Lead Opinion
Plaintiffs William B. Elliott, Tommy J. Evaro, and Andria J. Hernandez were all targets of investigations by the Doña Ana County grand jury. Under New Mexico law they were entitled to target notices that advised them of the right to testify before the grand jury. But the notices they received may not have complied with state law. They filed a civil-rights action under 42 U.S.C. § 1983 in the United States District Court for the District of New Mexico, alleging that District Attorney Susana Martinez violated their due-process rights under the Fourteenth Amendment to the United States Constitution. The district court granted the District Attorney’s motion to dismiss on the ground that the New Mexico statute did not establish a liberty interest protected by the Fourteenth Amendment. Plaintiffs appeal. We have jurisdiction under 28 U.S.C. § 1291 and affirm because a statutory right to particular procedures is not a liberty interest under the Fourteenth Amendment.
I. BACKGROUND
Under New Mexico law a target of a grand-jury investigation is entitled to notice that he or she is a target unless a district judge finds that notification may result in flight, obstruction of justice, or danger to another person. See N.M. Stat. Ann. § 31-6-11(0 (2003). The notice must describe the alleged crime being investigated, the target’s right to remain silent, and the target’s right to counsel. Id. at § 31-6-11(0(1), (2), (5), (6).
Plaintiffs were in custody at the Doña Ana County Detention Center when they received target notices. They allege that these notices were untimely. Elliott alleges that he received notice on February 24, 2010, at 10:38 a.m. for a grand-jury presentation on February 25 at 8:30 a.m. Evaro and Hernandez allege that they received notices on March 15, 2010, at 2:10 p.m. for grand-jury presentations on March 18 at 8:30 a.m.
Plaintiffs’ amended complaint asserted a procedural-due-process claim, stating that violations of the statutory notice requirement denied them liberty interests protected by the Fourteenth Amendment. The District Attorney moved to dismiss the complaint for failure to state a claim. Plaintiffs responded that the grand-jury statute creates a liberty interest “because it limits a district attorney’s official discretion and mandates that if an individual is the target of [a] grand jury, a particular outcome in the form of the required notice must follow.” ApltApp. at 29.
The district court granted the motion to dismiss. It said that the critical question was whether the notice statute created a liberty interest protected by the Due Process Clause of the Fourteenth Amendment, and that the answer to this question ordinarily depends on whether the statute places “ ‘substantive limitations on official discretion’ ” by establishing “ ‘ “substantive predicates” to govern official decision-making, and, further by mandating the outcome to be reached upon a finding that the relevant criteria have been met.’ ” Id. at 52, Mem. Op. & Order Granting Def.’s Mot. to Dismiss PL’s Compl. (Order) at 3, No. 10-385 JP/ACT (D.N.M. Sept.9, 2010) (quoting Ky. Dep’t of Corr. v. Thompson,
II. DISCUSSION
The Due Process Clause states, “No State shall ... deprive any person of life, liberty, or property, without due process of law.” U.S. Const. amend. XIV, § 1. An alleged violation of the procedural due process required by this clause prompts a two-step inquiry: (1) whether the plaintiff has shown the deprivation of an interest in “life, liberty, or property” and (2) whether the procedures followed by the government in depriving the plaintiff of that interest comported with “due process of law.” Ingraham v. Wright,
A protected interest in liberty or property may have its source in either federal or state law. See Thompson,
Plaintiffs argue that the grand-jury statute creates an entitlement because it mandates notice to the grand-jury target when specified predicates (that notice will not result in flight, obstruction of justice, or danger to another person) are satisfied. But even if notice is an entitlement under state law, Plaintiffs have failed to state a due-process claim. That is because an entitlement is protected by the
What constitutes a liberty or property interest within the meaning of the Fourteenth Amendment is not always easy to determine. The concepts should not be given a narrow construction. “ ‘Liberty’ and ‘property’ are broad and majestic terms ... [that] relate to the whole domain of social and economic fact.” Roth,
The line between substance and procedure is somewhat blurry. In this case, however, there is no question that the state statute creates a procedural right. As the Supreme Court has repeatedly said, “The core of due process is the right to notice and a meaningful opportunity to be heard.” LaChance v. Erickson,
