the Court
GRANTS intervenors' motion to strike.
C. Intervenors'
Motion for Summary Judgment
Federal Rule of Civil Procedure 56(c)
provides the mechanism for deciding cases on summary judgment. It provides:
The judgment
sought shall be rendered forthwith if the pleadings, depositions, answers to
interrogatories and admissions on file, together with the affidavits, if any,
show that there is no genuine issue as to any material fact and that the moving
party is entitled to judgment as a matter of law.
Fed. R. Civ. P.
56(c). The evidence must be viewed in the light most favorable to the nonmoving
party. See Adickes v. Kress & Co., 398 U.S. 144, 158-59, 26 L. Ed. 2d 142,
90 S. Ct. 1598 (1970). Summary judgment will not lie if the dispute about a
material fact is genuine; "that is, if the evidence is such that a
reasonable jury could return a verdict for the nonmoving party." Anderson
v. Liberty Lobby, Inc., 477 U.S. 242, 248, 91 L. Ed. 2d 202, 106 S. Ct. 2505
(1986). Summary judgment is appropriate, however, if the opposing party fails
to make a showing sufficient to establish the existence of an element essential
to that party's case and on which that party will bear the burden of proof at
trial. See Celotex Corp. v. Catrett, 477 U.S. 317, 322, 91 L. Ed. 2d 265, 106
S. Ct. 2548 (1986); see also Matsushita Elec. Indus. Co. v. Zenith Radio Corp.,
475 U.S. 574, 587, 89 L. Ed. 2d 538, 106 S. Ct. 1348 (1986).
The Sixth Circuit Court of Appeals has
recognized that Liberty Lobby, Celotex, and Matsushita have effected "a
decided change in summary judgment practice," ushering in a "new
era" in summary judgments. Street
v. J.C. Bradford & Co., 886 F.2d 1472, 1476 (6th Cir. 1989). The Street
court determined that complex cases and cases involving state of mind issues
are not necessarily inappropriate for summary judgment. Id. at 1479. Also, in
responding to a summary judgment motion, the nonmoving party "cannot rely
on the hope that the trier of fact will disbelieve the movant's denial of a
disputed fact, but must 'present affirmative evidence in order to defeat a
properly supported motion for summary judgment.'" Id. (quoting Liberty
Lobby, 477 U.S. at 257). The nonmoving party must adduce more than a scintilla
of evidence to overcome the summary judgment motion. Id. It is not sufficient
for the nonmoving party to merely "show that there is some metaphysical
doubt as to the material facts." Id. (quoting Matsushita, 475 U.S. at
586).
Moreover, "the trial court no longer
has a duty to search the entire record to establish that it is bereft of a
genuine issue of material fact." Id. That is, the "nonmoving party
has an affirmative duty to direct the court's attention to those specific
portions of the record upon which it seeks to rely to create a genuine issue of
[*694] material fact." In re Morris, 260 F.3d 654, 665 (6th Cir. 2001).
First Ground:
Kallstrom Decision Does Not Bar Access
First, the intervenors request a
declaration from the Court that the 14th Amendment does not prevent the City
from allowing the news organizations to inspect or copy the requested
information from plaintiffs' personnel files. In essence, the intervenors argue
the Sixth Circuit's decision in this case does not prohibit the City from
complying with its public records request. The Court agrees and grants summary
judgment for intervenors on their first ground for declaratory judgment.
In expanding the penumbra of
constitutionally protected privacy rights, the Sixth Circuit refused to provide
plaintiffs with a "blanket prohibition against the future release of
information contained in their personnel files." Kallstrom, 136 F.3d at
1067. Instead, the Sixth Circuit provided a two-part test to determine whether
this newly articulated standard would protect a party seeking to avoid
disclosure of highly personal information. First, a party's privacy interest
must rise to a constitutional dimension by releasing "private information
[which] places an individual at substantial risk of serious bodily harm,
possibly even death, from a perceived likely threat." Id. at 1061, 1064.
Once a party establishes a constitutional interest, the court must balance the
individual's privacy interest with the public's need for disclosure. Id. at
1061.
In Kallstrom, the Sixth Circuit held plaintiffs had a constitutional
privacy interest after this Court found the City's release of the Officers' addresses,
phone numbers, and copies of their drivers' licenses during the Russell case
"created a serious risk to the personal safety of the plaintiffs and those
relatives named in the files." Id. at 1063. The court then assumed that
state interests served by allowing public access to agency records were
compelling, but held that the City's automatic release of this information was
not narrowly tailored to serve that interest. Id. at 1065. Using the Sixth Circuit's framework, the Court finds
the Fourteenth Amendment does not prevent the City from allowing intervenors to
inspect or copy the requested information from plaintiffs' personnel files.
