HARTMAN v. MOORE (No. 04-1495)
388 F. 3d 871,
reversed and remanded
RETALIATORY PROSECUTION, FIRST AMENDMENT RIGHTS, PROSECUTORIAL DISCRETION,
PROBABLE CAUSE: This is a Bivens action against criminal investigators
for inducing prosecution in retaliation for speech. ... The question is whether
the complaint states an actionable violation of the First Amendment without
alleging an absence of probable cause to support the underlying criminal charge.
We hold that want of probable cause must be alleged and proven.The significance
of probable cause or the lack of it looms large, being a potential feature of
every case, with obvious evidentiary value. Though not necessarily dispositive,
the absence of probable cause along with a retaliatory motive on the part of the
official urging prosecution are reasonable grounds to suspend the presumption of
regularity behind the charging decision and enough for a prima facie inference
that the unconstitutionally motivated inducement infected the prosecutor’s
decision to go forward
Justice Souter, Opinion of the Court
SUPREME COURT OF
THE UNITED STATES
MICHAEL HARTMAN, FRANK KORMANN,
PIERCE McINTOSH,
NORMAN ROBBINS,
and ROBERT
EDWARDS, PETITIONERS
v.
WILLIAM G. MOORE, Jr.
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS
FOR THE DISTRICT OF COLUMBIA CIRCUIT
No. 04–1495
Argued January 10, 2006
Decided April 26, 2006
Justice Souter
delivered the opinion of the Court.
This is a Bivens action
against criminal investigators for inducing prosecution in retaliation for
speech. The question is whether the complaint states an actionable violation of
the First Amendment without alleging an absence of probable cause to support the
underlying criminal charge. We hold that want of probable cause must be alleged
and proven.
I
In the 1980’s, respondent William
G. Moore, Jr., was the chief executive of Recognition Equipment Inc. (REI),
which manufactured a multiline optical character reader for interpreting
multiple lines of text. Although REI had received some $50 million from the
United States Postal Service to develop this technology for reading and
sorting mail, the Postmaster General and other top officials of the Postal
Service were urging mailers to use nine-digit zip codes (Zip + 4), which would
provide enough routing information on one line of text to allow single-line
scanning machines to sort mail automatically by reading just that line.
Besides Moore, who obviously stood
to gain financially from the adoption of multiline technology, some Members of
Congress and Government research officers had reservations about the Postal
Service’s Zip + 4 policy and its intended reliance on single-line readers.
Critics maligned single-line scanning technology, objected to the foreign
sources of single-line scanners, decried the burden of remembering the four
extra numbers,1 and echoed
the conclusion reached by the United States Office of Technology Assessment,
that use of the single-line scanners in preference to multiliners would cost the
Postal Service $1 million a day in operational losses.
Moore built on this opposition to
Zip + 4, by lobbying Members of Congress, testifying before congressional
committees, and supporting a “Buy American” rider to the Postal Service’s
1985 appropriations bill. Notwithstanding alleged requests by the Postmaster
General to be quiet, REI followed its agenda by hiring a public-relations firm,
Gnau and Associates, Inc. (GAI), which one of the Postal Service’s governors,
Peter Voss, had recommended.
The campaign succeeded, and in July
1985 the Postal Service made what it called a “mid-course correction” and
embraced multiline technology. Brief for Respondent 4. But the change of heart
did not extend to Moore and REI, for the Service’s ensuing order of multiline
equipment, valued somewhere between $250 million and $400 million went to a
competing firm.
Not only did REI lose out on the
contract, but Moore and REI were soon entangled in two investigations by Postal
Service inspectors. The first looked into the purported payment of kickbacks by
GAI to Governor Voss for Voss’s recommendations of GAI’s services, as in the
case of REI; the second sought to document REI’s possibly improper role in the
search for a new Postmaster General. Notwithstanding very limited evidence
linking Moore and REI to any wrongdoing, an Assistant United States Attorney
decided to bring criminal charges against them, and in 1988 the grand jury
indicted Moore, REI, and REI’s vice president. At the close of the
Government’s case, after six weeks of trial, however, the District Court
concluded that there was a “complete lack of direct evidence” connecting the
defendants to any of the criminal wrongdoing alleged, and it granted the REI
defendants’ motion for judgment of acquittal. United States v. Recognition
Equip. Inc., 725 F. Supp. 587, 596 (DC 1989).
