NO. COA01-1385
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NORTH CAROLINA COURT OF APPEALS
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Filed: 31 December 2002
ALGIE D. TOOMER, JR.,
Plaintiff
v
.
GARLAND GARRETT, JOHN DOE #1, JOHN DOE #2, individually and in
their official capacities, STATE OF NORTH CAROLINA, NORTH CAROLINA
DEPARTMENT OF TRANSPORTATION, NORTH CAROLINA DEPARTMENT OF
CORRECTION,
Defendants.
Appeal by plaintiff from order entered 23 April 2001 by Judge
Narley L. Cashwell in Wake County Superior Court. Heard in the
Court of Appeals 17 September 2002.
The McGuinness Law Firm, by J. Michael McGuinness; and Richard
C. Hendrix, for plaintiff-appellant.
Attorney General Roy Cooper, by Special Deputy Attorney
General Tiare B. Smiley, Assistant Attorney General Neil
Dalton, Assistant Attorney General Sarah Ann Lannom, for the
State.
Moss, Mason & Hill, by William L. Hill, on behalf of Southern
States and North Carolina Police Benevolent Associations,
amicus curiae.
MARTIN, Judge.
Plaintiff, a former state government employee, filed this
action alleging multiple state and federal claims arising from the
alleged disclosure and dissemination of the contents of his state
personnel file in and after April 1997. His complaint includes
claims for violations of equal protection of the laws and
substantive and procedural due process under the U.S. and North
Carolina Constitutions, violation of his right to petition the
government for redress of grievances under the First Amendment, andcommon law tortious invasion of privacy, gross negligence, civil
conspiracy, and breach of contract.
In summary, plaintiff alleged that he had been a State
employee since September 1986 and that his employment relationship
was governed, in part, by the provisions of Chapter 126 of the
North Carolina General Statutes. During his employment, initially
with the Department of Correction, plaintiff asserted a claim
against the Department for employment discrimination. The claim
was settled in 1991; plaintiff and the Department of Correction
(NCDOC) entered into a negotiated settlement agreement, which
provided, inter alia, that all files relating to the employment
discrimination claim would be maintained in an area separate and
apart from plaintiff's personnel file. Plaintiff alleged that he
was subsequently employed by the Department of Transportation
(NCDOT). In 1996, plaintiff asserted an employment claim against
NCDOT; that claim was settled by agreement dated 20 February 1997.
Plaintiff alleged that in April 1997, defendant Garrett, who
was Secretary of NCDOT and was named in both his official and
individual capacities, and Does #1 and #2, whose names are unknown
to plaintiff, released plaintiff's personnel records to various
news media and to the public after having been warned by NCDOT's
personnel officers that such release would be unlawful. Plaintiff
alleged that defendants allowed false information to be inserted
into the records, kept his records separate from those of other
state employees so as to facilitate access to them, and allowed
unauthorized persons to go through the records, copy them, anddisseminate the contents through the media and the Internet. He
alleged that the information made available by defendants included
his photograph and home address; his Social Security number; his
personnel history, including that which was made confidential by
the 1991 settlement agreement; his medical history; his educational
history and testing data; his credit history; his retirement data
and financial information; the names and addresses of his family
members; and other confidential, personal and private information.
Plaintiff also alleged that copies of his confidential personnel
records with the NCDOC were provided to the Associated Press in
January 1998 and published in the Fayetteville Observer Times.
Plaintiff alleged that such actions were undertaken by
defendants as part of an intentional scheme of conduct to harass,
intimidate, retaliate against, and damage him due to his having
engaged in constitutionally protected activities in connection with
his assertion of employment discrimination claims against the NCDOC
and NCDOT. Plaintiff alleged defendants' conduct was malicious,
undertaken in bad faith and for discriminatory reasons, and so
exceeded their authority as to amount to a waiver of any possible
state law immunity.
As a result of defendants' actions, plaintiff alleged that he
has been harassed and intimidated; that as a former law enforcement
officer, he has been endangered by the dissemination of personal
information about himself and his family members; that he has been
subjected to public humiliation and ridicule; and that he has been
effectively blacklisted from future government or law enforcementemployment. He sought compensatory and punitive damages,
declaratory and injunctive relief, and costs and attorneys' fees.
Defendants moved to dismiss the complaint pursuant to G.S. §
1A-1, Rule 12(b) for lack of subject matter jurisdiction, lack of
personal jurisdiction, and failure to state a claim for which
relief may be granted. The trial court entered an order dismissing
all of plaintiff's claims for failure to state a claim upon which
relief may be granted, and some of his claims against certain
defendants for lack of jurisdiction. Plaintiff appeals from the
order of dismissal; defendants cross-assign as error the trial
court's failure to dismiss the complaint on additional grounds.
__________________________________
Plaintiff asserts that the trial court erred in (1) dismissing
his complaint for failure to state a claim upon which relief may be
granted and (2) dismissing his federal constitutional claims
against the State, NCDOT, NCDOC, and individual defendants in their
official capacities for lack of jurisdiction. We affirm in part,
reverse in part and remand this case to the trial division for
further proceedings.
