OPINION AND ORDER
I. INTRODUCTION
This matter is before the Court on Defendants’ Motion to Dismiss Plaintiffs Complaint. Plaintiff Dr. Jay S. Gunasekera (“Dr.Gunasekera”), brought a complaint against Defendants Dean Dennis Irwin and Provost Kathy Krendl (collectively “Defendants” or individually “Dean Irwin” or “Provost Krendl”) for damages under 42 U.S.C. § 1983 and for injunctive relief. Specifically, Plaintiff alleges that Defendants violated the Due Process Clause by: (1) suspending his Graduate Faculty status without notice and opportunity to be heard; and (2) denying him a name-clearing opportunity. For the reasons stated herein, Defendants’ Motion to Dismiss is GRANTED.
II. BACKGROUND
Dr. Gunasekera led a distinguished academic career as the Moss Professor of Mechanical Engineering at the Russ College of Engineering and Technology of Ohio University. He served as Chair of the Department of Mechanical Engineering for fifteen years. But in 2004, a graduate student alleged that candidates for advanced degrees in mechanical engineering committed plagiarism in their masters and doctoral theses. For two years the student’s allegations filtered through the academic bureaucracy, eventually reaching Krendl, Provost of Ohio University. She instructed Irwin, Dean of the Russ College of Engineering and Technology, to take action. Dean Irwin enlisted an adminis
On May 30, 2006, Meyer and Bloemer submitted their report (“Meyer/Bloemer Report”) to Dean Irwin and Provost Krendl. The Meyer/Bloemer Report concluded that for over twenty years, graduate students had committed rampant and flagrant plagiarism in theses submitted to the Department of Mechanical Engineering for advanced degrees. The report singled out three faculty members, including Dr. Gunasekera, for ignoring their ethical responsibilities and contributing to an atmosphere of negligence toward issues of academic misconduct. The following day, Provost Krendl held a press conference publicizing the Meyer/Bloemer Report and implicating Dr. Gunasekera in the scandal.
On June 21, 2006, Dean Irwin suspended Dr. Gunasekera from Graduate Faculty status for three years. As a result, Dr. Gunasekera is prohibited from advising or evaluating graduate student theses. But Defendants did not cut Dr. Gunasekera’s compensation, strip him of his tenure, bar him from conducting research, nor prohibit him from teaching. With the exception of Graduate Faculty status, his position and duties remained unchanged.
Following the suspension of his Graduate Faculty status and the publication of the Meyer/Bloemer Report, Dr. Gunasekera requested a name-clearing opportunity. Particularly, Dr. Gunasekera demanded that Defendants publicize the hearing with the same vigor as they publicized the Meyer/Bloemer report, permit him to cross-examine university officials, provide an impartial moderator to preside over the hearing, and hire a stenographer. Defendants balked at these conditions. Instead, Defendants offered a name-clearing hearing at which Dr. Gunasekera could be represented by counsel, call witnesses, offer documentary evidence, and testify on his own behalf. Denouncing the proposed name-clearing hearing as a sham proceeding, Plaintiff declined to participate.
On August 9, 2006, Dr. Gunasekera brought a defamation action against the state of Ohio in the Court of Claims. On August 28, 2006, Dr. Gunasekera filed a complaint in this Court against Dean Irwin and Provost Krendl. Dr. Gunasekera alleges that Defendants violated the Due Process Clause by: (1) suspending his Graduate Faculty status without notice and opportunity to be heard; and (2) denying him a name-clearing opportunity. Dr. Gunasekera seeks injunctive relief including reinstatement of Graduate Faculty status, expungement of the suspension from his record, and a meaningful name-clearing opportunity. Dr. Gunasekera also demands, pursuant to 42 U.S.C. § 1983, compensatory and punitive damages, back pay, prejudgment and post-judgment interest, costs, and reasonable attorneys fees. Defendants brought this Motion to Dismiss Plaintiffs Complaint under Federal Rule 12(b)(6) for failure to state a claim upon which relief may be granted.
III. STANDARD OF REVIEW
In considering a Rule 12(b)(6) motion to dismiss, this Court is limited to evaluating whether a plaintiffs complaint sets forth allegations sufficient to make out the elements of a cause of action.
Windsor v. The Tennessean,
IV. LAW AND ANALYSIS
Defendants move to dismiss the complaint under Fed.R.Civ.P. 12(b)(6) on four grounds: (1) sovereign immunity bars some of Plaintiffs claims; (2) Plaintiff waived his § 1983 claims for money damages in federal court by filing a defamation action in the Court of Claims; (3) Defendants are entitled to qualified immunity with regard to Plaintiffs § 1983 claims for money damages; and (4) Plaintiffs claims for equitable relief fail to allege a due process violation upon which relief can be granted.
