Link to original WordPerfect file
How to access the above link?
All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Car
olina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the
print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be consid
ered authoritative.
EDWIN SWAIN, Plaintiff v. CAROLYN ELFLAND, individually and in
her official capacity as an Assistant Vice Chancellor for
Auxiliary Services of the University of North Carolina at Chapel
Hill, JEFFREY McCRACKEN, individually and in his official
capacity as Major in the Police Department of the University of
North Carolina at Chapel Hill, DRAKE MAYNARD, individually and in
his official capacity as Human Resources Administrator for the
University of North Carolina at Chapel Hill, and OTHER UNKNOWN
UNIVERSITY OFFICIALS, and the UNIVERSITY OF NORTH CAROLINA AT
CHAPEL HILL, Defendants
No. COA00-258
(Filed 7August 2001)
1. Employer and Employee--wrongful discharge--retaliation--
conjecture
The trial court did not err by granting summary judgment for
defendants on wrongful discharge and conspiracy claims by a UNC
police officer who issued an underage drinking citation to the
daughter of a University trustee. Plaintiff presented nothing
more than conjecture to support his allegations of retaliation
and there was no evidence of any agreement to unlawfully
discharge plaintiff.
2. Public Officers and Employees--whistleblower claim--failure
to exhaust administrative remedies
The trial court did not err by dismissing a UNC police
officer's whistleblower claim for failure to exhaust
administrative remedies where there was no question that he had
unsuccessfully exercised his right to seek relief from the State
Personnel Commission under N.C.G.S. § 126-34.1(a)(7) and did not
seek judicial review. Although plaintiff contends that he could
maintain an administrative action under N.C.G.S. § 126-34.1(a)
(7) and an action in superior court under 126-85, the only
reasonable interpretation of these statutes is that a state
employee may choose to pursue a whistleblower claim in either
forum, but not both. Moreover, plaintiff did not include the
required allegations that exhaustion of his administrative remedy
would be futile, and, even if the two statutory provisions are
assumed to be in para materia, N.C.G.S. § 126-34.1(a)(7) controls
as the more recent enactment.
3. Constitutional Law--free speech--official capacities--
adequate state remedy
A dismissed UNC police officer's state constitutional claim
was properly dismissed where plaintiff brought a claim for
alleged constitutional violations against defendants in their
official capacities and had an adequate state remedy available to
him.
Appeal by plaintiff from order entered 13 December 1999 byJudge James C. Davis in Orange Co
unty Superior Court. Heard in the
Court of Appeals 22 January 2001.
McSurely & Osment, by Alan McSurely and Ashley Osment, for
plaintiff appellant.
Attorney General Michael F. Easley, by Senior Deputy Attorney
General Ann Reed, Assistant Attorneys General Bruce S.
Ambrose, and Richard E. Slipsky, for defendant appellees.
SMITH, Judge.
The plaintiff, Lt. Edwin Swain, Jr., is employed as a police
officer at the University of North Carolina at Chapel Hill. On 27
September 1997, plaintiff was assigned to an "Interdiction and
Arrest" team at a football game at Kenan Stadium. The primary
purpose of the team was to enforce the alcohol laws.
After the game, plaintiff observed a young woman, Caroline
Hancock, holding what appeared to be a malt beverage. When
plaintiff approached Hancock, a member of Hancock's party alerted
her to plaintiff's presence. Hancock took the bottle and placed it
in the back of a truck. Plaintiff told Hancock he saw her in
possession of a malt beverage, asked her if it was a beer, and she
replied affirmatively. Plaintiff then requested Hancock's driver's
license, which listed her age as eighteen years old. Plaintiff
proceeded to write her a citation for underage drinking. Soon
thereafter, Hancock's father approached, and plaintiff informed him
that he was citing Hancock. Hancock's father, Billy Armfield, was
a member of the University Board of Trustees. Armfield asked
plaintiff not to issue the citation, but plaintiff declined the
request. Plaintiff then left and headed back to the policedepartment.