Intervenors have requested the home addresses of each plaintiff;
summaries of investigations of plaintiffs' backgrounds; memos and reports of
any assaults in which the plaintiffs were either perpetrators or victims; memos
and reports related to any motor vehicle accidents in which City vehicles
operated by plaintiffs were damaged or caused property damage or personal
injury to others; memos and notices related to any disciplinary charges; and,
answers to personal history questions. Fn. 7
Intervenors' Mot. for Summ. J (Doc. 63) at 1n1. The request specifically
excludes information identifying the Officers' banking institutions and
financial account numbers; personal credit card numbers; social security
numbers; information about any psychological conditions the Officers may have;
responses to polygraph examinations; and, "medical records" or any
other recorded information exempt from mandatory disclosure under Ohio Revised
Code § 149.43. Intervenors' [*695] Compl. (Doc. 26) at P 15. Further,
intervenors do not object to the City redacting the names of any minor
dependents of plaintiffs unless the dependent is employed by the City, any
information made confidential by the Americans with Disabilities Act, 42 U.S.C. § 12101 et seq., or records which the
Ohio Public Records Act would not require the City to disclose. Intervenors' Mot.
for Summ. J. (Doc. 63) at 1 n1.
Plaintiffs' Constitutional Privacy Interest
The Court finds plaintiffs do not have a constitutional privacy
interest in the information requested by intervenors. Under the Sixth Circuit
standard, plaintiffs must show that the release of information they wish to
keep private would place them "at substantial risk of serious bodily harm,
possibly even death, from a perceived likely threat." Kallstrom,
136 F.3d at 1064. The Court could fathom information contained in plaintiffs'
personnel files that satisfies this stringent constitutional standard. Yet,
that is not the Court's responsibility. The Sixth Circuit requires this Court
to look at a "clear development of the factual circumstances"
surrounding any future release of personal information from the Officers'
personnel files. Id. at 1068. Plaintiffs have failed to
provide any potentially admissible evidence to suggest that the release of any
information contained in the three personnel files may place any of the
plaintiffs at any risk of serious bodily harm. Nor have they identified a
current "perceived likely threat." Fn.
8 This is fatal to
their claims. By not identifying any real potential danger that could arise
from the release of information in their personnel files, plaintiffs have
failed to make a showing sufficient to establish the existence of an element
essential to their case for which they carry the burden. See Celotex Corp., 477 U.S. at 322; see also
Matsushita, 475 U.S. at 587.
Further, the majority of intervenors'
request focuses on each plaintiff's disciplinary records, incident complaints
from citizens, and other documents detailing how each officer is performing his
or her job. Although plaintiffs may wish maintain the confidentiality of their
employment histories, the Constitution does not provide a shield against
disclosure of potentially embarrassing or even improper activities by public
servants.
Finally, plaintiffs' interests in their home addresses also fail to
meet the stringent constitutional standard set by the Sixth Circuit. Addresses
are part of the public domain. Anyone with an individual's name and either
Internet access or the initiative to visit a local government office can scan
county property records, court records, or voter registration records for such
information as an individual's address, the exact location of his or her
residence, and even a floor plan of the home. The Supreme Court has found that "the
interests in privacy fade when the information involved already appears on the
public record." Cox Broad. Corp. v. Cohn, 420 U.S. 469, 494-95, 43
L. Ed. 2d 328, 95 S. Ct. 1029 (1975). In this case, plaintiffs have voluntarily
revealed their own identities. For instance, plaintiffs initiated this lawsuit
in their own names and describe their profession in the pleadings as
"undercover narcotics officers." Plaintiffs' Compl. (Doc 1) at P 3;
Plaintiffs' Am. Compl. (Doc. 56) at P 3. Plaintiffs also [*696] chose to
testify without a pseudonym in the Posse trial. Fn. 9 As
plaintiffs have revealed their identities, their addresses are easily
accessible in the public domain.
Even assuming plaintiffs have a constitutional interest in the
information contained in their personnel files, the balancing test described by
the Sixth Circuit still weighs in favor of disclosure. Where a state
action infringes upon a fundamental right, the action will be upheld only where
it furthers a compelling state interest and is narrowly drawn to further that
state interest. Kallstrom, 136 F.3d at 1064. In Kallstrom, the Sixth Circuit
assumed that the state interests served by allowing public access to agency
records were compelling, but held that the City's release of plaintiffs'
personnel files to counsel for a criminal defendant did not narrowly achieve
these interests. Id.
