Ronald MORTON
v.
Hоward L. BEYER, in his capacity as Administrator of Trenton
State Prison, and New Jersey Department of Corrections.
Appeal of Howard BEYER, William Fauver and New Jersey
Department of Corrections, Appellants.
No. 86-5499.
United States Court of Appeals,
Third Circuit.
Argued Feb. 10, 1987.
Decided June 24, 1987.
As Amended July 2, 1987.
Lewis A. Scheindlin (argued), Deputy Atty. Gen., Trenton, N.J., for appellants.
Robert B. Reed (argued), Reed, Strauss and Tauriello, Flemington, N.J., for appellee.
Before HIGGINBOTHAM and STAPLETON, Circuit Judges, and CONABOY, District Judge.*
OPINION OF THE COURT
A. LEON HIGGINBOTHAM, Jr., Circuit Judge.
This appeal arises from the order of the district court granting plaintiff-appellee Ronald Morton's application for a preliminary injunction seeking reinstatement and back pay or, alternatively, back pay and suspension with pay pending a final post-termination hearing. Based primarily on its determination that Morton was afforded a procedurally deficient pretermination hearing in contravention of Cleveland Bd. of Eduс. v. Loudermill,
I.
On June 19, 1986, appellee Morton filed a complaint pursuant to 42 U.S.C. Sec. 1983 (1982), against Howard Beyer, Administrator of the New Jersey State Prison, William Fauver, Commissioner of the New Jersey Department of Corrections, John Doe, and the New Jersey Department of Corrections, аlleging that appellants violated and conspired to violate his rights guaranteed by the due process and equal protection clauses of the fourteenth amendment. Prior to the institution of this action, Morton was actively employed by the New Jersey Department of Corrections as a corrections sergeant at Trenton State Prison. As a corrections sergeant, Morton was responsible for the care and custody of prison inmates as well as the supervision of fellow corrections officers. The instant action arose from Morton's suspension without pay on the ground that he had physically abused an inmate without cause and had attempted to cover-up his involvement in the incident.
Morton's suspension stemmed from a complaint filed on September 25, 1985, by an inmate named Olsen charging that Morton and two other corrections officers entered his cell and assaulted him with a baton. On the day of the alleged assault, Morton was interviewed by an investigator from the prison's Office of Internal Affairs. After being advised of his Miranda rights, Morton issued a written statement concerning his encounter with inmate Olsen in which he maintained that "at no time was [Olsen] harmed or injured by me or any staff member." Appendix ("App.") at 15a. An investigation of the incident ensued and was substantially complete by October 26, 1985. The decision to take disciplinаry action against Morton was not made, however, until on or around March 26, 1986. See App. at 158a. On that date, as he arrived for his scheduled shift, Morton was approached by a fellow corrections officer who handed him an envelope from appellant Beyer. The envelope contained a brief memorandum, the text of which read: "This is to advise you that you are suspended from duty effective immediately. You are hereby ordered to report to my office on Thursday, March 27, 1986, at 9 a.m. sharp." See App. at 159a.
On the morning of March 27, Morton arrived at Beyer's office accompanied by his union representative, John Adams. Beyer advised Morton that he anticipated bringing charges against him for the September 26, 1985 incident. Beyer further indicated that the meeting was intended to provide Morton with a hearing. Beyer supplied Morton with a packet of materials, consisting of the various investigative reports of the incident, for his review and comment. Upon the advice of his union representative, Morton categorically denied any wrongdoing but declined to offer his version of the incident. Beyer then informed Morton that he was suspended without pay. Adams objected to the suspension, arguing that under Loudermill any suspension should be with pay. See App. at 126a. After a brief recess, during which Beyer discussed Morton's case with Assistant Superintendent Anthony Turner, Beyer again informed Morton that he was suspended without pay pending the outcome of the investigation. According to Morton, the meeting--including the recess--lasted approximately ten minutes. App. at 115a.
A written report summarizing the meeting, entitled "LOUDERMILL HEARING, Ronald Morton, Correctional Sergeant," was prepared and given to Morton at the close of the meeting. App. at 154a-156a; see also App. at 98a (text of the written report). In addition, a memorandum from Beyer dated March 27, 1986, further advised Morton that his "conduct on September 26, 1985 was unbecoming [of] an employee in public office." App. at 97a. Specifically, the memorandum informed Morton that "the [pending] investigation reveals that you physically abused an inmate without cause and were involved in a conspiracy to cover-up your involvement." Id. Finally, on April 9, 1986, the Trenton State Prison served Morton with a Preliminary Notice of Disciplinary Action which specifically summarized the allegations leveled against Morton, including names and dates.
