CODD, POLICE COMMISSIONER, CITY OF NEW YORK, ET AL. v. VELGER
No. 75-812
Supreme Court of the United States
Argued December 1, 1976—Decided February 22, 1977
429 U.S. 624
Sam Resnicoff argued the cause for respondent. With him on the brief was Edward M. Rappaport.
PER CURIAM.
Respondent Velger‘s action shifted its focus, in a way not uncommon to lawsuits, from the time of the filing of his complaint in the United States District Court for the Southern District of New York to the decision by the Court of Appeals for the Second Circuit which we review here. His original complaint alleged that he had been wrongly dismissed without a hearing or a statement of reasons from his position as a patrolman with the New York City Police Department, and under
The case came on for a bench trial before Judge Werker, who, in the words of his opinion on the merits, found “against plaintiff on all issues.” He determined that the only issue which survived Judge Gurfein‘s ruling on the earlier motions was whether petitioners, in discharging respondent had “imposed a stigma on Mr. Velger that foreclosed his freedom to take advantage of other employment opportunities.” After discussing the evidence bearing upon this issue, Judge Werker concluded that “[i]t is clear from the foregoing facts that plaintiff has not proved that he has been stigmatized by defendants.”
Among the sрecific findings of fact made by the District Court was that an officer of the Penn-Central Railroad
Respondent successfully appealed this decision to the Court of Appeals for the Second Circuit. That court held that the finding of no stigma was clearly erroneous. It reasoned that the information about the apparent suicide attempt was of a kind which would necessarily impair employment prospects for one seeking work as a police officer. It also decided that the mere act of making available personnel files with the employee‘s consent was enough to place responsibility for the stigma on the employer, since former employees had no practical alternative but to consent to the release of such information if they wished to be seriously considered for other employment. Velger v. Cawley, 525 F. 2d 334 (1975).
We granted certiorari, sub nom. Cawley v. Velger, 427 U. S. 904 (1976), and the parties have urged us to consider whether the report in question was of a stigmatizing nature, and whether the circumstances of its apparent dissemination were such as to fall within the language of Board of Regents v. Roth, 408 U. S. 564, 573 (1972) and Bishop v. Wood, 426 U. S. 341 (1976). We find it unnecessary to reach these issues, however, because of respondent‘s failure to allege or prove one essential element of his case.
Assuming all of the othеr elements necessary to make out a claim of stigmatization under Roth and Bishop, the remedy mandated by the Due Process Clause of the Fourteenth Amendment is “an opportunity to refute the charge.” 408 U. S., at 573. “The purpose of such notice and hearing is to provide the person an opportunity to clear his name,” id., at 573 n. 12. But if the hearing mandated by the Due Process Clause is to serve any useful purpose, there must be some factual dispute between an employer and a discharged employee which has some significant bearing on the employee‘s reputation. Nowhere in his pleadings or elsewhere has respondent affirmatively asserted that the report of the apрarent suicide attempt was substantially false. Neither the District Court nor the Court of Appeals made any such finding. When we consider the nature of the interest sought to be protected, we believe the absence of any such allegation or finding is fatal to respondent‘s claim under the Due Process Clause that he should have been given a hearing.
Where the liberty interest involved is that of conditional freedom following parole, we have said that the hearing required by the Due Process Clause in order to revoke parole must address two separate considerations. The first is whether the parolee in fact committed the violation with which he is charged, and the second is whether if he did commit the act his parole should, under all the circumstances, therefore be revoked. Morrissey v. Brewer, 408 U. S. 471, 479-480 (1972); Gagnon v. Scarpelli, 411 U. S. 778, 784 (1973). The fact that there was no dispute with respect to the commission of the act would not necessarily obviate the need for a hearing on the issue of whether the commission of the act warranted the revocation of parole.