A. SOVEREIGN IMMUNITY
Sovereign immunity, derived from the Eleventh Amendment
1
and flowing by “implication from the nature of sovereignty itself,”
Keifer & Keifer v. Reconstruction Fin. Corp.,
1. Official Capacity
First, sovereign immunity “does not apply if the lawsuit is filed against a state official for purely injunctive relief enjoining the official from violating federal law.”
Ernst v. Rising,
Neither party disputes that Ohio University is a state instrumentality and therefore entitled to sovereign immunity.
See McIntosh v. University of Cincinnati,
But
Ex parte Young
does not apply to claims for retrospective relief against Defendants in their official capacities.
Verizon Maryland, Inc. v. Public Service Commission of Maryland,
2. Individual Capacity
Plaintiffs claims for retroactive relief against Defendants in their individual capacities are for the most part welcome. Where “relief is sought under general law from wrongful acts of state officials, the sovereign’s immunity ... does not extend to wrongful individual action, and the citizen is allowed a remedy against the wrongdoer personally.”
Ford Motor Co. v. Dep’t of Treasury of State of Indiana,
But the Eleventh Amendment precludes Plaintiffs claims against Defendants for back pay and fringe benefits. The Eleventh Amendment “bars a suit against state officials when ‘the state is the real, substantial party in interest.’ ”
Pennhurst,
In sum, sovereign immunity bars all but Plaintiffs claim for prospective equitable relief against Defendants in their official capacities and Plaintiffs § 1983 claims for money damages against Defendants in the individual capacities, excluding back pay and fringe benefits.
B. WAIVER
Defendants contend that Plaintiff waived his § 1983 claims in federal court by concurrently bringing a defamation action against Ohio University in the Court of Claims. In
Leaman v. Ohio Dep’t of Mental Retardation & Dev. Disabilities,
Except in the case of a civil action filed by the state, filing a civil action in the court of claims results in complete waiver of any cause of action, based on the same act or omission, which the filing party has against any officer or employee, as defined in section 109.36 of the Revised Code
(Emphasis added).
The Ohio legislature, in passing the O.C.C.A., waived the state’s sovereign immunity so long as plaintiffs litigated in a state forum.
Portis v. Ohio,
Defendants contend that Plaintiff waived his § 1983 claims against Dean Irwin and Provost Krendl by filing a defamation action against Ohio University in the Court of Claims. Defendants argue that Plaintiffs § 1983 and defamation actions arise from the disciplinary action imposed on Plaintiff as a result of plagiarism in the Department of Mechanical Engineering. Defendants aver that Ohio University’s decision to suspend Plaintiff from Graduate Faculty status, deprive him of a name-clearing hearing, and allegedly defame him at a press-conference are sufficiently related under O.R.C. § 2743.02(A)(1) to preclude Plaintiffs § 1983 claims in federal court.
Defendants rely on
Thomson v. Harmony,
The Sixth Circuit held that both the federal lawsuit and the action filed in the Ohio Court of Claims were based on the same acts. Id., at 1320. While “recognizing that his different complaints allege distinct causes of action, both derive out of the same acts or omission surrounding the discharge of Thomson and his loss of funding.” Id., at 1319. The same “acts of retaliation by the defendants form the basis of his state court causes of action for defamation” as well as Thomson’s § 1983 claim. Id. The Court considered it irrelevant whether the state and federal actions “share the same legal or theoretical foundation.” Id. Thus, pursuant to O.R.C. § 2743.02(A)(1), the Sixth Circuit found that Thomson waived his claims in federal court. Id. Defendants contend that in this case, Plaintiffs § 1983 claims and his defamation action similarly derive from Plaintiffs punishment.
But this case is sufficiently distinguishable from Thomson. Plaintiffs § 1983 claims arise from two alleged deprivations of due process: (1) Defendants’ suspension of Plaintiffs Graduate Faculty Status without notice and opportunity to be heard; and (2) Defendants’ denial of a name-clearing opportunity. By contrast, Plaintiffs defamation claim arises from the University’s publication of the Meyer/Bloemer report.