Moore then brought an action in the
Northern District of Texas for civil liability under Bivens v. Six
Unknown Fed. Narcotics Agents, 403 U. S. 388 (1971) ,2
against the prosecutor and the five postal inspectors who are petitioners here
(a sixth having died). His complaint raised five causes of action, only one of
which is relevant here, the claim that the prosecutor and the inspectors had
engineered his criminal prosecution in retaliation for criticism of the Postal
Service, thus violating the First Amendment. In the course of these proceedings
Moore has argued, among other things, that the postal inspectors launched a
criminal investigation against him well before they had any inkling of either of
the two schemes mentioned above, that the inspectors targeted him for his
lobbying activities, and that they pressured the United States Attorney’s
Office to have him indicted. Moore also sought recovery from the United States
under the Federal Tort Claims Act (FTCA). The District Court dismissed the
claims against the Assistant United States Attorney in accordance with the
absolute immunity for prosecutorial judgment, and rejected an abuse-of-process
claim against the inspectors. Moore v. Valder, Civil Action No.
3:91–CV–2491–G (ND Tex., Sept. 21, 1992).3
The claims remaining were
transferred to the District Court for the District of Columbia, where Moore’s
suit was dismissed in its entirety, Civ. Nos. 92–2288 (NHJ), 93–0324 (NHJ),
1993 WL 405785 (Sept. 24, 1993), only to have the Court of Appeals for the
District of Columbia Circuit reinstate the retaliatory-prosecution claim. Moore
v. Valder, 65 F. 3d 189 (1995). The District Court then
permitted limited discovery on that matter so far as the inspectors were
involved, but again dismissed the remaining charges against the United States
and the prosecutor. Moore v. Valder, Civil Action No. 92–2288 (NHJ)
et al., Record, Tab No. 32 (Memorandum Opinion, Feb. 5, 1998). Although
Moore succeeded in having the District of Columbia Circuit reinstate his FTCA
claim against the United States, the dismissal of his claims against the
prosecutor was affirmed. Moore v. United States, 213 F. 3d
705 (2000).
With the remainder of the case back
in District Court, the inspectors moved for summary judgment, urging that
because the underlying criminal charges were supported by probable cause they
were entitled to qualified immunity from a retaliatory-prosecution suit. The
District Court denied the motion, and the Court of Appeals affirmed. 388 F. 3d
871 (2004).
The Courts of Appeals have divided
on the issue of requiring evidence of a lack of probable cause in 42 U. S. C.
§1983 and Bivens retaliatory-prosecution suits. Some Circuits burden
plaintiffs with the obligation to show its absence. See, e.g., Wood v. Kesler,
323 F. 3d 872, 883 (CA11 2003); Keenan v. Tejeda, 290 F. 3d
252, 260 (CA5 2002); Mozzochi v. Borden, 959 F. 2d 1174,
1179–1180 (CA2 1992). Others, including the District of Columbia Circuit,
impose no such requirement. See, e.g., Poole v. County of Otero,
271 F. 3d 955, 961 (CA10 2001); Haynesworth v. Miller, 820 F. 2d
1245, 1256–1257 (CADC 1987). We granted certiorari, 545 U. S. ___ (2005),
to resolve the Circuit split and now reverse.
II
Official reprisal for protected
speech “offends the Constitution [because] it threatens to inhibit exercise of
the protected right,” Crawford-El v. Britton, 523 U. S. 574
, n. 10 (1998), and the law is settled that as a general matter the First
Amendment prohibits government officials from subjecting an individual to
retaliatory actions, including criminal prosecutions, for speaking out, id.,
at 592; see also Perry v. Sindermann, 408 U. S. 593, 597
(1972) (noting that the government may not punish a person or deprive him of a
benefit on the basis of his “constitutionally protected speech”). Some
official actions adverse to such a speaker might well be unexceptionable if
taken on other grounds, but when nonretaliatory grounds are in fact insufficient
to provoke the adverse consequences, we have held thatretaliation is subject to
recovery as the but-for cause of official action offending the Constitution. See
Crawford-El, supra, at 593; Mt. Healthy City Bd. of Ed. v. Doyle,
429 U. S. 274, 283–284 (1977)
(adverse action against government employee cannot be taken if it is in response
to the employee’s “exercise of constitutionally protected First Amendment
freedoms”). When the vengeful officer is federal, he is subject to an action
for damages on the authority of Bivens. See 403 U. S., at 397.