Pursuant to N.J.Admin.Code. tit. 4, Sec. 1-5.1(a) (Supp.1986),1 Morton requested a departmental hearing on the charges and the hearing was scheduled for June 30, 1986.2 Prior to that hearing, on June 27, 1986, Morton filed his Sec. 1983 complaint and order to show cause before the district court. On July 9, 1986, after two days of argument, the district court issued the preliminary injunction that is the subject of this appeal.
II.
"We have consistently held that our review of the grant or denial of preliminary injunctions is limited to determining whether there has been an abuse of discretion, an error of law, or a clear mistake in the consideration of the proof." Moteles v. University of Pennsylvania,
A. Likelihood of Success on the Merits
In Cleveland Bd. of Educ. v. Loudermill,
After hearing testimony from the four individuals who were present at Morton's March 27 "Loudermill " hearing--Beyer, Assistant Superintendent Turner, union representative Adams, and Morton--the district court issued an oral opinion that the pretermination hearing did not meet the requirements of Loudermill. In making its determination, the district court held that Loudermill requires "meaningful notice" of the charges brought against the employee, App. аt 183a, and concluded that such notice was not provided in this case where Morton was not advised prior to the commencement of the hearing of the specific charges being brought against him or that a Loudermill hearing was being held to explore these charges. Id. The district court further held that Loudermill requires notice to the employee of the adverse evidence that will be presented at the hearing "so that the employee has the opportunity to meet that evidence, or to marshal other evidence which he believes the hearing officer should be in possession of...." Id. Moreover, the district court indicated that notice is inadеquate where an employee is deprived of an opportunity to obtain a lawyer, if he desires, instead of a union representative, to attend the hearing. Id. at 184a. The district court expressly noted its recognition that the hearing need not be a "full-blown trial ... but [declared that] it must have more than superficial adherence to the rituals and requirements of Loudermill." Id. Finally, the court concluded that the "hearing [Morton received] ... was in no way commen[su]rate with the gravity of the sanction" to be imposed upon him, and thus contravened the command of Loudermill. Id.
Appellants argue that the district court's interpretation of Loudermill constitutes an impermissible expansion of the procedural due process safeguards set forth by the Supreme Court. Under the district court's view, appellants maintain, an employer would be required to afford an employee "the type of formal procedure that should be part of the post-termination process but is not required before discharge." Brief on Behalf of Defendants-Appellants at 23. Appellants contend that Loudermill, properly construed, was complied with on the facts of this case. In particular, appellants argue that the Loudermill Court "clearly indicated that due process does not require notice to the employee prior to the commencement of the hearing...." Id. at 23. Moreover, appellants assert that this Court's recent decision in Gniotek v. City of Philadelphia,
Although the sequence of events is not crystal clear, the record reflects that shortly after the commencement of the meeting, Beyer advised Morton that disciplinary action was being considerеd in connection with Morton's alleged involvement in an incident of inmate abuse on September 26, 1985. There is no evidence that Beyer indicated who the inmate was or otherwise informed Morton of the specific events alleged to have transpired on the referenced date. Beyer did, however, provide Morton with copies of the investigative reports surrounding the incident and gave him an opportunity to respond. Upon advice from Adams, Morton declined comment beyond a general denial of any wrongdoing. Appellants emphasize Morton's testimony that, although no limitation was imposed on the time he had to examine the documents, he only "lеafed through" the materials and acquired "some idea of what it was about." App. at 109a. In sum, appellants insist that Morton had both notice of the charges against him and the opportunity to present his side of the story to demonstrate to Administrator Beyer that reasonable grounds did not exist to support the charges against him. Appellants urge this Court not to allow Morton's silence to obscure the adequacy of the opportunity provided to him. Before reaching the issue of Morton's opportunity to respond, however, we must first determine what constitutes sufficient notice under Loudermill and whether Morton was afforded such notice under the circumstances of this case.
In Goss v. Lopez,
Here, the issue of the sufficiency of the notice is intertwined with the timeliness inquiry. Approximately six months had elapsed between the time of the alleged incident and Morton's suspension. The initial memorandum served upon Morton on March 26 offered no explanation for his suspension from duty. Although Morton testified that he was aware that an internal affairs investigation was initiated within a couple of days of the alleged incident between himself and Olsen, there is no indication that he had reason to know that the investigation was ongoing some six months later.6 Nor was Beyer's vague reference on the morning of the hearing to a date and a general allegation of inmate abuse sufficient to provide Morton with effective notice of the particular incident or the specific charges to which he should respond.
