Coleman v. KayeColeman v. Kaye
- Reporters:
- , , ,
- Before:
- Cowen, Roth, Cindrich
Arlin M. Adams (argued), Nancy Winkelman, Schnader, Harrison, Segal & Lewis, Philadelphia, PA, for Appellees/Cross Appellants John Kaye, County Prosecutor‘s Office of the County of Monmouth; John Does, 1-100; Jane Does, 1-100.
Malcolm V. Carton (argued), Carton & Faccone, Avon, New Jersey, for Appellee County of Monmouth.
OPINION OF THE COURT
COWEN, Circuit Judge.
Plaintiff-appellant Barbara A. Coleman1 appeals an order of the district court granting defendant-appellee Monmouth County‘s posttrial motion to vacate a jury verdict of $15,000 in compensatory damages and $350,000 in punitive damages based upon three findings of intentional sex discrimination. The principal questions we must decide are whether county prosecutors in New Jersey act as state or county officials when they make personnel decisions and whether the district court properly exercised in personam jurisdiction. We hold that county prosecutors act on behalf of the county in this setting. We further hold that the County of Monmouth has waived any defense of lack of personal jurisdiction. See
The jury also found Prosecutor Kaye to be liable in his individual capacity for $10,000 in compensatory damages and $50,000 in punitive damages. Kaye appeals the district court‘s denial of his
I.
Barbara Coleman was employed as an investigator at the Monmouth County Prosecutor‘s Office during John Kaye‘s tenure as Monmouth County Prosecutor. As County Prosecutor, Kaye had plenary authority in deciding whom to hire, fire, promote or demote at the Monmouth County Office. Although Kaye received input from subordinates as to the qualifications of persons considered for promotion, it is uncontested that he possessed the final authority to determine who worked for the Monmouth County Prosecutor and in what capacity.
Coleman applied for promotions at the Monmouth County Prosecutor‘s Office in May of 1989, June of 1990 and October of 1990. In May of 1989 Coleman sought to be promoted to either sergeant or lieutenant. She was not promoted to either position. Similarly, Coleman‘s applications to be promoted to sergeant were denied in both June and October of 1990. On all three occasions, a male investigator was promoted over Coleman.
On March 12, 1991, Coleman filed a complaint in the District Court for the District of New Jersey naming as parties John Kaye, individually and in his official capacity as Monmouth County Prosecutor, the County Prosecutor‘s Office of the County of Monmouth, John Does 1-100 and Jane Does 1-100. The County of Monmouth was not named separately as a defendant. The complaint alleged that the defendants had discriminated against Coleman based upon her sex by failing to promote her to sergeant (three times) and lieutenant (once) on various occasions in 1989 and 1990. Coleman brought claims under
Faced with the prospect of paying a substantial damages award, the County of Monmouth filed a motion to intervene pursuant to
The district court found the County of Monmouth‘s arguments to be convincing and granted its motion to vacate Coleman‘s jury verdict against the County on two alternative grounds. The district court held that it had lacked in personam jurisdiction to enter a judgment against the County of Monmouth because it had not been served properly under either
Prosecutor Kaye responded to the October 17, 1994 jury verdict against him by filing a
On September 7, 1995, the district court granted Coleman‘s application for attorneys’ fees and costs. The order provided that
II.
The district court had jurisdiction pursuant to
Punitive damages may be awarded for violation of the New Jersey LAD when the wrongdoer‘s conduct is especially egregious. Lehmann v. Toys ‘R’ Us, Inc., 132 N.J. 587, 626 A.2d 445, 464 (1993) (quoting Leimgruber v. Claridge Assocs., 73 N.J. 450, 375 A.2d 652, 654 (1977)). Therefore, the employer should be liable for punitive damages only in the event of actual participation by upper management or willful indifference. Id. Similarly, punitive damages may be awarded under
We review the reasonableness of an award of attorney‘s fees for an abuse of discretion. Rode v. Dellarciprete, 892 F.2d 1177, 1182 (3d Cir.1990). Our review is plenary when a district court fails to apply the appropriate standards for granting legal fees.... Board of Trustees of Trucking Employees of North Jersey Welfare Fund, Inc.-Pension Fund v. Centra, 983 F.2d 495, 508 (3d Cir.1992).
III.