Ohio's Public Records Act requires the state to make available all
public records to any person unless the record falls within one of the
statute's exceptions. Ohio Rev. Code § 149.43(B). The state has an
interest in releasing its governmental
agency records to "ensure accountability of government to those being
governed." See State ex rel. Strothers v. Wertheim, 80 Ohio St. 3d 155,
158, 684 N.E.2d 1239, 1242 (1997). In Kallstrom, the Sixth Circuit acknowledged
"there may be situations in which the release of this type of personal
information might further the public's understanding of the workings of its law
enforcement agencies." Kallstrom, 136 F.3d at 1065. This is one of those
situations. The
information intervenors request details the functioning of the City's police
force. The personnel files reveal, among other things, the character and
background of the City's police officers, whether the officers are using City
property responsibly, and whether the City is enforcing the residency requirement
for City employees as required by the City's charter. The state has a
compelling interest in releasing this type of information to enlighten the
public about the performance of its law enforcement agencies and ensure
government accountability. The importance of public access to these files as a
restraint on government activity is evident from cases such as the U.S. Justice
Department's civil rights action against the City concerning police practices,
which is currently pending in this courthouse. United States v. City of
Columbus, OH, CV-2-99-01097 (S.D. Ohio) (Holschuh, J.).
Further, the City's disclosure of public records, including police
officer personnel files, is narrowly tailored to achieve this compelling state
interest. In Kallstrom, the Sixth Circuit failed "to see how placing [the
Officers'] personal information into the hands of the Russell defendants in any
way increases public understanding of the City's law enforcement agency."
Id. at 1065. The press, however, is a different entity. Fn. 10 In addressing the importance of [*697] press access to
public records, the Supreme Court has observed:
(I)n a society in
which each individual has but limited time and resources with which to observe
at first hand the operations of his government, he relies necessarily upon the
press to bring to him in convenient form the facts of those operations. Great
responsibility is accordingly placed upon the news media to report fully and
accurately the proceedings of government, and official records and documents
open to the public are the basic data of governmental operations.
Cox Broad., 420
U.S. at 492. The Cox Broadcasting Court concluded that the "freedom of the
press to publish [public] information appears to us to be of critical
importance to our type of government in which the citizenry is the final judge
of the proper conduct of public business." Id. at 495. The full disclosure
of these personnel files is necessary to enable the press to do its job. As
nothing less than full disclosure will ensure transparency in government, the
Court finds full disclosure is narrowly tailored to meet the state's compelling
interest. Therefore, the Court GRANTS summary judgment for intervenors on their
first ground for declaratory judgment.
Second Ground: City's Denial Violates First
Amendment
The intervenors seek a second declaration that the City is violating
the First Amendment by denying the news organizations a state law right because
they might publish accurate reports of the contents of public records. The
Court agrees and grants summary judgment for intervenors on their second ground
for declaratory judgment.
In its pleadings, the City admits it denied
intervenors' public records request because the news organizations have
"substantial capacity ... to disseminate" identifying information in
plaintiffs' records "to wide and diverse audiences, including Short North
Posse members or other dangerous persons who have the motive and capabilities
to harm the officers or their families." Intervenors' Compl. (Doc. 26) at
P 17; Defendant Answer (Doc. 28) at P 2. Intervenors urge the Court to review
the City's actions under strict scrutiny. The cases intervenors cite for this
proposition, however, neither discuss strict scrutiny nor suggest it should
apply in this context. Nevertheless, the Court finds summary judgment
appropriate based on a less stringent standard.
Neither the First Amendment nor the Fourteenth Amendment mandates a
right of access to government information or sources of information within the
government's control. Houchins
v. KQED, Inc., 438 U.S. 1, 15-16, 57 L. Ed. 2d 553, 98 S. Ct. 2588 (1978)
(Burger, C.J., plurality opinion). The Constitution, however, assures "the
public and the press equal access once the government has opened its doors."
Id. at 16 (Stewart, J., concurring). In this case, the doors have been opened
by the Ohio Public Records Act. Thus, the issue becomes whether the City can
deny intervenors their state law right to these public records because, as
members of the news media, they have the ability to disseminate the information
contained in plaintiffs' personnel files.
The Supreme Court has held that the
government may not single out the press to bear special burdens without
violating the First Amendment. Minneapolis [*698] Star & Tribune Co. v.
Minnesota Comm'r of Revenue, 460 U.S. 575, 585-86 n.7, 103 S. Ct. 1365, 75 L.
Ed. 2d 295 (1983). In Minneapolis Star, the Supreme Court found that
Minnesota's use tax on paper and ink violated the First Amendment for "singling
out the press for taxation" that did not apply to other enterprises. Id.
Courts, however, have not been hesitant to extend this rationale beyond
taxation. See, e.g., Legi-Tech, Inc. v. Keiper, 766 F.2d 728, 734 (2d Cir.