Plaintiffs § 1983 claims do not rely on the University’s decision to publish the Meyer/Bloemer report and would exist independently of this allegedly defamatory act. The same is true vice versa: Plaintiff would present a cognizable defamation claim regardless of whether the University suspended his Graduate Faculty status or denied him a name-clearing opportunity. Admittedly, both the state and federal actions arise from the same chain of events. But the statute is unambiguous. The O.C.C.A. only bars claims “based on the same act or omission.” O.R.C. § 2743.02(A)(1). The statute does not refer to ‘series of acts or omissions.’ Federal claims arising from a related chain of events, but not the same act, are permitted under the O.C.C.A. Therefore, the Court finds that Plaintiff did not waive his § 1983 claims against Defendants by filing a defamation against the state in the Court of Claims.
C. QUALIFIED IMMUNITY
Qualified immunity, or “good faith” immunity, is an affirmative defense that a defendant state official may raise.
Siegert v. Gilley,
The Court must conduct a two step analysis in resolving qualified immunity claims on a motion to dismiss.
See Wilson v.
1. § 1983 Claim for Suspension of Graduate Faculty Status Without Due Process of Law
To assert a valid § 1983 claim, Plaintiff must “demonstrate that (1) plaintiff was deprived of a right secured by the Constitution or laws of the United States and that (2) the deprivation was caused by someone acting under the color of state law.”
Rodgers v. Banks,
The Due Process Clause of the Fourteenth Amendment provides that “no State shall ... deprive any person of life, liberty, or property, without due process of law.” U.S. Const. amend. XIV. A due process inquiry requires two steps. First, the Court must determine whether Plaintiff has been deprived of a protected interest in property or liberty.
Bd. of Curators v. Horowitz,
The Constitution does not create property interests.
Bd. of Regents v. Roth,
While the existence of a constitutionally protected property interest is highly contextual, there are certain minimum requirements:
[t]o have a property interest in a benefit, a person clearly must have more than an abstract need or desire for it. He must have more than a unilateral expectation of it. He must, instead, have a legitimate claim of entitlement to it. It is a purpose of the ancient institution of property to protect those claims upon which people rely in their daily lives, reliance that must not be arbitrarily undermined.
Roth,
State law, contract, or a promise implied from circumstances, are generally sufficient to create a property interest protected by due process.
See e.g., Loudermill,
Plaintiff concedes that neither state law nor contract entitles him to Graduate Faculty status. Instead, he implies a “legitimate claim of entitlement” from circumstances.
Roth,
a. Indispensable Condition
Plaintiff contends that Graduate Faculty status is a
sine qua non
of employment as a tenured professor of mechanical engineering. Graduate Faculty status authorizes professors at Ohio University to advise graduate student and to evaluate their theses submitted for masters or doctoral degrees. Plaintiff alleges that a professor in his position performs most of his research through the assistance of graduate students. Without Graduate Faculty status, Plaintiff avers that graduate students will not work in his laboratory. As a result, Plaintiff concludes that his suspension hamstrings his ability to perform research and meet his grant obligations. Unable to obtain grants or sponsors for research, Plaintiff alleges that he will be unable to secure a reduced teaching load, further impeding his research. Thus, Plaintiff concludes that Graduate Faculty status is an indispensable condition of his contractually and stat
Plaintiff offers
Newman v. Com. of Mass.,
In
Loudermill,
In
Jackson,
the City of Columbus, notified of serious allegations of misconduct against police chief Jackson, reassigned him to his residence pending investigation.
Jackson had a stronger claim to a property interest than Plaintiff. Unlike Plaintiff, the city banished Jackson from his office.
Id.
Unlike Plaintiff, the City reassigned Jackson to a location that precluded him from enjoying his contractually protected position as police chief.
Id.
Unlike Plaintiff, Jackson could not perform the bulk of his duties. Unlike Plaintiff, Jackson could not speak to the media. In this case, Defendants did not terminate Plaintiff, strip his tenure, nor cut his compensation.
4
Defendants did not revoke Plain
Crucially, Defendants did not prohibit Plaintiff from enlisting graduate research assistants. Plaintiff complains that graduate students will elect not to work in his laboratory because he would be unable to advise them on their theses. But Plaintiff concedes that this deprivation is both hypothetical and incidental to the suspension. The indirect nature of a benefit was fatal to the construction of a constitutionally protected property interest in
Town of Castle Rock, Colo. v. Gonzales,
In
Castle Rock,
the Court found that an “individual’s entitlement to enforcement of a restraining order could [not] constitute a property interest for the purposes of the Due Process Clause.”