Although Coleman‘s suit against the County of Monmouth and Prosecutor Kaye arose from the same underlying facts, the claims that the defendants raise on appeal require the resolution of entirely different issues. We will therefore address their various contentions in separate sections. First, we will address Coleman‘s appeal, which assails the two grounds upon which the district court vacated the jury verdict against the County of Monmouth.
A.
The district court relied upon
Service upon a state, municipal corporation, or other governmental organization subject to suit shall be effected by delivering a copy of the summons and of the complaint to its chief executive officer or by serving the summons and complaint in the manner prescribed by the law of that state for the service of summons or other like process upon any such defendant.
The district court was correct to the extent that it concluded that Kaye did not fit the proper description of anyone designated to receive service of process on behalf of the County of Monmouth under either Rule 4(j) or
The County of Monmouth became involved in this lawsuit both before and after Coleman filed her complaint in district court. For example, before commencing the present action in district court, Coleman submitted a complaint to the EEOC. Monmouth County elected to respond to Coleman‘s EEOC complaint. Assistant Monmouth County Counsel Robert Hrebek sent a letter to Joe G. Rosenberg, the Supervisory Investigator of the EEOC, advising him that Hrebek had been assigned to handle [this matter] on behalf of the Monmouth County Prosecutor by Malcolm V. Carton, Esq., Monmouth County Counsel ... [and to] please direct all future correspondence in this case to my attention as Assistant County Counsel. App. at 145.
After Coleman filed her complaint, Special County Counsel Richard T. O‘Connor sent a letter, dated August 12, 1993, to the clerk of the court. In this letter, O‘Connor requested the clerk to
enter the appearance of the firms of Gerald L. Dorf, P.C. and Malcolm V. Carton, Monmouth County Counsel, by Richard T. O‘Connor, Special County Counsel, on behalf of Defendants John Kaye individually and in his capacity as Monmouth County Prosecutor and the County Prosecutor‘s Office of the County of Monmouth in the above-captioned matter.
At no time did representatives from the County Counsel‘s Office ever interpose an objection on jurisdictional grounds. See 5A CHARLES ALAN WRIGHT & ARTHUR R. MILLER, FEDERAL PRACTICE AND PROCEDURE § 1344, at 173 (2d ed. 1990) (If defendant appears in the action, he must interpose any ... objections he may have by motion or in his answer or they will be deemed waived by virtue of Rule 12(h)(1).). Quite to the contrary, the representations made by attorneys from the County Counsel‘s Office indicate that Monmouth County was acutely aware of its possible exposure in this matter. To illustrate, a letter dated March 3, 1992 sent by Special County Counsel O‘Connor to Linda B. Kenney, Coleman‘s attorney, contains the following admission in the opening sentence: As you know, I represent Monmouth County in the above-captioned matter. App. at 148 (emphasis added). In addition, Special Counsel O‘Connor noted in a letter memorandum to the district court dated January 3, 1991, that [t]he County of Monmouth shall rely upon the legal arguments and contentions contained in its supporting brief.... Id. 153 (emphasis added).
In addition to the foregoing, Assistant County Counsel Hrebek filed papers and motions in this action on behalf of Kaye and the Monmouth County Prosecutor‘s Office. On April 30, 1991, Hrebek applied to the district
Finally, on May 24, 1991, Gerald Dorf, Esq., entered an appearance on behalf of John Kaye as an individual. Id. 609. Dorf was retained by Kaye with Monmouth County funds. Given the County‘s pervasive involvement in the litigation of this matter and the County Counsel‘s Office‘s open acknowledgement that it was representing the County‘s interests, which by all appearances were indistinguishable from those of the Monmouth County Prosecutor‘s Office, we conclude that Monmouth County‘s defense of lack of personal jurisdiction had effectively been waived long before the County, seemingly as an afterthought, filed its posttrial motion to vacate on jurisdictional grounds. We therefore hold that the County of Monmouth was properly before the district court as a party.
B.
The County of Monmouth also contends that it cannot be held accountable for Prosecutor Kaye‘s actions because he is a state official over whom the County exercises no control. The district court agreed, concluding that Prosecutor Kaye was controlled by the New Jersey State Attorney General. This is an issue of first impression, as the New Jersey Supreme Court has yet to address the specific issue of whether a county prosecutor acts as a state or county official when making personnel decisions at the county level.