After the game, Armfield protested his daughter's citation to
University officials. Plaintiff's superior, Major Jeffrey
McCracken, later communicated to plaintiff that there were
questions regarding plaintiff's probable cause to issue the
citation. On 29 September 1997, plaintiff reported for duty and
entered Hancock's citation into the computer. According to
plaintiff, Major McCracken ordered him to turn over the copies of
the citation to him, and tried to persuade him to withdraw the
citation. The citation was later pulled from a stack of citations
ready for transfer to a magistrate.
Plaintiff accused his superiors of obstruction of justice and
refused to cooperate with them. On 31 September 1997, the citation
was returned to the "judicial stream" and forwarded to the
magistrate. Soon thereafter, plaintiff reported the alleged
"coverup" to the media, and several news accounts appeared in the
press. Plaintiff later filed a grievance to protest his
supervisor's decisions, and requested an investigation into what he
believed was improper police procedures and obstruction of justice.
Plaintiff's grievances were denied.
On 30 October 1997, Major McCracken received information that
plaintiff, while on duty, had visited the offices of the Chapel
Hill News. Plaintiff was seen there between the hours of noon and
2:00 p.m., and he was not there on official UNC-CH business. Major
McCracken later confirmed this information with Anne England, an
employee at the newspaper. Plaintiff had not informed his
dispatcher of his location during this time period. MajorMcCracken did not immediately confront plaintiff with this
information and instead decided to wait and see whether plaintiff
claimed the time as personal time on his timecard.
After plaintiff submitted his timecard, Major McCracken asked
him about the time he spent at the newspaper on 30 October 1997.
Plaintiff had not claimed the time as personal leave. Plaintiff's
reply was "interesting" without further elaboration. Major
McCracken then gave plaintiff the opportunity to change his
timecard, but plaintiff refused. A pre-disciplinary conference was
held on 17 November 1997, and plaintiff declined to provide any
explanation for his timecard. On 19 November 1997, Major McCracken
fired plaintiff.
Plaintiff filed the instant lawsuit on or about 2 December
1997 alleging: (1) violation of N.C. Gen. Stat. § 126-85 (1999),
the "Whistleblower Act"; (2) wrongful discharge in violation of
public policy and racial discrimination in violation of N.C. Gen.
Stat. § 143-422.2 (1999); (3) violation of his state constitutional
rights to free speech; and (4) a conspiracy by Carolyn Elfland,
Major McCracken, and Drake Maynard to unlawfully discharge
plaintiff from his employment. Shortly after plaintiff filed this
action, his dismissal was rescinded by Chancellor Michael Hooker.
Chancellor Hooker adopted the findings of an independent
investigation which found there was just cause for discipline, but
that dismissal was too harsh a penalty. Plaintiff was reinstated
but suspended for one week without pay.
On or about 23 December 1997, plaintiff filed a petition for
a contested case hearing in the North Carolina Office ofAdministrative Hearings. Plaintiff alleged his suspension was
without cause, and was the result of racial discrimination and
retaliation. A hearing was held on 11-14 May 1998. On 31 July
1998, Judge Fred G. Morrison issued a Recommended Decision
concluding that defendants had just cause to discipline plaintiff
for unacceptable personal conduct, and that plaintiff was not the
victim of illegal discrimination or retaliation. Accordingly, the
suspension of plaintiff without pay for one week was affirmed. On
18 November 1998, the State Personnel Commission upheld the
Recommended Decision. Plaintiff did not appeal.
On 27 October 1999, defendants moved for summary judgment in
the instant case. On 13 December 1999, the trial court granted
summary judgment to defendants. The trial court concluded that:
(1) plaintiff's Whistleblower claim was dismissed due to
plaintiff's failure to exhaust his administrative remedies; (2)
plaintiff's wrongful discharge claim was dismissed due to
plaintiff's failure to exhaust his administrative remedies; (3)
plaintiff's state constitutional claims were dismissed because
plaintiff had an adequate state remedy available, and thus his
claim was lacking an essential element; and (4) summary judgment on
all claims in the complaint was allowed on the ground that there
was no genuine issue of material fact and defendants were entitled
to judgment as a matter of law. Plaintiff appealed.