Plaintiffs deprivation is similarly incidental to the suspension of Graduate Faculty status. Plaintiff argues that Graduate Faculty status is indispensable to his position because without it, students will avoid his laboratory and he will be unable to conduct research and obtain grants. In effect, Plaintiff argues that Graduate Faculty status confers an entitlement to graduate research assistants. But Defendants neither barred Plaintiff from hiring research assistants nor prohibited graduate students from working in Plaintiffs laboratory. Just as in Castle Rock and O’Bannon, Plaintiffs deprivation is an indirect result of his suspension. If Defendants had barred Plaintiff from enlisting graduate students, the inquiry might be different. Since Plaintiffs deprivation is an indirect result of his suspension, and Graduate Faculty status is not sufficiently Indispensable to his professorship to implicate due process, the Court does not construe a property interest in Graduate Faculty status.
b. Discretionary Entitlement
Plaintiff also argues that he has a property interest in Graduate Faculty status
1. Ph.D. in an appropriate engineering field or related area;
2. Group 1 faculty status at Ohio University;
3. Having taught at least one year of advanced undergraduate or graduate level courses within the five years immediately preceding nomination for appointment; and
4. Having demonstrated currency in the nominee’s field of specialization through publication of at least five technical/professional journal or refereed conference papers, textbooks or monographs within the five years immediately preceding nomination for appointment; or having served as Principle or Co-Principle investigator on externally funded activity.
(emphasis added). Plaintiff currently meets the criteria, as he did at the time of his suspension.
The Supreme Court has established that “specified substantive predicates” may be sufficient to limit discretion and thus create a property interest in the expected benefits.
Kentucky Dep’t of Corrections v. Thompson,
But the
Thompson
court noted that for “specified substantive predicates to limit discretion,” they must be accompanied by “explicitly mandatory language” in order to create a protected interest.
Id.
To cabin discretion and create a property interest, the criteria must contain “specific directives to the decision maker that if the regulations’ substantive predicates are present, a particular outcome
must
follow----”
Id.
(emphasis added);
see also Hewitt v. Helms,
Thompson
undermines Plaintiffs claim. The Graduate Faculty criteria, while specifying the qualifications for appointment, do not contain any language restricting or eliminating Defendants’ discretion. Absent from the criteria is the “explicitly mandatory language” or a specific directive to Defendants that if the criteria are met, the faculty member
must
be appointed to the Graduate Faculty.
Thompson,
Neither is it dispositive that, to Plaintiffs knowledge, Defendants have never denied Graduate Faculty status to a professor who met the criteria. The fact that discretion is dormant is not proof that it is absent. In fact, discretion could be reserved for just such a situation as Plaintiff
Plaintiff also argues that Ohio University’s custom is not to suspend faculty members who meet the criteria. In
Perry v. Sindermann,
But Perry is inapposite. In Perry, the regulations restrained discretion, effectively prohibiting dismissal without cause. Here, the guidelines merely set the criteria for attaining a benefit. In this case, there is no similar language prohibiting revocation of Graduate Faculty status without cause. As discussed above, the terms ‘nomination’ and ‘appointment’ suggest discretion. If Defendants had discretion in appointing the benefit, absent any further regulation, they certainly had discretion to revoke it.
In sum, Graduate Faculty status does not constitute a constitutionally protected property interest. Neither contract, state law, nor state statute entitle Plaintiff to the benefit. The circumstances presented are insufficient to create a property interest. Plaintiffs Graduate Faculty status is not an indispensable condition of his professorship. The Sixth Circuit has found that more severe suspensions fall short of implicating due process.
See Jackson,
2. § 1983 Claim for Denial of a Name-Clearing Opportunity
Plaintiff also brings a § 1983 claim alleging that Defendants denied him
To prevail, Plaintiff must show that he was entitled to a name-clearing opportunity because Defendants created a false and defamatory impression about him in connection with his suspension.
See Quinn,
The purpose of a “name-clearing hearing is to afford the aggrieved employee an opportunity to be heard to refute the charges disseminated against him.”
Ludwig v. Bd. of Trustees,
At a minimum, due process requires notice and the opportunity to be heard “at a meaningful time and in a meaningful manner.”
Goldberg v. Kelly,
First, although the sanctions against Plaintiff are serious, Defendants did not terminate Plaintiff, cut his compensation, nor strip him of his tenure. Thus, the severity of the punishment militates against an elaborate adversarial proceeding. Second, the risk of error was minimal. Defendants never alleged that Plaintiff intended to commit plagiarism, assisted
Instead, Defendants punished Plaintiff for his failure to act: students flagrantly and repeatedly committed plagiarism in scholarship that Plaintiff had a duty to monitor. It is undisputed that Plaintiff presided over a large number of allegedly tainted theses. Therefore, the only question was whether the students, who Plaintiff was supposed to supervise, committed plagiarism. Plaintiffs testimony is not particularly relevant. Rather, the inquiry is driven by comparing the suspect theses with the works from which the students allegedly plagiarized. Defendants minimized the risk of error by commissioning an independent investigation to evaluate thoroughly the suspect theses.