But the hearing required where a nontenured employee has been stigmatized in the course of a decision to terminate his employment is solely “to provide the person an opportunity to clear his name.” If he does not challenge the substantial truth
Our decision here rests upon no overly technical application of the rules of pleading. Even conceding that the respondent‘s termination occurred solely because of the report of an apparent suicide attempt, a proposition which is certainly not crystal clear on this record, respondent has at no stage of this litigation affirmatively stated that the “attempt” did not take place as reported. The furthest he has gone is a suggestion by his counsel that “[i]t might have been all a mistake, [i]t could also have been a little horseplаy.” This is not enough to raise an issue about the substantial accuracy of the report. Respondent has therefore made out no claim under the Fourteenth Amendment that he was harmed by the denial of a hearing, even were we to accept in its entirety
the determination by the Court of Appeals that the creation
The judgment of the Court of Appeals is reversed with instructions to reinstate the judgment of the District Court.
So ordered.
MR. JUSTICE BLACKMUN, concurring.
I join the Court‘s per curiam opinion, but I emphasize that in this case there is no suggestion that the information in the file, if true, was not information of a kind that appropriately might be disclosed to prospective employers. We therefore are not presented with a question as to the limits, if any, on the disclosure of prejudicial, but irrelevant, accurate information.
MR. JUSTICE BRENNAN, with whom MR. JUSTICE MARSHALL joins, dissenting.
I dissent from today‘s holding substantially for the reasons expressed by my Brother STEVENS in Part I of his dissent, despite my belief that the Court‘s ruling is likely to be of little practical importance.
Respondent alleged that he suffered deprivation of his liberty when petitioners terminated his employment and retained stigmatizing information in his employment file, information later disseminated to a prospective employer. Under Board of Regents v. Roth, 408 U. S. 564, 573 (1972), respondent therefore was entitled to a timely pretermination hearing. The Court today reaffirms Roth, but holds that respondent‘s retrospective claim for damages and equitable relief under
about the substantial accuracy of the report” in question.2
Twice before this Term we have reasserted the principle that once a plaintiff establishes that another has interfered with his constitutional rights, the burden shifts to the wrongdoer to demonstrate that any such interference was strictly harmless. Arlington Heights v. Metropolitan Housing Dev. Corp., ante, at 270-271, n. 21; Mt. Healthy City Board of Ed. v. Doyle, ante, at 287. In this case respondent met his initial burden, for he adequately alleged that he has suffered injury to his reputation and job prospects in conjunction with a discharge from public employment, and that petitioners failed to comply with Roth‘s resulting requirement of a due process hearing. I agree that the District Court remains open to a determination that petitioners’ denial of respondent‘s due process rights produced little3 or no compensable injury, since, even had the
hearing properly been held, the stigmatizing charges would
I also agree with Part III of MR. JUSTICE STEVENS’ dissenting opinion, and I would therefore remand this case to the Court of Appeals for further proceedings.
MR. JUSTICE STEWART, dissenting.
Although sharing generally the views expressed in the Court‘s opinion, I agree with Part III of MR. JUSTICE STEVENS’ dissenting opinion, and I would for that reason remand this case to the Court of Appeals for further proceedings.
MR. JUSTICE STEVENS, dissenting.