I.
[1]We first consider whether the trial court erred in
dismissing plaintiff's complaint on summary judgment because there
was no genuine issue as to any material fact. Specifically,plaintiff challenges the trial court's dismissal of his claim of
wrongful discharge, and his allegation that defendants conspired to
unlawfully discharge him.
To establish a cause of action for wrongful discharge or
demotion in violation of his right to freedom of speech, plaintiff
must forecast sufficient evidence "'that the speech complained of
qualified as protected speech or activity'" and "'that such
protected speech or activity was the 'motivating' or 'but for'
cause for his discharge or demotion.'"
Warren v. New Hanover
County Bd. of Education, 104 N.C. App. 522, 525-26, 410 S.E.2d 232,
234 (1991) (quoting
Jurgensen v. Fairfax County, 745 F.2d 868,
877-78 (4th Cir. 1984)). "'[T]he resolution of these two critical
issues is a matter of law and not of fact.'"
Id. See also Evans
v. Cowan, 132 N.C. App. 1, 9, 510 S.E.2d 170, 175 (1999). The only
motivation established by the competent evidence in the case
sub
judice was that plaintiff was dismissed due to the discrepancies in
his timecard and his refusal to either amend his timecard or
provide an explanation for the discrepancies.
Major McCracken, who was plaintiff's supervisor, and made the
decision to dismiss plaintiff, testified that plaintiff's
grievances over the ticket had "nothing to do" with the decision to
dismiss plaintiff. In fact, Major McCracken testified that he took
disciplinary action against plaintiff in spite of the publicity,
not because of it. Major McCracken admitted that plaintiff's
submission of the falsified timecard created a "terrible timing"
problem, but that he "had to act on it." Chancellor Hookertestified that he concluded that plaintiff had violated policies,
and although he believed the punishment of dismissal was too
severe, there was no evidence to support a conclusion that any UNC-
CH official was motivated to retaliate against plaintiff because he
had gone to the newspapers. Chancellor Hooker also stated that the
disciplinary action against plaintiff was in spite of all the
attendant publicity, and not because of it.
"Although evidence of retaliation in a case such as this one
may often be completely circumstantial, the causal nexus between
protected activity and retaliatory discharge must be something more
than speculation."
Lenzer v. Flaherty, 106 N.C. App. 496, 510, 418
S.E.2d 276, 284,
disc. review denied, 332 N.C. 345, 421 S.E.2d 348
(1992). Here, plaintiff presented nothing more than mere conjecture
to support his allegations of retaliation. Accordingly, we conclude
that the trial court properly dismissed plaintiff's retaliatory
discharge claim.
Because plaintiff's underlying claims were properly dismissed,
his allegation that defendants conspired to unlawfully discharge
him must likewise fail. "A claim for conspiracy . . . cannot
succeed without a successful underlying claim . . . ."
Jay Group,
Ltd. v. Glasgow, 139 N.C. App. 595, 599, 534 S.E.2d 233, 236,
disc.
review denied, 353 N.C. 265, 546 S.E.2d 100 (2000).
See Burton v.
Dixon, 259 N.C. 473, 476, 131 S.E.2d 27, 30 (1963) ("A civil action
for conspiracy is an action for damages resulting from acts
committed by one or more of the conspirators pursuant to the formed
conspiracy . . . ."). Assuming
arguendo that plaintiff had succeeded on his
underlying claims, plaintiff has not pointed to any competent
evidence in the record to support his allegations that defendants
conspired to unlawfully discharge him, and our review of the record
discloses no such evidence. This Court has stated:
A civil conspiracy claim consists of:
(1) an agreement between two or more persons;
(2) to do an unlawful act or to do a lawful
act in an unlawful way; (3) which agreement
resulted in injury to the plaintiff. Although
an action for civil conspiracy may be
established by circumstantial evidence,
sufficient evidence of the agreement must
exist "to create more than a suspicion or
conjecture in order to justify submission of
the issue to a jury."