III
Despite a procedural history
portending another Jarndyce v. Jarndyce,4
the issue before us is straightforward: whether a plaintiff in a
retaliatory-prosecution action must plead and show the absence of probable cause
for pressing the underlying criminal charges.5
A
The inspectors argue on two fronts
that absence of probable cause should be an essential element. Without such a
requirement, they first say, the Bivens claim is too readily available. A
plaintiff can afflict a public officer with disruption and expense by alleging
nothing more, in practical terms, than action with a retaliatory animus, a
subjective condition too easy to claim and too hard to defend against. Brief for
Petitioners 21–23; see also National Archives and Records Admin. v. Favish,
541 U. S. 157, 175 (2004)
(allegations of government misconduct are “ ‘easy to allege and hard to
disprove’ ”). In the inspectors’ view, some “objective” burden
must be imposed on these plaintiffs, simply to filter out the frivolous. The
second argument complements the first, for the inspectors believe that the
traditional tort of malicious prosecution tells us what the objective
requirement should be. Brief for Petitioners 24–29. In an action for malicious
prosecution after an acquittal, a plaintiff must show that the criminal action
was begun without probable cause for charging the crime in the first place; the
inspectors see retaliatory prosecution under Bivens as a close cousin of
malicious prosecution under common law, making the latter’s no-probable-cause
requirement a natural feature of the constitutional tort.See Heck v. Humphrey,
512 U. S. 477 , and 484, n. 4 (1994).
B
In fact, we think there is a fair
argument for what the inspectors call an “objective” fact requirement in
this type of case, but the nub of that argument differs from the two they set
out, which we will deal with only briefly. As for the invitation to rely on
common-law parallels, we certainly are ready to look at the elements of
common-law torts when we think about elements of actions for constitutional
violations, see Carey v. Piphus, 435 U. S. 247, 258
(1978) , but the common law is best understood here more as a source of inspired
examples than of prefabricated components of Bivens torts. See, e.g.,
Albright v. Oliver, 510 U. S. 266, 277,
n. 1 (1994) (Ginsburg,
J., concurring); Bivens, supra, at 394; cf. Baker v. McCollan,
443 U. S. 137, 146 (1979) . And
in this instance we could debate whether the closer common-law analog to
retaliatory prosecution is malicious prosecution (with its no-probable-cause
element) or abuse of process (without it). Compare Heck, 512 U. S.,
at 483–485, and 484, n. 4 with id., at 493–496 (Souter,
J., concurring in judgment).
Nor is there much leverage in the
fear that without a filter to screen out claims federal prosecutors and federal
courts will be unduly put upon by the volume of litigation. The basic concern is
fair enough, but the slate is not blank. Over the past 25 years fewer than two
dozen damages actions for retaliatory prosecution under Bivens or §1983
have come squarely before the Federal Courts of Appeals, and there is no
disproportion of those cases in Circuits that do not require showing an absence
of probable cause.6
C
It is, instead, the need to prove a
chain of causation from animus to injury, with details specific to
retaliatory-prosecution cases, that provides the strongest justification for the
no-probable-cause requirement espoused by the inspectors. Although a Bivens
(or §1983) plaintiff must show a causal connection between a defendant’s
retaliatory animus and subsequent injury in any sort of retaliation action, see
Crawford-El, 523 U. S., at 593; Mt. Healthy, 429 U. S., at
285–287, the need to demonstrate causation in the retaliatory-prosecution
context presents an additional difficulty that can be understood by comparing
the requisite causation in ordinary retaliation claims, where the government
agent allegedly harboring the animus is also the individual allegedly taking the
adverse action, with causation in a case like this one.
Take the example of a public
employee’s claim that he was fired for speech criticizing the government. See,
e.g., Pickering v. Board of Ed. of Township High School Dist.