1985) (suggesting denial of press access to a public legislative database would
face "hostile scrutiny" as singling out the press for a special
burden). These decisions address concerns that "singling out the press as
a whole or targeting individual members poses a particular danger of abuse by
the state." Arkansas Writers' Project, Inc. v. Ragland, 481 U.S. 221, 228,
95 L. Ed. 2d 209, 107 S. Ct. 1722 (1987). The threat of any burden "can
operate as effectively as a censor to check critical comment by the press,
undercutting the basic assumption of our political system that the press will
often serve as an important restraint on government." Minneapolis Star,
460 U.S. at 585. Specifically, the Supreme Court worried any special burden
placed on the press would "threaten to hinder the press as a watchdog of
government activity." Leathers v. Medlock, 499 U.S. 439, 447, 113 L. Ed.
2d 494, 111 S. Ct. 1438 (1991). The importance of protecting the press derives
from "the critical role played by
the press in American society." Houchins v. KQED, Inc., 438 U.S. 1, 17, 57
L. Ed. 2d 553, 98 S. Ct. 2588 (1977) (Stewart, J., concurring). Judge Learned
Hand explained:
[The newspaper] industry serves one of the
most vital of all general interests: the dissemination of news from as many
different sources, and with as many different facets and colors as is possible.
That interest is closely akin to, if indeed it is not the same as, the interest
protected by the First Amendment; it presupposes that right conclusions are
more likely to be gathered out of a multitude of tongues than through any kind
of authoritative selection. To many this is, and always will be, folly; but we
have staked upon it our all.
United States v.
Associated Press, 52 F. Supp. 362, 372 (S.D.N.Y. 1943). Thus, the Supreme Court
has concluded, "'an untrammeled press [is] a vital source of public
information', and an informed public the essence of working democracy."
Minneapolis Star, 460 U.S. at 585, quoting Grosjean v. Am. Press Co., 297 U.S.
233, 250, 80 L. Ed. 660, 56 S. Ct. 444 (1936) (citations omitted).
Due to these important considerations, a
state-imposed burden on the press is always "subject to at least some
degree of heightened First Amendment scrutiny." Turner Broad. Sys., Inc.
v. FCC, 512 U.S. 622, 640-41, 129 L. Ed. 2d 497, 114 S. Ct. 2445 (1994). When
the government specially burdens the press, "the appropriate method of
analysis thus is to balance the burden implicit in singling out the press
against the interest asserted by the State." Minneapolis Star, 460 U.S. at
586 n.7. The burden "can survive only if the governmental interest
outweighs the burden and cannot be achieved by means that do not infringe First
Amendment rights as significantly." Id.
In its pleadings, the City states its
interest as preventing members of the press from accessing plaintiffs'
personnel records because news organizations have the ability to disseminate
the information to "wide and diverse audiences, including the Short North
Posse." Intervenors' Compl. (Doc. 26) at P 17; Defendant Answer (Doc. 28)
at P 2. Since the second part of the Minneapolis Star test is dispositive,
[*699] the Court finds it unnecessary to balance the City's interest with the
burden implicit in singling out the press. The Court concludes the City's
decision to single out the press for disparate treatment does not
satisfactorily accomplish its stated purpose.
Treating the press differently will not
prevent the harm the City is seeking to avoid. The City's denial of the
intervenors' public records request because of their ability to disseminate
information suggests that the same records would have been provided to anyone
who did not have this capability. Any member of the public would have access to
these records -- including Short North Posse members, their friends, and their
families. Silencing the press makes no difference as to whether these people
have access to plaintiffs' personal information.
Further, this distinction does not prevent
the press from gaining access to the materials. The news organizations could
have a surrogate request the records and provide copies to the press. Even a
reporter for one of the intervenors could request the records as a citizen,
without revealing his or her professional affiliation, and use plaintiffs'
personal information in the same manner as if the news organization had
requested the records as an entity. Allowing the City to impose these arbitrary
burdens threatens to eviscerate the
ability of the press to serve as a restraint on government activity, poses
inherent dangers to free expression, and presents great potential for
censorship or manipulation.
The Court recognizes this case is
unique. The timing of intervenors'
request placed the City in a difficult position. The City could have released
the public records to the press, but it feared this might result in a violation
of plaintiffs' constitutional privacy rights or even place the Officers in
physical danger. Alternatively, it could deny the news organizations' request
for the records and violate Ohio's Public Records Act. Admittedly, the City had
little guidance from either the Sixth Circuit or this Court. In choosing to
deny intervenors' request based on their ability to disseminate the
information, however, the City placed a burden on the press that would not have
attached to any other request for those public records. The City's arbitrary
treatment of the press is not only thoroughly ineffective at achieving its
objective, but also highly offensive to the First Amendment. Therefore, the
Court GRANTS summary judgment for intervenors on their second ground for
declaratory judgment.