Appellants seem to suggest, however, that Beyer's provision of copies of the investigative reports to Morton remedies any defect in the notice. In that regard, appellants assert that Morton was given a full opportunity to review the evidence, that no limitation was placed on the time he had to examine the documents, that Morton did not request additional time to review the evidence, that he rejected his opportunity to respond, and that therefore he should not be heard to complain about the adequacy of his hearing.7 We disagree. Interpreting the due process requirements articulated in Loudermill and Arnett v. Kennedy,8
Gniotek is distinguishable from the instant action. In Gniotek, several police officers were identified in federal court testimony as the recipients of bribes. The following day, each officer was summoned to the commanding officer's office and informed of both the testimony and the criminal investigations that had been initiated against them. The officers were given Miranda warnings and аsked whether they wished to make a statement. Upon advice of counsel, each declined comment. We held that adequate notice was provided to the officers notwithstanding their choice to remain silent. See
B. Irreparable Harm
The district court's order granting appellee's motion for injunctive relief must nonetheless be reversed. Although Morton sustained his burden of demonstrating a likelihood of success on the merits, he failed to establish that irreparable injury would result if relief were denied. "[A] failure to show a likelihood of success оr a failure to demonstrate irreparable injury must necessarily result in the denial of a preliminary injunction." In Re Arthur Treacher's Franchisee Litigation,
During the hearing on Morton's application for preliminary injunction, Morton testified as follows:
Well, I have myself, I have two sons, my older son is in, goes down to the University of Virginia. I have car payment, mortgage, insurance, you know, everything that most people have, in the course of a day. I have charges at Bamberger's and Penney's, different stores.
I have a loan, two loans, I have one at the Capitol Bank, one with the Chase Manhattan for my son. I guess in the everyday, you know, the everyday expenses that everybody has, fоod, utilities.
App. at 112a. Based on this testimony, the district court found "that there is unquestionably irreparable harm present in this case." Id. at 184a. The court reasoned that "for someone who lives, in effect, on his salary," deprivation of that salary would be "economically irreparable and c[ould] not be cured by giving the money back at a subsequent date."12 Id. at 185a.
The claimed injury testified to by Morton is purely economic in nature and thus compensable in money. This Court has recognized that "the fact that the payment of monies is involved does not automatically preclude a finding of irreparable injury," United Steelworkers of Am. v. Fort Pitt Steel Casting,
an insufficiency of savings or difficulties in immediately obtaining other employment--external factors common to most discharged employees and not attributable to any unusual actions relating to the discharge itself--will not support a finding of irreparable injury, however severely they may аffect a particular individual.
Sampson v. Murray,
Morton's testimony simply does not establish the type of injury necessary to invoke the injunctive power of the federal courts for interim relief. Nor has Morton argued before this Court the existence of any extraordinary circumstances or otherwise presented support for the district court's finding of irreparable harm.13 Indeed, the case law of this Circuit weighs heavily against sustaining a finding of irreparable injury. See, e.g., Moteles,
Notes
Honorable Richard P. Conaboy, United States District Judge for the Middle District of Pennsylvania, sitting by designation
N.J.Admin.Code. tit. 4, Sec. 1-5.1(a) (Supp.1986) provides that employees served with a Preliminary Notice of Disciplinary Action "may request a departmental hearing within 10 days of receipt of the Notice." Id. at Sec. 1-5.1(a)(1). "[S]uch hearing shall be held within 30 days of the request unless adjourned by consent of the parties or stayed pending a criminal complaint or indictment...." Id. at Sec. 1-5.1(a)(3)
Although not a part of the record on appeal, this Court has been advised that the departmental hearing was held as scheduled and that, at the conclusion of the hearing, the hearing officer sustained the charges and Morton was discharged. Morton has appealed for de novo review of this decision to the Civil Service Commission. See Brief on Behalf of Defendants-Appellants at 8 n. *
In addition to the two above noted preconditions, "the district court 'should take into account, when they are rеlevant, (3) the possibility of harm to other interested persons from the grant or denial of the injunction, and (4) the public interest.' " Oburn v. Shapp,
It is undisputed that Morton is a public employee and that he has a constitutionally protected property interest in his continued employment
Appellee Morton repeatedly suggests that the focal point of our inquiry into whether a Loudermill violation occurred must be on his suspension on the evening of March 26, 1987. See Brief on Behalf of Plaintiff-Appellee at 6-7, 8-9, 11. In this regard, Morton argues, in effect, that under Loudermill, he was entitled to "some kind of a hearing" prior to the March 26 suspension. Morton maintains that "the record shows that [hе instead] was suspended prior to any hearing and before receiving any notice of the charges against him." Id. at 7. Morton concludes that the March 27 meeting in Beyer's office "was not a 'hearing' at all, but rather a transparent attempt by [Beyer] to satisfy ... the requirements of Loudermill." Id. at 8