Boyd v. Drum, 129 N.C. App. 586, 592, 501 S.E.2d 91, 96
(1998)
(citations omitted) (quoting
Dickens v. Puryear, 302 N.C. 437, 456,
276 S.E.2d 325, 337 (1981)),
aff'd, 350 N.C. 90, 511 S.E.2d 304
(1999)
. Where such an agreement exists, "'all of the conspirators
are liable, jointly and severally, for the act of any one of them
done in furtherance of the agreement.'"
Johnson v. First Union
Corp., 128 N.C. App. 450, 459, 496 S.E.2d 1, 7 (1998) (quoting
Fox
v. Wilson, 85 N.C. App. 292, 301, 354 S.E.2d 737, 743 (1987)). In
the case at bar, there is no evidence of any agreement among
defendants to unlawfully discharge plaintiff. Carolyn Elfland
testified that she did not make the decision to dismiss plaintiff,
and did not instruct Major McCracken to dismiss him. Elfland was
the Associate Chancellor for Auxiliary Services at the University
and Major McCracken's supervisor. Drake Maynard, Senior Director
of Human Resources, testified that he provided information aboutthe disciplinary process to Elfland and Major McCracken, but played
no role in the decision to dismiss plaintiff. Thus, there is no
evidence that defendants acted in concert to willfully and
intentionally discredit and discharge plaintiff in violation of his
rights, only plaintiff's allegations based on mere suspicion. This
assignment of error is overruled.
II.
[2]We next consider whether the trial court erred in
dismissing plaintiff's "Whistleblower" claim on the ground that
plaintiff failed to exhaust his administrative remedies. Plaintiff
argues that N.C. Gen. Stat. § 126-86 (1999) expressly authorizes
superior court jurisdiction over a state employee's claim of
retaliation for reports of governmental wrongs. Plaintiff asserts
that he chose to sue in superior court pursuant to N.C. Gen. Stat.
126-86, and there is "no exhaustion condition precedent." We are
not persuaded by plaintiff's argument.
Two statutes provide avenues to redress violations of the
Whistleblower statute. N.C. Gen. Stat. § 126-86 states that "[a]ny
State employee injured by a violation of G.S. 126-85 may maintain
an action in superior court . . . ." N.C. Gen. Stat. § 126-
34.1(a)(7) (1999) provides that a State employee may file in the
Office of Administrative Hearings a contested case for "[a]ny
retaliatory personnel action that violates G.S. 126-85." Here,
plaintiff alleged in his petition for a Contested Case Hearing that
he had been retaliated against. Thus, it is without question that
he exercised his right under N.C. Gen. Stat. § 126-34.1(a)(7) to
seek relief from the State Personnel Commission of the allegedviolation of the Whistleblower Act.
Under plaintiff's interpretation of the statutes at issue, he
could maintain an administrative action and an action in superior
court simultaneously. However, this would allow plaintiff two
bites of the apple, could lead to the possibility that different
forums would reach opposite decisions, as well as engender needless
litigation in violation of the principles of collateral estoppel.
See University of Tennessee v. Elliott, 478 U.S. 788, 797, 92
L. Ed. 2d 635, 645 (1986) ("[I]t is sound policy to apply
principles of issue preclusion to the fact-finding of
administrative bodies acting in a judicial capacity."). The only
reasonable interpretation of these statutes is that a state
employee may choose to pursue a Whistleblower claim in either
forum, but not both.
See Hobbs v. Moore County, 267 N.C. 665, 671,
149 S.E.2d 1, 5 (1966) ("If possible, the language of a statute
will be interpreted so as to avoid an absurd consequence. A
statute is never to be construed so as to require an impossibility
if that result can be avoided by another fair and reasonable
construction of its terms.").
Id. (citations omitted).
Plaintiff chose to pursue an administrative action, the
administrative law judge ruled against plaintiff, and plaintiff did
not seek judicial review.
See Huang v. N.C. State University, 107
N.C. App. 710, 715, 421 S.E.2d 812, 815 (1992) ("[T]he policy of
requiring the exhaustion of administrative remedies prior to the
filing of court actions 'does not require merely the initiation of
prescribed administrative procedures, but that they should bepursued to their appropriate conclusion and their final outcome
awaited before seeking judicial intervention . . . .'").