Third Ground: Sixth Circuit Kallstrom
Opinion Is Not Binding
Intervenors further argue they are entitled
to a declaration that the Sixth Circuit opinion in this case amounts to an
advisory opinion since it is based on erroneous information in a
less-than-complete record. This motion is denied.
As discussed below, the record has changed
significantly since the Sixth Circuit issued its opinion. The Sixth Circuit,
however, did not decide this case -- as intervenors contend -- on hypothetical
facts. The panel's decision reflects the state of the record at the time it
heard the case. The fact that neither party discovered nor accurately reported
the contents of the documents disclosed by the City during the Russell trial
has no impact on the authority of Sixth Circuit decision. This Court has
tremendous respect for the Sixth Circuit and will not entertain further
speculation that its decisions are not binding on this Court. Moreover, it is
doubtful that a district court even has the authority to declare a Circuit
Court decision to be void or invalid, absent a clear decision by the U.S.
Supreme Court reversing the Circuit [*700] Court's holding. Therefore, the
Court DENIES summary judgment for intervenors on their third ground for
declaratory judgment.
D. Defendant's
Motion for Summary Judgment
Defendant moves for summary judgment on
plaintiffs' § 1983 claim. Fn. 11 Section 1983
imposes civil liability on a person acting under color of state law who
deprives another of the "rights, privileges, or immunities secured by the
Constitution and laws." 42 U.S.C. § 1983. The Sixth Circuit found
plaintiffs successfully pled a prima facie case to recover under § 1983.
This Court and the Sixth Circuit, however, did not have the benefit of
viewing portions of plaintiffs' personnel records until after the news
organizations intervened in the case. Based upon a record consisting almost
exclusively of plaintiffs' affidavits, this Court and the Sixth Circuit thought
the City disclosed the Officers' addresses and phone numbers; the names,
addresses, and phone numbers of immediate family members; the names and
addresses of personal references; the Officers' banking institutions and
corresponding account information, including account balances; plaintiffs'
social security numbers; responses to questions regarding their personal lives
asked during the course of polygraph examinations; and, copies of their
drivers' licenses, which included their pictures and home addresses. Kallstrom,
136 F.3d at 1059. Relying on the accuracy of these affidavits, this Court found
that the release of this personal information, in light of the Short North
Posse's propensity for violence, created a serious risk to the personal safety
of the plaintiffs and their family members named in the files. D. Op.
and Order (Doc. 10) at 5.
It is now apparent that the City redacted most of this information
before releasing plaintiffs' files to the Russell defendant's attorney.
It is uncontroverted that the exhibits attached to intervenors' motion for
summary judgment are accurate copies of plaintiffs' personnel records as
released by the City. Therefore, the Court makes the following findings to
clarify the information actually released by the City to defense counsel during
the Russell trial.
Revised Findings of Fact
With respect to Officer Kallstrom's file, the City redacted 13 pages to
delete any references to her current home address and phone number. The
only residential addresses listed for Officer Kallstrom were an Akron-area
address listed on an expired driver's license and a list of previous residences
she included on a 1986 application to join the City's police force. She no
longer lives at any of those addresses. As for immediate family members, the
file showed that Officer Kallstrom's parents are deceased; that she was
unmarried; and, she had no children or dependents. While the records included
the names of her brother, sister, and sister-in-law and their addresses, the
information appeared on forms from March 1986 and did not include any home
phone numbers. Her relatives do not currently live at any of the listed
addresses. [*701]
The City also redacted Officer Householder's personnel files to
eliminate any references to his address or phone number. The copy of his
driver's license was rendered illegible. The file includes the names and
addresses of ten relatives on forms dated September 1980 and January 1981. None
of the records disclosed any home phone numbers for his relatives.
The City also redacted every home address and phone number listed for
Officer Coelho since he joined the City police force in 1981. A copy of
his driver's license also was rendered illegible. Addresses are listed for
eight relatives, but the most recent is from 1981. No home phone numbers are
listed for any of his relatives.
Summary Judgment
In Kallstrom, the Sixth Circuit identified
two threshold issues in determining whether plaintiffs' constitutional rights
to privacy were violated. Both must be proven before plaintiffs can recover
under § 1983. First, plaintiffs' privacy interests in the information must be
"of a constitutional dimension." Kallstrom, 136 F.3d at 1062. If
plaintiffs have a constitutional privacy right, the court then undertakes to
balance plaintiffs' privacy interest and the public's interest in disclosure.