The record does not bear out Morton's contention. In Loudermill, the Supreme Court expressly recognized a governmental interest in the prompt removal of unsatisfactory employees. See
In addition, Morton testified that in January 1986, he was transferred from his regular first shift assignment to the third shift. At that time, according to Morton, Beyer advised him that the shift change was necessary "because of the different incidents that [Morton] had been involved in." App. at 105a. Morton further testified that Beyer warned him that "because of the things you have been involved in, sooner or later the hammer is going to fall...." Id. Beyer did not sрecify, however, that the allegations made by Olsen constituted the primary basis for either the shift change or his apparent prediction that Morton would face reprisals--whether official or unofficial--sometime in the future. Id. at 106a. Thus, we cannot conclude with confidence that Morton was on notice that the Olsen incident underlay his March 26 suspension or the scheduling of the March 27 meeting
The cases appellants cite in support of their argument that Morton was provided an adequate Loudermill hearing are inapposite on these facts. See Riggins v. Board of Regents, Univ. of Nebraska,
Arnett involved a challenge by a former federal employee to the procedures by which he was dismissed. Although those procedures did not provide for a full evidentiary hearing prior to discharge, the majority of the Supreme Court found that those procedures satisfied the constitutional minima where the employee was afforded advance notice of the reasons for the discharge, an opportunity to respond orally and in writing, and an adequate post-termination hearing
In Gniotek, we rejected the appellants's arguments that (1) because their responses in the pretermination hearing could have been used against them in a later criminal action, they were deprived of a meaningful opportunity to respond, and (2) that their privilege against self-incrimination was unconstitutionally burdened because they were forced to choose between asserting the privilege and responding to the charges against them
This is not to say, of course, that simultaneous notice of the nature of the charges and the substance of the supporting evidence will never satisfy the demands of due process. To the contrary, simultaneous notice, under the appropriate circumstances, may well be all that is constitutionally required. Where, as here, however, the initial notice of the nature of the charges is itself ineffective, the employer's responsibility to inform the employee of the basis for the proposed disciplinary action may not be shifted to the employee by supplying him with a bulk of materials to determine for himself the nature of the charges against him. Morton was not specifically apprised of the nature of the charges against him. Placing the burden on Morton of determining the reasоn for the March 27 meeting and the basis for the proposed disciplinary action against him is inconsistent with Loudermill
In affirming the conclusion of the district court that Morton likely received an inadequate Loudermill hearing, we emphasize that we simply hold that, on the facts of this case, prior notice of the nature of the charges against Morton was required. Particularly in light of the significant lapse in time between the alleged improper conduct and the hearing in Beyer's office, Morton should have been provided sufficient time, at the very least, to recount the facts in his own mind and thus to prepare himself to demonstrate to Beyer that reasonable grounds to bеlieve that the charges were true did not exist. Whether, as the district court intimated, advance notice was required to enable Morton to ensure the attendance of a lawyer if he so desired would depend on Morton's right to have an attorney present at the hearing. That determination involves independent legal inquiries that are not raised in this appeal
The district court also noted its concern that "it would be some time before this entire matter was disposed of down the road somewhere, when [Morton] would be afforded an opportunity to receive his back pay...." App. at 185a
On appeal, Morton argues that irreparable harm is еstablished by the damage to his name and reputation as a corrections officer as a result of his illegal suspension. In support of this contention, Morton cites this Court's opinion in Fitzgerald v. Mountain Laurel Racing, Inc.,
Although "trust and confidence" may be important, even determinative, factors in Morton's pursuit for employment as a corrections officer, we do not equate the erosion of those factors as the result of a suspension with the suspension of a license. In other words, the licensee in Fitzgerald was potentially barred, not merely impaired, from obtaining еmployment. See id. at 598 ("expelling Fitzgerald from the stall space had the extreme effect of barring him from any activity at the track"). No such extreme deprivation is present here.
We note here parenthetically our concern with the implications of this case on the enforcement of Loudermill. In Loudermill, Justice Marshall was troubled that
it is in no respect certain that a prompt post-deprivation hearing will make the employee economically whole again, and the wrongfully discharged employee will almost inevitably suffer irreparable injury. Even if reinstatement is forthcoming, the same may not be true of back pay ... and the delay in reсeipt of wages would thereby be transformed into a permanent deprivation. Of perhaps equal concern, the personal trauma experienced during the long months in which the employee awaits decision, during which he suffers doubt, humiliation and the loss of an opportunity to perform work, will never be recompensed, and indeed probably could not be with dollars alone.