There are three aspects of the Court‘s disposition of this case with which I disagree. First, I am not persuaded that a person who claims to have been “stigmatized” by the State without being afforded due process need allege that the charge against him was false in order to state a cause of action under
I
The Court holds that respondent‘s failure to allege falsity negates his right to damages for the State‘s failure to give him a hearing. This holding does not appear to rest on the view that a discharged employee has no right to a hearing unless the charge against him is false.1 If it did, it would represent a radical departure from a principle basic to our legal system—the principle that the guilty as well as the innocent are entitled to a fair trial.2 It would also be a departure from Board of Regents v. Roth, 408 U. S. 564, 572-575. In that case the Court concluded that a person is deprived of liberty when the State‘s refusal to rehire him destroys his “good name” in the community or forecloses him from practicing his
profession. A hearing may establish that such a deprivation
This hearing must include consideration of whether the charge, if true, warrants discharge. Thе discharge itself is part of the deprivation of liberty against which the employee is entitled to defend. Release of unfavorable information can damage an employee‘s reputation and employment prospects, but far greater injury is caused by an official determination, based on such information, that the employee is unfit for public employment. Indeed the Court has held that an injury to reputation had not resulted in a deprivation of liberty because it was not associated with the termination of
employment. Paul v. Davis, 424 U. S. 693, 709-710. Since
Even if I agreed with the Court that this was the sole
Today‘s holding may have the unfortunate effect of en-
“That a conclusion satisfies one‘s private conscience does not attest its reliability. The validity and moral authority of a conclusion largely depend on the mode by which it was reached. Secrecy is not congenial to truth-sеeking and self-righteousness gives too slender an assurance of rightness. No better instrument has been devised for arriving at truth than to give a person in jeopardy of serious loss notice of the case against him and opportunity to meet it. Nor has a better way been found for generating the feeling, so important to a popular government, that justice has been done.” Anti-Fascist Committee v. McGrath, 341 U. S. 123, 171-172 (concurring opinion).
As the last sentence in this quotation demonstrates, if state action has consequences sufficiently grievous to constitute a deprivation of constitutionally protected liberty, it is essential that fair procedures be followed for reasons that have nothing to do with the merits of the individual case. Today‘s holding is only a minor impairment of this principle. But the principle is one that admits of no compromise.
II
Although the plaintiff does not have the burden of proving that he was discharged for a false reason, if he claims that the discharge deprived him of liberty, he does have the burden of proving that he was stigmatized. The District Court found that respondent did not meet that burden in this case. Under the proper standard of appellate review,9 I cannot say that
finding was clearly erroneous, particularly when the record
The District Court found that unfavorable information from resрondent‘s police record reached a prospective employer in only one instance. In that instance, a private employer was allowed to see the file with respondent‘s permission. The private employer then discharged respondent, who was on probationary status. The District Court expressly found that no information was released to any government agency to which respondent had applied. App. 113a-114a.10 Thus, as far
as the past effects of the unfavorable file are concerned, we
The Court of Appeals also relied on the nature of the information itself as demonstrating that future release to employers would bar respondent from obtaining employment. Velger v. Cawley, 525 F. 2d 334, 336 (CA2 1975). Notwithstanding the broad discovery authorized by the Federal Rules of Civil Procedure, respondent failed to prove precisely what adverse information was in his personnel file. The revolver incident occurred sometime before respondent‘s 21st birthday, when he was still a trainee; as his counsel points out, it might well have been “a little horseplay“; and his subsequent conduct as a police officer was presumably good. There was no finding that the revolver incident was the official reason for dischаrge.12 On this record, it cannot be said as a matter of law
that prospective employers would reject respondent‘s attempts
In the performance of our appellate function “[i]t is not enough that we might give the facts another construction, resolve the ambiguities differently, and find a more sinister cast to actions which the District Court apparently deemed innocent. . . . We are not given those choices, because our mandate is not to set aside findings of fact ‘unless clearly erroneous.‘” United States v. Real Estate Boards, 339 U. S. 485, 495-496.
I conclude that the Court of Appeals was incorrect in setting aside the District Court‘s findings of fact. Since those findings do not establish the existence of a stigma, the Court of Apрeals erred in holding on this basis that a hearing was required.
III
It is possible, however, that a hearing was required because the discharge deprived respondent of a property interest. The District Court rejected the claim that he had an entitlement to his job as a matter of state law, but the Court of Appeals found it unnecessary to reach this issue. I believe there is enough merit to the property claim to justify a remand to the Court of Appeals with directions to consider it.