205, Will Cty., 391
U. S. 563, 566–567 (1968)
(allegation that a school board dismissed a teacher for writing a public letter
critical of the board’s financial administration). While the employee
plaintiff obviously must plead and prove adverse official action in retaliation
for making the statements, our discussions of the elements of the constitutional
tort do not specify any necessary details about proof of a connection between
the retaliatory animus and the discharge, which will depend on the
circumstances. Cf. Crawford-El, supra, at 593 (“[A]t least with
certain types of claims, proof of an improper motive is not sufficient to
establish a constitutional violation—there must also be evidence of
causation”). The cases have simply taken the evidence of the motive and the
discharge as sufficient for a circumstantial demonstration that the one caused
the other. See, e.g., Mt. Healthy, supra, at 287; see also Arlington
Heights v. Metropolitan Housing Development Corp., 429
U. S. 252, 270, n. 21
(1977) . It is clear, moreover, that the causation is understood to be but-for
causation, without which the adverse action would not have been taken; we say
that upon a prima facieshowing of retaliatory harm, the burden shifts to the
defendant official to demonstrate that even without the impetus to retaliate he
would have taken the action complained of (such as firing the employee). See Mt.
Healthy, 429 U. S., at 287. If there is a finding that retaliation was
not the but-for cause of the discharge, the claim fails for lack of causal
connection between unconstitutional motive and resulting harm, despite proof of
some retaliatory animus in the official’s mind. See ibid. It may be
dishonorable to act with an unconstitutional motive and perhaps in some
instances be unlawful, but action colored by some degree of bad motive does not
amount to a constitutional tort if that action would have been taken anyway. See
Crawford-El, supra, at 593; Mt. Healthy, supra, at
285–286.
When the claimed retaliation for
protected conduct is a criminal charge, however, a constitutional tort action
will differ from this standard case in two ways. Like any other plaintiff
charging official retaliatory action, the plaintiff in a retaliatory-prosecution
claim must prove the elements of retaliatory animus as the cause of injury, and
the defendant will have the same opportunity to respond to a prima facie case by
showing that the action would have been taken anyway, independently of any
retaliatory animus. What is different about a prosecution case, however, is that
there will always be a distinct body of highly valuable circumstantial evidence
available and apt to prove or disprove retaliatory causation, namely evidence
showing whether there was or was not probable cause to bring the criminal
charge. Demonstrating that there was no probable cause for the underlying
criminal charge will tend to reinforce the retaliation evidence and show that
retaliation was the but-for basis for instigating the prosecution, while
establishing the existence of probable cause will suggest that prosecution would
have occurred even without a retaliatory motive. This alone does not mean, of
course, that a Bivens or §1983 plaintiff should be required to plead and
prove no probable cause, but it does mean that litigating probable cause will be
highly likely in any retaliatory-prosecution case, owing to its powerful
evidentiary significance.7
The second respect in which a
retaliatory-prosecution case is different also goes to the causation that a Bivens
plaintiff must prove; the difference is that the requisite causation between the
defendant’s retaliatory animus and the plaintiff’s injury is usually more
complex than it is in other retaliation cases, and the need to show this more
complex connection supports a requirement that no probable cause be alleged and
proven. A Bivens (or §1983) action for retaliatory prosecution will not
be brought against the prosecutor, who is absolutely immune from liability for
the decision to prosecute, Imbler v. Pachtman, 424
U. S. 409, 431 (1976) .8
Instead, the defendant will be a non-prosecutor, an official, like an inspector
here, who may have influenced the prosecutorial decision but did not himself
make it, and the cause of action will not be strictly for retaliatory
prosecution, but for successful retaliatory inducement to prosecute.9
The consequence is that a plaintiff like Moore must show that the nonprosecuting
official acted in retaliation, and must also show that he induced the prosecutor
to bring charges that would not have been initiated without his urging.
Thus, the causal connection required
here is not merely between the retaliatory animus of one person and that
person’s own injurious action, but between the retaliatory animus of one
person and the action of another. See 213 F. 3d, at 710 (“In order to
find that a defendant procured a prosecution, the plaintiff must establish ‘a
chain of causation’ linking the defendant’s actions with the initiation of
criminal proceedings”); see also Barts v. Joyner, 865 F. 2d
1187, 1195 (CA11 1989) (plaintiff seeking damages incident to her criminal
prosecution would have to show that the police, who allegedly acted in violation
of law in securing her arrest, unduly pressured or deceived prosecutors); Dellums
v. Powell, 566 F. 2d 167, 192–193 (CADC 1977) (where
allegation of misconduct is directed at police, a malicious-prosecution claim
cannot stand if the decision made by the prosecutor to bring criminal charges
was independent of any pressure exerted by police); cf. Smiddy v. Varney,
665 F. 2d 261, 267 (CA9 1981) (“[W]here police officers do not act
maliciously or with reckless disregard for the rights of an arrested person,
they are not liable for damages suffered by the arrested person after a district
attorney files charges unless the presumption of independent judgment by the
district attorney is rebutted”).