Moreover, Defendants offered Plaintiff a name-clearing opportunity with sufficient procedural safeguards. Defendants proposed a name-clearing hearing in which Plaintiff would be permitted to produce witnesses, to submit documentary evidence, to testify on his own behalf, and to be represented by counsel. But Plaintiff was not satisfied. He demanded:
• A public name-clearing hearing with notice circulated in same way (and to the same media outlets) that Ohio University publicized the Meyer/Bloemer report.
• The right to cross-examination.
• An impartial moderator.
• A stenographer to record the hearing.
Defendants rejected Plaintiffs demands. As a result, Plaintiff refused to participate in the name-clearing hearing, contending that it did not comport with the minimum due process requirements. This argument has no merit.
Disciplinary hearings against “faculty are not criminal trials, and therefore need not take on many of those formalities.”
Flaim v. Med. College of Ohio,
Second, Plaintiff demanded the right to cross-examination. The Sixth Circuit has stated that the Constitution does not generally confer the right to cross-examination in a school disciplinary proceeding.
Flaim,
Third, Plaintiff demanded an impartial moderator. Until proven otherwise, the Court “must start with the assumption that government employees tasked with performing an adjudicatory or quasi-adjudicatory function will do so fairly and impartially.”
Rosen v. Goetz,
Fourth, Plaintiff demanded that Defendants provide a stenographer. The Sixth Circuit has cautioned that it “is always wise to produce some sort of record of the proceedings, whether it be a transcript or a recording, though a record may not be constitutionally required.”
Flaim,
Ultimately, Defendants offered Plaintiff more than he was due. Defendants were under no obligation to permit Plaintiffs attorney to represent him in the name-clearing hearing.
See Flaim,
The probability is small that additional procedural safeguards would result in a better decision.
See Mathews,
D. EQUITABLE RELIEF
Qualified immunity exists only as to suits for damages, not as to suits for injunctive relief.
See Roberts v. Ward,
V. CONCLUSION
For the foregoing reason, Defendants Motion to Dismiss Plaintiffs Complaint is GRANTED. This disposes of all of Plaintiffs claims before this court.
IT IS SO ORDERED.
Notes
. The Eleventh Amendment to the United States Constitution provides:
The Judicial Power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any foreign state.
. Commentators describe this approach as the 'positivist' method for defining property, “meaning that non-constitutional law establishes the terms and conditions under which individuals may acquire interests in property protected by the Due Process Clause.” Thomas W. Merrill, The Landscape of Constitutional Property, 86 Va. L.Rev. 885, 920 (2000).
. Plaintiff concedes that he voluntarily resigned as Chair of the Department of Mechanical Engineering.
. Plaintiff's alleges indirect financial consequences arising from his suspension from Graduate Faculty Status. He contends that his suspension may prevent him from obtaining a summer research stipend, and might lead to a denial of merit pay raise. The Seventh Circuit has recognized that “suspension from a tenured position might produce indirect economic effects that trigger the protection of the Due Process Clause.”
Luellen v. City of Chicago,
Here, neither of Plaintiff's alleged financial harms has come to pass. The anticipation of possible but as yet unrealized pecuniary harm, self-evidently an indirect consequence
. Plaintiff also alleges that his suspension amounted to constructive discharge. Plaintiff cites a Title VII case,
Pennsylvania State Police v. Suders,
. The Court does not reach the question of whether the post-deprivation procedures, which Defendant offered but Plaintiff rejected, would be sufficient to satisfy due process.
. Even if the Court found that Graduate Faculty status constitutes a protected property interest, this interest is not clearly established. The Supreme Court has noted that it "has not had occasion to decide whether the protections of the Due Process Clause extend to discipline of tenured public employees short of termination.”
Gilbert v. Homar,
. The
Mathews
factors require the Court to consider: "[flirst, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government’s interest.”
. Plaintiff contends Defendants denied him a public hearing. But according to Plaintiff's Exhibit C, Defendants conceded that "Dr. Gunasekera may bring anyone he wishes to the meeting, providing we plan to stay within 1:00-2:00 PM time frame, and Ohio University cannot 'compel' the attendance of anyone.” (Emphasis added). Ultimately, the dispute is immaterial because Plaintiff was not entitled a public hearing.