Id.
(quoting 2 Am. Jur. 2d
Administrative Law § 608 (1962)).
Additionally, plaintiff did not allege in his complaint that
exhaustion of his administrative remedy would be futile. "The
burden of showing the inadequacy of the administrative remedy is on
the party claiming the inadequacy, and the party making such a
claim must include such allegation in the complaint."
Id.
(citation omitted). Accordingly, we conclude that plaintiff has
failed to exhaust his administrative remedies for this claim, and
it was properly dismissed.
Even if we were to assume
arguendo that the two provisions in
question here are
in pari materia, but are in irreconcilable
conflict, the provisions of N.C. Gen. Stat. § 126-34.1(a)(7) would
control, because it is the more recent enactment. This Court has
stated:
Statutes
in pari materia, although in apparent
conflict or containing apparent
inconsistencies, should, as far as reasonably
possible, be construed in harmony with each
other so as to give force and effect to each;
but if there is an irreconcilable conflict,
the latest enactment will control, or will be
regarded as an exception to, or qualification
of, the prior statute.
State v. Hutson, 10 N.C. App. 653, 657, 179 S.E.2d 858, 861 (1971);
see also Caudill v. Dellinger, 129 N.C. App. 649, 655, 501 S.E.2d
99, 103 (1998),
aff'd in part, dismissed in part, 350 N.C. 89, 511
S.E.2d 304 (1999). Thus, N.C. Gen. Stat. § 126-34.1(a)(7) would
control and plaintiff's exclusive remedy would be administrative.
III.
[3]We next consider whether the trial court erred in
dismissing plaintiff's state constitutional claim on the grounds
that plaintiff had an adequate state remedy available to him, and
thus, plaintiff was lacking an essential element of his claim.
Plaintiff alleged in his complaint that his discharge "was made to
chill his free speech rights." Plaintiff contended that "[t]he
retaliatory discharge described here violates the public's interest
in free expression to make decisions about public funds and
policies. If this retaliatory discharge is declared
constitutional, it would create a chilling wind against plaintiff,
other police officers, and other employees of this and other public
institutions." Plaintiff then stated he was bringing his claim
directly against defendants, under the North Carolina Constitution,
because no other legal remedy was available to him. We disagree
with plaintiff's arguments.
Plaintiff's complaint seeks a monetary remedy for alleged
state constitutional violations by defendants. "Such a claim is
commonly called a '
Corum claim.'"
Ware v. Fort, 124 N.C. App. 613,
616, 478 S.E.2d 218, 220 (1996).
See Corum v. University of North
Carolina, 330 N.C. 761, 413 S.E.2d 276,
cert. denied sub. nom.
Durham v. Corum, 506 U.S. 985, 616, 121 L. Ed. 2d 431 (1992). To
the extent that plaintiff alleges a
Corum claim against defendants
in their individual capacity, the claim must be dismissed.
See id.
at 789, 413 S.E.2d at 293 (A claim for monetary relief under the
North Carolina Constitution can be brought against a person only intheir official capacity.).
To the extent that plaintiff sued defendants in their official
capacity, we conclude that plaintiff had an adequate state remedy
available to him, and in fact pursued that remedy. Plaintiff
raised his free speech claim at his administrative hearing, both
explicitly and by implication under a "just cause" analysis.
Plaintiff alleged he was disciplined in retaliation for speaking
out on an issue of public concern, in violation of his state
constitutional right to free speech. However, the administrative
law judge concluded that there was just cause for the discipline
against plaintiff, that plaintiff was not a victim of retaliation,
and that plaintiff was not retaliated against for exercising his
right to free speech. The State Personnel Commission adopted the
administrative law judge's decision, and plaintiff did not appeal.
Accordingly, we hold that plaintiff's "
Corum claim" was properly
dismissed by the trial court.
Affirmed.
Chief Judge EAGLES and Judge HUDSON concur.
*** Converted from WordPerfect ***