We add one further observation to make clear that our conclusion is not the result of some inadequacy in Plaintiffs’ briefing or a peculiarity of the state notice statute. What if state law required dismissal of the indictment and release from custody of a target who had been indicted without being provided the statutorily required notice? Is not release from custody a liberty interest? And would not that liberty interest be an entitlement protected by the Due Process Clause because it was mandated when required notice was not given? No. To be protected by procedural due process, an interest must be guaranteed by state law when specified substantive predicates exist. “[A] State creates a protected liberty interest by placing substantive limitations on official
The authority cited by the concurrence is not to the contrary. Pusey v. City of Youngstown,
More importantly, the concurrence so misreads Olim that one would think that the Supreme Court had affirmed, rather than reversed, the lower-court decision in that case, which took the same position as the concurrence here. The majority in Wakinekona v. Olim,
This is not to say that there is no role for procedural due process in the grand-jury context. We do not address here the unraised issue of what safeguards are constitutionally required before a grand jury can issue an indictment. All we say is that the state notice statute does not affect what is required by the Due Process Clause. “[W]hen a state establishes procedures to protect a liberty interest that arises from the Constitution itself[,] ... the state does not thereby create a new constitutional right to those procedures themselves, and noncompliance with those procedures does not necessarily violate the Due Process Clause.” James,
III. CONCLUSION
We AFFIRM the judgment of the district court.
Notes
. In full, the relevant subsection reads:
A district attorney shall use reasonable diligence to notify a person in writing that the*1243 person is the target of a grand jury investigation.
Unless the district judge presiding over the grand jury determines by clear and convincing evidence that providing notification may result in flight by the target, result in obstruction of justice or pose a danger to another person, the target of a grand jury investigation shall be notified in writing of the following information:
(1) that he is the target of an investigation;
(2) the nature of the alleged crime being investigated and the date of the alleged crime and any applicable statutory citations;
(3) the target's right to testify no earlier than four days after receiving the target notice if he is in custody, unless for good cause the presiding judge orders a different time period or the target agrees to testify sooner;
(4) the target's right to testify no earlier than ten days after receiving the target notice if he is not in custody, unless for good cause the presiding judge orders a different time period or the target agrees to testify sooner;
(5) the target’s right to choose to remain silent; and
(6) the target’s right to assistance of counsel during the grand jury investigation.
N.M. Stat. Ann. § 31-6-11(C) (2003).
. We note that even when state law establishes the protected interest, federal law (not state law) governs whether the procedures for depriving someone of the protected interest are constitutionally adequate. See Hulen v. Yates,
Concurrence Opinion
concurring.
I concur separately to identify what, in my view, is a misapprehension of due process jurisprudence in the hypothetical situation contemplated in a paragraph near the end of the majority opinion. The state statute in the hypothetical, unlike the statute actually at issue in this case, would require automatic dismissal of an indictment and release from custody of a grand jury target if the target had not been provided the statutorily required notice. The majority opinion posits, in dicta, that even in that instance, there would be no liberty interest, created by state law and protected under the Due Process Clause. Respectfully, I disagree. In the hypothetical situation posed by the majority opinion, I would hold that a liberty interest in the statutorily mandated notice would exist if the statute required dismissal of the indictment and release from custody of the grand jury target whenever the state failed to afford such notice. Indeed, I believe that the crux of this case is that the New Mexico law calls only for notice and does not additionally mandate a particular outcome when that statutory directive is not followed.
The majority opinion earlier correctly recognizes that “a state-created interest is not protected by the procedural component of the Due Process Clause unless ... the asserted right to property or liberty is mandated by state law when specified substantive predicates exist.” Maj. Op. at 1244. The opinion illustrates that proposition with the example of a prison inmate in a state whose law requires that the inmate be granted parole if the inmate has not violated prison regulations for ten years. The opinion accurately observes that in that instance, a “protected liberty interest” would arise since “release is mandated when the substantive predicate (no violations for 10 years) is satisfied.”