In Bishop v. Wood, the plaintiff‘s job was “terminable at the will of either party irrespective of the quality of performance by the other party.” 426 U. S., at 345 n. 9, and accompanying text. There was no right to state judicial review. In this cаse, however, the state law may afford the employee some protection against arbitrary discharge. According to the state case cited by Judge Gurfein, App. 37a, the Police Commissioner may terminate only “unsatisfactory employee[s],”13 and his determination is reviewable in the
state courts on an “arbitrary and capricious” standard. In re Going v. Kennedy, 5 App. Div. 2d 173, 176–177, 170 N. Y. S. 2d 234, 237-238 (1958), aff‘d, 5 N. Y. 2d 900, 156 N. E. 2d 711 (1959); see In re Talamo v. Murphy, 38 N. Y. 2d 637, 345 N. E. 2d 546 (1976).14 Unlike Bishop, in which a hearing would have been pointless because nothing plaintiff could prove would entitle him to keep his job, in this case the plaintiff may have had a right to continued employment if he could rebut the charges against him.15
By directing the Court of Appeals to reinstate the District
Notes
“It is not without significance that most of the provisions of the Bill of Rights are procedural. It is procedure that spells much of the difference between rule by law аnd rule by whim or caprice. Steadfast adherence to strict procedural safeguards is our main assurance that there will be equal justice under law.” Anti-Fascist Committee v. McGrath, 341 U. S. 123, 179 (Douglas, J., concurring).
Second, in the ensuing paragraphs, the Roth opinion considers the individual interest in avoiding “a stigma or other disability” that forecloses employment opportunities. With respect to this interest, the Court rather clearly indicates, id., at 574, that no such stigma may be imposed without a “full prior hearing.”
“Where the liberty interest involved is that of conditional freedom following parole, we have said that the hearing required by the Due Process Clause in order to revoke parole must address two separate considerations. The first is whether the parolee in fact committed the violation with which he is charged, and the second is whether if he did commit the act his parole should, under all the circumstances, therefore be revoked. Morrissey v. Brewer, 408 U. S. 471, 479-480 (1972); Gagnon v. Scarpelli, 411 U. S. 778, 784 (1973). The fact that there was no dispute with respect to the commission of the act would not necessarily obviate the need for a hearing on the issue of whether the commission of the act warranted the revocation of parole.”
This reasoning is equally applicable to a decision to revoke a person‘s employment for a stigmatizing reason. The fact that there is no dispute with respect to the commission of the act involved does not necessarily obviate the need for a hearing on the issue of whether employment should be terminated.
This problem is squarely presented by this case because respondent did request such a hearing. At trial, respondent‘s counsel made the following statement:
“And therefore, he should be reinstated and he should be given a full hearing, an adversary hearing.” App. 93a.
Under modern trial practice, no more formal request was necessary. The amended complaint had requested a declaratory judgment that “the action of defendants in terminating plaintiff‘s employment without charges and without a hearing [was] in violation of the Constitution . . . ,” and had sought “such additional alternative relief as may seem to this Court to be just, proper and equitable.” Id., at 55a-56a. And, of course,
“In applying the clearly erroneous standard to the findings of a dis- trict court sitting without a jury, appellate courts must constantly have in mind that their function is not to decide factual issues de novo. The authority of an appellate court, when reviewing the findings of a judge as well as those of a jury, is circumscribed by the deference it must give to decisions of the trier of the fact, who is usually in a superior position to appraise and weigh the evidеnce. The question for the appellate court under Rule 52 (a) is not whether it would have made the findings the trial court did, but whether ‘on the entire evidence [it] is left with the definite and firm conviction that a mistake has been committed.’ United States v. United States Gypsum Co., 333 U. S. 364, 395 (1948).” Zenith Corp. v. Hazeltine, 395 U. S. 100, 123.
“A person‘s interest in a benefit is a ‘property’ interest for due process purposes if there are such rules or mutually explicit understandings that support his claim of entitlement to the benefit and that he may invoke at a hearing.”
Even if respondent‘s entitlement is a sufficient property interest to trigger due process, he is not necessarily entitled to an elaborate adversary hearing. “Once it is determined that due process applies, the question remains what process is due.” Morrissey v. Brewer, 408 U. S. 471, 481: But at least respondent would be entitled to notice of the charge against him and an opportunity to respond, if only in writing.