Herein lies the distinct problem of
causation in cases like this one. Evidence of an inspector’s animus does not
necessarily show that the inspector induced the action of a prosecutor who would
not have pressed charges otherwise. Moreover, to the factual difficulty of
divining the influence of an investigator or other law enforcement officer upon
the prosecutor’s mind, there is an added legal obstacle in the longstanding
presumption of regularity accorded to prosecutorial decisionmaking. See Reno
v. American-Arab Anti-Discrimination Comm., 525
U. S. 471, 489–490 (1999)
; United States v. Armstrong, 517
U. S. 456, 464–466 (1996)
. And this presumption that a prosecutor has legitimate grounds for the action
he takes is one we do not lightly discard, given our position that judicial
intrusion into executive discretion of such high order should be minimal, see Wayte
v. United States, 470
U. S. 598, 607–608 (1985)
.
Some sort of allegation, then, is
needed both to bridge the gap between the nonprosecuting government agent’s
motive and the prosecutor’s action, and to address the presumption of
prosecutorial regularity. And at the trial stage, some evidence must link the
allegedly retaliatory official to a prosecutor whose action has injured the
plaintiff. The connection, to be alleged and shown, is the absence of probable
cause.
It would be open to us, of course,
to give no special prominence to an absence of probable cause in bridging the
causal gap, and to address this distinct causation concern at a merely general
level, leaving it to such pleading and proof as the circumstances allow. A
prosecutor’s disclosure of retaliatory thinking on his part, for example,
would be of great significance in addressing the presumption and closing the
gap. So would evidence that a prosecutor was nothing but a rubber stamp for his
investigative staff or the police. Cf. Mt. Healthy, 429 U. S., at
281–283. (evidence that the board of education, which formally decided not to
rehire a teacher, was only nominally distinct from the school superintendent,
who allegedly bore the retaliatory animus). In fact, though, these examples are
likely to be rare and consequently poor guides in structuring a cause of action.
In most cases, for instance, it would be unrealistic to expect a prosecutor to
reveal his mind even to the degree that this record discloses, with its reported
statement by the prosecutor that he was not galvanized by the merits of the
case, but sought the indictment against Moore because he wanted to attract the
interest of a law firm looking for a tough trial lawyer.10
Accordingly, the significance of
probable cause or the lack of it looms large, being a potential feature of every
case, with obvious evidentiary value. True, it is not necessarily dispositive:
showing an absence of probable cause may not be conclusive that the inducement
succeeded, and showing its presence does not guarantee that inducement was not
the but-for fact in a prosecutor’s decision. But a retaliatory motive on the
part of an official urging prosecution combined with an absence of probable
cause supporting the prosecutor’s decision to go forward are reasonable
grounds to suspend the presumption of regularity behind the charging decision,
see Bordenkircher v. Hayes, 434
U. S. 357, 364 (1978)
(emphasizing that “so long as the prosecutor has probable cause,” the
charging decision is generally discretionary), and enough for a prima
facieinference that the unconstitutionally motivated inducement infected the
prosecutor’s decision to bring the charge.
Our sense is that the very
significance of probable cause means that a requirement to plead and prove its
absence will usually be cost free by any incremental reckoning. The issue is so
likely to be raised by some party at some point that treating it as important
enough to be an element will be a way to address the issue of causation without
adding to time or expense. See n. 7, supra. In this case, for
example, Moore cannot succeed in the retaliation claim without showing that the
Assistant United States Attorney was worse than just an unabashed careerist, and
if he can show that the prosecutor had no probable cause, the claim of
retaliation will have some vitality.
In sum, the complexity of causation
in a claim that prosecution was induced by an official bent on retaliation
should be addressed specifically in defining the elements of the tort. Probable
cause or its absence will be at least an evidentiary issue in practically all
such cases. Because showing an absence of probable cause will have high
probative force, and can be made mandatory with little or no added cost, it
makes sense to require such a showing as an element of a plaintiff’s case, and
we hold that it must be pleaded and proven.
The judgment of the Court of Appeals
is reversed, and the case is remanded for further proceedings consistent with
this opinion.
It is so ordered.
The Chief Justice and
Justice Alito took no part in the consideration or decision of this case.