Id. at 1061. Second, state action, an element of any § 1983 claim, requires a
link between the City and the party who might commit the violent act. Id. at 1066. In Kallstrom, the Sixth Circuit used the
state-created-danger theory to satisfy the state action requirement. Id. Both
elements essentially require the same proof. In order to have a constitutional
privacy interest and satisfy the state-created-danger theory, plaintiffs must
prove that the information released by the City posed a very real threat to the
physical safety of plaintiffs and their families. Plaintiffs have not raised
any genuine issues of material fact as to either the content released by the
City or its effects. Therefore, this Court decides as a matter of law that
plaintiffs do not have a constitutional privacy interest in the information
disclosed by the City and its release did not amount to state action.
Constitutional Privacy Interest
To recover under § 1983, plaintiffs must
prove the City deprived them of a "right secured by the Constitution and
the laws." Kallstrom, 136 F.3d at 1060 (quoting Baker v. McCollan, 443
U.S. 137, 61 L. Ed. 2d 433, 99 S. Ct. 2689 (1979)). The Sixth Circuit
determined a person has a constitutional privacy interest "where the
release of private information places an individual at substantial risk of
serious bodily harm, possibly even death, from a perceived likely threat."
Kallstrom, 136 F.3d at 1064.
Defendant contends the information released
in plaintiffs' personnel files is innocuous since it redacted any reference to
plaintiffs' current addresses and any remaining information is ten to fifteen
years old. Through its own motion and by adopting relevant portions of
intervenors' motion for summary judgment, defendant argues that the redacted,
stale information disclosed during the Posse trial did not create a
"substantial risk of serious bodily harm" to plaintiffs or their
families.
Plaintiffs counter with an abundance of
largely inadmissible, irrelevant speculation concerning the alleged harm to the
Officers. Rule 56(e) requires testimony in support of or in opposition to
summary judgment to be made on personal knowledge "setting forth such
facts as would be admissible in evidence." Fed. R. Civ. P. 56(e). As many
of plaintiffs' assertions would not be admissible in evidence, they do not
stand as a barrier to summary judgment.
For example, in their memoranda in
opposition, plaintiffs direct the Court's attention to plaintiffs' deposition
testimony. Plaintiffs cite Officer Kallstrom's testimony that she looked
through the materials during the trial and saw "information like my
address, my brother's and sister's address, personal references that I used
when I applied for the job, their names, [*702] addresses, a copy of my
driver's license...." Plaintiffs' Mem. in Opp'n. (Doc. 69) at 7. Plaintiffs attempt to use this deposition
testimony to establish a genuine issue of material fact as to the contents of
the personnel records released by the City.
Plaintiffs' argument, however, fails under
the Best Evidence Rule. See Fed. R. Evid. 1002. The Best Evidence Rule states:
"To prove the content of a writing, recording, or photograph, the original
writing, recording, or photograph is required, except as otherwise provided in
these rules or by an Act of Congress." Id. Other evidence of the contents
of a writing is admissible only if (1) the originals have been lost or
destroyed; (2) the original is not obtainable; (3) the original is in
possession of an opponent; or, (4) where the writing is not closely related to
a controlling issue. See Fed. R. Evid. 1004. Plaintiffs do not dispute that the
exhibits attached to intervenors' motion for summary judgment are copies of the
files as disclosed by the City during the Russell trial. Further, they do not
contest the authenticity of the documents. They only seek to prove the contents
of the documents through the deposition testimony of Officer Kallstrom. The
Federal Rules of Evidence expressly prohibit proof of the contents of a
document through any means other than the document itself where none of the
exceptions apply. This is the case here. Therefore, Officer Kallstrom's
deposition testimony regarding the contents of her personnel file fails to
create a genuine issue of material fact.
Plaintiffs also attempt to show the risk to police officers from
disclosure of personal information by attaching articles and transcripts from
popular media sources to their pleadings. As discussed above, this is
inadmissible hearsay and has been stricken from the record.
Plaintiffs' reliance on this inadmissible testimony is even more
significant when viewed in the context of this case. It has been nearly six
years since plaintiffs' personnel files were viewed by the Russell defendants.
Fortunately, during this time, no evidence has developed that Short North Posse
members or anyone associated with them have done anything to place plaintiffs
at a substantial risk of serious harm. In their depositions, plaintiffs
struggle to identify any harm that resulted from the City's release of their
personal information. Officer Kallstrom cites a single mysterious phone call
that she may be able to attribute to the disclosure of her personnel file.
Kallstrom Dep. at 18-22. Similarly, Officer Coelho identifies several
unexplained phone calls where he could hear someone breathing on the line.
Coelho Dep. at 23. Officer Householder also recalls several suspicious phone
calls, but cannot link them to the Posse. Householder Dep. at 20-21. Even when
drawing all inferences in favor of the plaintiffs, this speculation does not
amount to a sufficient evidentiary showing of substantial harm.
Finally, plaintiffs contend the information actually released in the
files placed plaintiffs and their family members at substantial risk.