Stated simply, “a State creates a protected liberty interest by placing substantive limitations on official discretion.” Olim v. Wakinekona,461 U.S., at 249 [103 S.Ct. 1741 ].... [T]he most common manner in which a State creates a liberty interest is by establishing “substantive predicates” to govern official decision-making, Hewitt v. Helms,459 U.S., at 472 [103 S.Ct. 864 ], and, further, by mandating the outcome to be reached upon a finding that the relevant criteria have been met.
Ky. Dept. of Corr. v. Thompson,
Thompson thus recognizes two requisite prongs for state-created liberty interests: first, substantive requirements governing official decisionmaking; and second; mandatory outcomes that turn on the failure to meet those requirements. See id. In other words, when state law contains substantive predicates that supply “decision-making criteria which serve to limit discretion,” id., and the law also contains “ ‘explicitly mandatory language,’ i.e., specific directives to the decisionmaker that if the regulations’ substantive predicates are present, a particular outcome must follow,” then “the State has created a liberty interest.” Id. at 463,
To illustrate, in Olim v. Wakinekona, the Supreme Court declined to recognize a constitutionally protected entitlement to a prisoner’s right, afforded by prison regulations, to a particular kind of hearing before he could be transferred to another prison because his transfer fate did not depend on whether the hearing had occurred.
Likewise, in a notice-based case factually comparable to this one, the Sixth Circuit declined to recognize a constitutionally protected entitlement to state-guaranteed notice because the state’s failure to observe notice procedures did not, under state law, mandatorily trigger any substantive outcome. See Pusey v. City of Youngstown,
This rule — -that liberty interests in procedure arise only when a statute imposes substantive requirements to govern official decisionmaking and, further, mandates a certain outcome as a consequence of noncompliance with those requirements — is the reason why I concur that, in this case, the New Mexico statute did not afford the appellants a liberty interest in the preindictment notice. The statute clearly requires a specific manner of notice to grand jury targets, such that New Mexico officials have no decisionmaking discretion regarding whether to give notice. See N.M.S.A. § 31 — 6—11(e). Critically, however, the statute permits a grand jury to return an indictment regardless of whether the target has received notice, as long as eight jurors find probable cause to indict him; hence no outcome is mandated if the notice criterion is not met. See N.M.S.A. § 31-6-10. This is analogous to the warden in Olim being able to transfer an inmate regardless of whether a hearing had occurred, for example, or to trials and plea hearings in Pusey proceeding unaffected by whether victims had received notice. Thus, since “an expectation of receiving process is not, without more, a liberty interest,” Olim,
But in the majority opinion’s hypothetical, there would be “more,” see id., namely, the guarantee of freedom upon failure to give the concrete, expectable, statutorily guaranteed notice. That is, in the hypothetical, New Mexico would mandate a particular outcome upon the non-observance of procedure that specifically limits official discretion — i.e., officials would have no choice but to afford notice, or the indictment would be dismissed and the grand jury target released — so a liberty interest in notice-or-freedom would arise. There would be both (a) substantive predicates regarding the guaranteed procedure (i.e., the state must give three days’ notice to grand jury targets, as in the actual statute, presumably), and (b) a mandatory outcome flowing from nonobservance of said procedure (i.e., dismissal of the indictment and release of the target). See Thompson,
I believe the majority opinion misinterprets “substantive” in this context when it
Accordingly, the majority opinion is misguided when it underscores the word “substantive,” Maj. Op. at 1246, in citing Olim’s holding that the “prison regulations place no substantive limitations on official discretion,” Olim,
Thus, I concur with the result and holding in this case that New Mexico did not create a liberty interest here because the state did not mandate a given result as a consequence of the state’s failure to comply with the notice requirement. I concur only because of my disagreement with the example proffered in dicta in a paragraph near the end of the majority opinion.
. In contrast, if the state "statute grant[ed] the parole board complete discretion in making parole decisions, [the statute would not] create a liberty interest.” Wood v. Utah Bd. Of Pardons & Parole,