A review of related authorities leads us to conclude that county prosecutors in New Jersey can be characterized as having a dual or hybrid status. It is well established that when county prosecutors execute their sworn duties to enforce the law by making use of all the tools lawfully available to them to combat crime, they act as agents of the State. On the other hand, when county prosecutors are called upon to perform administrative tasks unrelated to their strictly prosecutorial functions, such as a decision whether to promote an investigator, the county prosecutor in effect acts on behalf of the county that is the situs of his or her office. We therefore predict that the New Jersey Supreme Court, if presented with a case in this posture, would hold that county prosecutors are acting on behalf of the county when they make personnel decisions.
This conclusion requires us to reach a related issue. The district court determined that the application of agency principles, as set forth in the New Jersey Supreme Court‘s decision in Lehmann v. Toys ‘R’ Us, Inc., 132 N.J. 587, 626 A.2d 445 (1993), provided the analytical framework under which Coleman‘s claims against the County of Monmouth should be scrutinized. We disagree.
Neither the State nor the County of Monmouth exercised control over Prosecutor Kaye‘s personnel decisions. If Lehmann were held to be controlling in this context, this would lead to the untenable conclusion that Prosecutor Kaye was acting on behalf of neither the State nor the County of Monmouth when he passed over Coleman for promotion. We therefore hold that the application of strict agency principles is inappropriate in this setting. As the New Jersey LAD is intended to combat intentional discrimination, and given that intentional discrimination was perpetrated by county officials here, we predict that the New Jersey Supreme Court would hold that Kaye was the Monmouth County policymaker in regard to personnel actions in the prosecutor‘s office and that the County of Monmouth may be held liable for the acts of intentional discrimination that occurred.
1.
The New Jersey Supreme Court in Lehmann v. Toys ‘R’ Us, Inc., 626 A.2d at 445, set forth the applicable standard to determine
Applying Lehmann, the district court concluded that it is clear ... that the County of Monmouth does not exercise sufficient control over Prosecutor John Kaye to establish a master-servant relationship. Rather, county prosecutors are controlled by the Attorney General for the State of New Jersey, a member of the New Jersey executive branch of government. Coleman v. Kaye, No. 91-1140, slip op. at 7 (D.N.J. May 4, 1995). Thus, the court held that the County of Monmouth cannot be held liable on a theory of respondeat superior for the actions of Prosecutor John Kaye. Id. Since both the district court and the parties consider Lehmann to be the seminal case here, we will explore the issue of who can be said to control county prosecutors in New Jersey in some detail.
The office of county prosecutor in the State of New Jersey is a constitutionally established office. The New Jersey Constitution provides that
County prosecutors shall be nominated and appointed by the Governor with the advice and consent of the Senate. Their term of office shall be five years, and they shall serve until the appointment and qualification of their respective successors.
County prosecutors in the State of New Jersey are fully and exclusively bestowed with appointment powers as to office staff and personnel. Such appointment powers are delineated by law as follows: Section 2A:158-15 authorizes a county prosecutor to appoint assistant prosecutors;
Every year the board of chosen freeholders in each county appropriates funds to be used by the prosecutor‘s office.
Similar to the county prosecutor, the New Jersey Attorney General is a constitutional officer pursuant to
The Attorney General shall consult with and advise the several county prosecutors in matters relating to the duties of their office and shall maintain a general supervision over said county prosecutors with a view to obtaining effective and uniform enforcement of the criminal laws throughout the State. He may conduct periodic evaluations of each county prosecutor‘s office including audits of funds received and disbursed in the office of each county prosecutor.
New Jersey law also empowers the Attorney General to intervene in the criminal matters of a county under certain circumstances. Pursuant to
The New Jersey Legislature has granted the Attorney General the discretionary authority of supersedure of a county prosecutor:
[w]henever requested in writing by the Governor, the Attorney General shall, and whenever requested in writing by a grand jury or the board of chosen freeholders of a county or the assignment judge of the superior court for the county, the Attorney General may supersede the county prosecutor for the purpose of prosecuting all of the criminal business of the State in said county, intervene in any investigation, criminal action, or proceeding instituted by the county prosecutor, and appear for the State in any court or tribunal for the purpose of conducting such investigations, criminal actions or proceedings as shall be necessary for the protection of the rights and interests of the State.