For example, plaintiffs suggest a sloppily redacted address that still reveals
Officer Kallstrom's zip code narrows "the search any possible enemy would
have to make." Plaintiffs' Mem. in Opp'n (Doc. 69) at 10. Further,
plaintiffs assert that one of Officer Kallstrom's sisters lives in Columbus
"making her an immediately available target." Id. These bald,
conclusory statements do not enable plaintiffs to survive summary judgment. An
opposing party must make a showing to establish the existence of an element
essential to its case on which it will bear the burden of proof at trial. Celotex, 477 U.S. at 322. As plaintiffs have
failed to identify any potentially admissible [*703] evidence showing that defendant's actions placed them at a
substantial risk of serious bodily harm, the Court finds as matter of law that
plaintiffs did not have a constitutional privacy interest in the information
disclosed by the City.
State-Created-Danger Theory
In Kallstrom, the Sixth Circuit satisfied
the state action requirement for § 1983 claims by applying the
state-created-danger theory. Kallstrom,
136 F.3d at 1066. This theory attributes the potentially violent actions of a
private actor, such as the Short North Posse, to the City where the City's
actions substantially increase the likelihood that a private actor "would
deprive [the Officers] of their liberty interest in personal security."
Id. The Sixth Circuit has never held a state or state actor liable under the
state-created-danger theory. Id. Other circuits, however, have applied the
theory. The Tenth Circuit has found that it is not enough that plaintiff show
the state increased the danger of harm from third persons, but plaintiff also
must show that the state acted with the requisite degree of culpability in
failing to protect the plaintiff.
Sutton v. Utah State School for Deaf and Blind, 173 F.3d 1226, 1238
(10th Cir. 1999). Plaintiffs' claim "must be predicated on reckless or
intentionally injury-causing state action which 'shocks the conscience' of
federal judges." Id. Most courts require at least a showing of deliberate
indifference before § 1983 liability will attach. See Morse v. Lower Merion
Sch. District, 132 F.3d 902, 908 (3rd Cir. 1997); L.W. v. Grubbs, 92 F.3d 894,
896 (9th Cir. 1996).
In this case, the Court finds the City's release of redacted personnel
files pursuant to a valid public records request does not "shock the
conscience" or amount to deliberate indifference on the part of defendant.
As discussed above, the information that may have placed plaintiffs or their
family members at harm either was redacted or out of date. Indeed, the City
appears to have gone to great efforts to redact addresses and phone numbers on
more than 30 pages of plaintiffs' personnel files before disclosing them. For
these reasons, the state-created-danger theory does not apply. Therefore, there
is no state action as required under § 1983.
IV. CONCLUSION
The Court appreciates the need to protect the health and safety of law
enforcement officials and their families. But the health and safety of this
democracy depend on a press that can function without additional burdens being
imposed based on its ability to publish information concerning government
activities.
Based on the foregoing, plaintiffs' motion to dismiss intervenors'
claims as moot is hereby DENIED; intervenors' motion to strike is hereby
GRANTED; intervenors' motion for summary judgment in their declaratory judgment
action is hereby GRANTED on grounds one and two and DENIED on ground three;
and, defendant City's motion for summary judgment is hereby GRANTED.
Pursuant to the Order of the Sixth Circuit Court of Appeals, this Court
enters a limited PERMANENT INJUNCTION against defendant City of Columbus
requiring it to provide plaintiffs with meaningful written notice prior to its
release of any information that could potentially threaten the personal
security of plaintiffs or their families. Specifically, the City must notify
the Officers of a request for their addresses, phone numbers, and copies of
their drivers' licenses, or the names, addresses, and phone numbers of their
family members, prior to releasing this information so that the Officers might
have the opportunity to invoke their constitutionally [*704] protected rights
to privacy and personal security. See Kallstrom, 136 F.3d at 1067.
The Clerk shall remove documents 63, 73,
and 79 from the Court's pending motions list and this case from the Court's
pending cases list.
IT IS SO ORDERED.
GEORGE C. SMITH, JUDGE
UNITED STATES DISTRICT COURT
1. Plaintiffs'
state law cause of action, arising under Ohio Rev. Code Ann. §§ 2921.24 and
102.03(B), was dismissed by this Court. As plaintiffs only appealed the
dismissal of their federal law claims, they have waived any challenge to the
dismissal of their state law claims.
2. Intervenors
include the publishers of the following newspapers: The Columbus Dispatch, The
Cleveland Plain Dealer, The Cincinnati Post, The Cincinnati Inquirer, The Akron
Beacon Journal, The Toledo Blade, The Youngstown Vindicator, and The Canton
Repository. The remaining intervenors are Scripps Howard Broadcasting Company,
which operates Cincinnati television station WCPO and Cleveland television
station WEWS; and, the Ohio Newspaper Association, which is a trade association
of publishers of daily and weekly newspapers throughout Ohio.
3. Police Officers
for Equal Rights is an organization dedicated to protecting the rights of
minority police officers.
4. See Cline v.
Rogers, 87 F.3d 176, 179 (6th Cir. 1996) (county sheriff's disclosure of
plaintiff's arrest record to private citizen did not violate plaintiff's
constitutional rights); Jarvis v. Wellman, 52 F.3d 125, 126 (6th Cir. 1995)
(disclosure of rape victim's medical records to inmate did not violate right to
privacy); Doe v. Wigginton, 21 F.3d 733, 740 (6th Cir. 1994) (disclosure of
inmate's HIV positive status to corrections officer did not violate right to
privacy); J.P. v. DeSanti, 653 F.2d 1080, 1090 (6th Cir. 1981) (dissemination
of juveniles' social histories to juvenile court and other government, social,
and religious agencies did not violate juveniles' constitutional rights); see
generally John E. Nowack & Ronald D. Rotunda, Constitutional Law § 14.30 at
857 (5th ed. 1995) ("The Supreme Court has not yet held that the right to
privacy limits governmental powers relating to the collection of data
concerning private individuals.").
5. The Kallstrom
decision "strikingly" changed the law of the Sixth Circuit. Smith v.
City of Dayton, Ohio, 68 F. Supp. 2d 911, 917 (S.D. Ohio 1999).
6. The Court has
made every effort to accommodate plaintiffs' counsel due to his difficult
personal circumstances. Yet, even before these troubles arose, plaintiffs' lack
of responsiveness had tested this Court's patience. Initially, plaintiffs
refused to respond to intervenors' first motion for summary judgment, which was
filed on August 9, 1999. On November 1, 1999, the Magistrate Judge granted
plaintiffs a two-week extension to respond. Plaintiffs still remained silent.
On January 13, 2000, the Court entered an order requiring plaintiffs to show
cause no later than February 2, 2000 explaining why intervenors' motion should
not be granted as requested. Plaintiffs responded to the show cause order by
asserting that the case was close to settling, but never addressed the pending
summary judgment motion. On March 3, 2000, the Court denied the intervenors'
motion for summary judgment, but later vacated the decision.
This behavior has continued throughout the
pendency of the case. Recently, plaintiffs filed a motion for leave to file a
brief in opposition to defendant City's motion for summary judgment. According
to the motion for leave, "a copy of [the motion] is attached and leave is
sought to file it instanter." Plaintiffs, however, failed to attach the
brief in opposition. Only after this Court made a call to plaintiffs' counsel
did plaintiffs send the three-page brief.
7. As per the
Sixth Circuit's injunction, the City must provide plaintiffs with meaningful
written notice of any public records request for plaintiffs' personnel files.
Concerning intervenors' instant request, this lawsuit provides plaintiffs with
notice and, indeed, full procedural due process, including every opportunity to
argue that they have a constitutional privacy interest in the information
contained in their personnel files.
8. The Court sympathizes with plaintiffs' initial fears
of retaliation from the Short North Posse. As discussed in detail below,
however, plaintiffs have not developed clear and factual circumstances, outside
of mere speculation, that this threat still exists. The only evidence in the
record suggests, fortunately, the threat never developed.
9. A witness may receive judicial permission to withhold
his or her name, address, or place of employment if revealing the information
would place the witness in danger. See, e.g., Smith v. Illinois, 390 U.S. 129,
134-35, 19 L. Ed. 2d 956, 88 S. Ct. 748 (1968) (White, J. and Marshall, J.
concurring) (recognizing the safety of a witness as proper ground for limiting
cross-examination). Accord, U.S. v. Rangel, 534 F.2d 147, 148 (9th Cir. 1976);
Caldwell v. Minnesota, 536 F.2d 272, 273-74 (8th Cir. 1976); McGrath v.
Vinzant, 528 F.2d 681, 683-84 (1st Cir. 1976); U.S. v. Cosby, 500 F.2d 405, 407
(9th Cir. 1974); U.S. v. Ellis, 468 F.2d 638, 639 (9th Cir. 1972); U.S. v.
Alston, 460 F.2d 48, 51-52 (5th Cir. 1972); U.S. v. Persico, 425 F.2d 1375,
1384 (2d Cir. 1970); U.S. v. Baker, 419 F.2d 83, 87 (2d Cir. 1969); U.S. v.
Palermo, 410 F.2d 468, 472-73 (7th Cir. 1969).
10. The Court
refuses to base its decision on a strict distinction between the importance of
access to public records for the press and criminal defense attorneys. In many
instances, the criminal defendant's right of access to police personnel files
may be equally compelling as that of the press.
11. The applicable
legal standard for summary judgment is set forth above.
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