Whenever the Attorney General shall have superseded a county prosecutor as aforesaid, the county prosecutor, the assistant county prosecutors and other members of the staff of the county prosecutor shall exercise only such powers and perform such duties as are required of them by the Attorney General.
[w]henever in the opinion of the Attorney General the interests of the State will be furthered by so doing, the Attorney General may (1) supersede a county prosecutor in any investigation, criminal action or proceeding, (2) participate in any investigation, criminal action or proceeding, or (3) initiate any investigation, criminal action or proceeding. In such instances, the Attorney General may appear for the State in any court or tribunal for the purpose of conducting such investigations, criminal actions or proceedings as shall be necessary to promote and safeguard the public interests of the State and secure the enforcement of the laws of the State.
The statutory and constitutional scheme that we have elaborated upon provides county prosecutors in the State of New Jersey with a substantial degree of autonomy from the State government in matters that do not involve the enforcement of the criminal laws of the State. The decision whether to promote an investigator falls within the exclusive province of the county prosecutor. We therefore hold that the district court erred in concluding that county prosecutors in New Jersey are agents of the State Attorney General when they make personnel decisions.
2.
Nor can the County of Monmouth be said to control Prosecutor Kaye‘s employment decisions. Indeed, attempts by various parties to interfere with county prosecutors’ employment prerogatives have been rejected consistently by New Jersey courts. See Cetrulo v. Byrne, 31 N.J. 320, 157 A.2d 297 (1960) (county board of chosen freeholders’ appointment of a legal assistant to prosecutor beyond the scope of its powers); Zamboni v. Stamler, 199 N.J.Super. 378, 489 A.2d 1169 (App.Div.1985) (rejecting Union County detectives’ challenge to a reorganization plan that created superior officer positions within the unclassified civil service of the Prosecutor‘s investigative staff and enabled the Prosecutor to appoint detectives to serve temporarily in that capacity); cf. Bergen County Bd. of Chosen Freeholders v. Bergen County Prosecutor, 172 N.J.Super. 363, 412 A.2d 130 (App.Div.1980) (upholding decision of the New Jersey Public Employment Relations Commission that the county prosecutor, and not the board of chosen freeholders, is the employer of his subordinates in the county office for purposes of labor relations and collective bargaining).
Moreover, New Jersey courts have held that the county prosecutor enjoys a significant degree of autonomy from the county he or she serves. See Cetrulo, 157 A.2d at 301 (The Legislature as well as the courts have long recognized the strong policy considerations which dictate that since the county prosecutor is charged with heavy enforcement responsibilities he must be given broad powers to appoint his own personnel.); Mercer County Bd. of Freeholders v. Mercer County Prosecutor, 172 N.J.Super. 411, 412 A.2d 809, 810 (App.Div.1980) (New Jersey statute that permits the county prosecutor to go to the county‘s assignment judge for authorization of funding in excess of that approved by the county freeholders indicates a legislative intent to place the prosecutor in a dominant position with relation to the freeholders for the purpose of maintaining his integrity and effectiveness); Ruvoldt v. Clark, 204 N.J.Super. 438, 499 A.2d 247, 250 (Law Div.1983) (holding that the county has no control over a Prosecutor‘s nonsalary expenditures that do not exceed his budget because it would be incongruous to permit county government to control the operations and functions of the Prosecutor, a constitutional officer entrusted with awesome duties of vast importance to the public).
Both the County of Monmouth and the New Jersey State Attorney General‘s Office, which filed an amicus brief, make convincing arguments that under the existing New Jersey constitutional and statutory scheme, neither the Attorney General nor the County of Monmouth can truly be said to control the personnel decisions of Prosecutor Kaye. Therefore, if Lehmann provides the appropriate test, we would have to conclude that no governmental entity in the State of New Jersey can under any circumstances be held accountable for a county prosecutor‘s acts of
The New Jersey Legislature and the New Jersey Supreme Court have expressed a persistent and strong commitment to eradicating discrimination in the workplace. See Lehmann, 626 A.2d at 454 (The purpose of the LAD is to eradicate discrimination, whether intentional or unintentional.); Grigoletti v. Ortho Pharmaceutical Corp., 118 N.J. 89, 570 A.2d 903, 911 (1990) ([T]he LAD represents a strong commitment to counteract discrimination attributable to sex or gender, an evil that is felt acutely in terms of employment and economic treatment.); Fuchilla v. Layman, 109 N.J. 319, 537 A.2d 652, 660 (1988) (citing New Jersey‘s clear public policy ... to abolish discrimination in the work place), cert. denied, 488 U.S. 826, 109 S.Ct. 75, 102 L.Ed.2d 51 (1988); Peper v. Princeton Univ. Bd. of Trustees, 77 N.J. 55, 389 A.2d 465, 478 (1978) (noting the repugnant nature of sex discrimination and that New Jersey has always been in the vanguard in the fight to eradicate the cancer of unlawful discrimination of all types from our society).
The New Jersey Supreme Court has further stated that the LAD, as remedial social legislation, ... is deserving of a liberal construction. Clowes v. Terminix Int‘l, Inc., 109 N.J. 575, 538 A.2d 794, 802 (1988). The supreme court views the issue of the scope of an employer‘s liability for compensatory and punitive damages under the LAD to be a question of public policy, in which the most critical underlying consideration is which position provides the most effective intervention and prevention of employment discrimination. Lehmann, 626 A.2d at 465.
The extension of Lehmann‘s agency principles to Coleman‘s sex discrimination suit against the County of Monmouth is logically unacceptable because county prosecutors are clearly government officials who, reason dictates, must be acting on behalf of a some governmental entity when they make personnel decisions. The agency paradigm fails here because it would require us to reach the specious conclusion that Prosecutor Kaye was not acting under the authority of any state governmental body, either state or county, when he passed Coleman over for promotion. We must therefore look to New Jersey constitutional, statutory and decisional law to determine which level of state government the county prosecutor belongs when making personnel decisions.
3.
Our review of New Jersey Supreme Court decisions that have discussed the relation of the county prosecutor to the State Attorney General is both instructive and supportive of our conclusion that county prosecutors are acting as county officials when they make employment decisions. The issue of the county prosecutor‘s role in relation to the Attorney General was discussed in great detail in Morss v. Forbes, 24 N.J. 341, 132 A.2d 1 (1957). The question presented in Morss was whether the New Jersey Legislature had the authority to compel a county prosecutor to disclose certain information and records relating to wiretapping activities authorized by his office. Morss, the Union County Prosecutor, resisted these demands, arguing that by compelling the disclosure of information which the prosecutor has deemed to be confidential, the [Legislative] Committee is transgressing upon the doctrine of separation of powers and actually invading the exclusive province of a coordinate body. Id., 132 A.2d at 11.
The New Jersey Supreme Court rejected this argument, holding that the county prosecutor could be required to turn the wiretap information over to the state legislature. In reaching this conclusion, the court analyzed the question of the role ... the [county] prosecutor plays in the governmental structure. Id. 14. In so doing, the Morss court described the role of the State Attorney General and county prosecutors in relation to each other within the framework established by the New Jersey Constitution:
By provision of the Constitution of 1947, both the attorney general and the county prosecutor are constitutional officers. Both are appointed by the Governor with the advice and consent of the Senate. The
attorney general serves a term coexistent in length with that of the Governor, but the county prosecutor serves for five years, or until the appointment and qualification of a successor. The attorney general, as head of the Department of Law and Public Safety, is within the executive department (Art. V, Sec. IV, par. 3), but the provision for the appointment of prosecutors is found in Art. VII, Sec. II, par. 1, ‘Public Officers and Employees.’
Reviewing the applicable statutes that govern the relationship between the county prosecutor and the state government, the Morss court noted that despite the Attorney General‘s statutory power of supersession, the presently existing situation under the Constitution of 1947 ... strongly reaffirms that the [county] prosecutors are largely independent of control by the attorney general.... Id. 16. The court noted the demonstrable lack of a chain of command between the attorney general and the county prosecutors. Id.Id. 17.
The Morss court expressed serious reservations as to whether the New Jersey statutory scheme imports a close supervisory relationship between the attorney general and the county prosecutors. Id. 17. Nor did it appear that the Governor is responsible for the daily functioning of the prosecutor‘s office. Id.Id. 18.