The question before a court considering a motion to dismiss
for failure to state a claim is whether, if all the plaintiff's
allegations are taken as true, the plaintiff is entitled to recover
under some legal theory.
See Block v. County of Person, 141 N.C.
App. 273, 540 S.E.2d 415 (2000). A complaint may be dismissed
pursuant to Rule 12(b)(6) where (1) the complaint on its face
reveals that no law supports a plaintiff's claim, (2) the complainton its face reveals the absence of facts sufficient to make a good
claim, or (3) the complaint discloses some fact that necessarily
defeats a plaintiff's claim.
Governors Club, Inc. v. Governors
Club Ltd. Partnership, ___ N.C. App. ___, ___, 567 S.E.2d 781, 790
(2002). In reviewing a dismissal of a complaint for failure to
state a claim, the appellate court must determine whether the
complaint alleges the substantive elements of a legally recognized
claim and whether it gives sufficient notice of the events which
produced the claim to enable the adverse party to prepare for
trial.
Brandis v. Lightmotive Fatman, Inc., 115 N.C. App. 59, 62,
443 S.E.2d 887, 888 (1994).
I. Substantive Due Process
Plaintiff alleges that defendants violated his substantive due
process rights and right to privacy under both the federal and
state constitutions. U.S. Const. amend. XIV, § 1; N.C. Const.,
Art. I., §§ 1, 19, 35, 36. The Fourteenth Amendment provides that
government shall not deprive any person of life, liberty, or
property, without due process of law. U.S. Const. amend. XIV, §
1. Suit for relief from federal constitutional violations is
authorized under 42 U.S.C. § 1983, which states in pertinent part:
Every person who, under color of any statute,
ordinance, regulation, custom, or usage, of
any State . . ., subjects, or causes to be
subjected, any citizen of the United States or
other person within the jurisdiction thereof
to the deprivation of any rights, privileges,
or immunities secured by the Constitution and
laws, shall be liable to the party injured in
an action at law, suit in equity, or other
proper proceeding for redress . . . .
In general, substantive due process protects the public fromgovernment action that unreasonably deprives them of a liberty or
property interest.
See Huntington Properties, L.L.C. v. Currituck
Co., ___ N.C. App. ___, ___, 569 S.E.2d 695, 703 (2002). If that
liberty or property interest is a fundamental right under the
Constitution, the government action may be subjected to strict
scrutiny.
Id. However, where the interest is not fundamental, the
government action need only have a rational relation to a
legitimate governmental objective to pass constitutional muster.
Id. This legitimate governmental objective need not be the actual
objective of the state actors.
Id.
In terms of fundamental rights, one's privacy interest in the
information contained in personnel files does not fall under the
recognized fundamental right to privacy with respect to personal
and family decision making.
Kallstrom v. City of Columbus, 136
F.3d 1055 (6
th Cir. 1998). Plaintiff argues alternatively that the
information he alleges defendants disclosed is covered by that
strain of the right to privacy that protects against disclosure of
highly personal information.
See Whalen v. Roe, 429 U.S. 589, 51
L. Ed. 2d 64 (1977).
See also Ferguson v. City of Charleston, 186
F.3d 469, 482-83 (4
th Cir. 1999),
overruled on other grounds, 532
U.S. 67, 149 L. Ed. 2d 205 (2001) (declining to decide whether
medical information protected by right to privacy where disclosure
necessary to serve compelling state interest);
Walls v. City of
Petersburg, 895 F.2d 188 (4
th Cir. 1990) (certain financial
information protected by right to privacy);
ACT-UP Triangle v.
Commission for Health Services of the State of N.C., 345 N.C. 699,483 S.E.2d 388 (1997) (declining to decide whether medical
information protected by right to privacy where necessary to serve
compelling interest and chances of unauthorized disclosure low
under established protocols).
However, we need not determine whether the alleged conduct
violated a fundamental right. The Fourteenth Amendment also
protects against arbitrary government action that is so egregious
that it shocks the conscience or offends a sense of justice.
U.S. v. Salerno, 481 U.S. 739, 746, 95 L. Ed. 2d 697, 708 (1987);
County of Sacramento v. Lewis, 523 U.S. 833, 140 L. Ed. 2d 1043
(1998);
State v. Guice, 141 N.C. App. 177, 541 S.E.2d 474 (2000).
Where an executive act is at issue, as in the instant case:
the issue of fatal arbitrariness should be
addressed as a threshold question, asking
whether the challenged conduct was so
egregious, so outrageous, that it may fairly
be said to shock the contemporary conscience.
Hawkins v. Freeman, 195 F.3d 732, 738 (4
th Cir. 1999) (citations
omitted). Whether an executive action shocks the conscience is
generally judged by historical standards in similar situations, as
well as indications of whether the act was intentional or merely
negligent.
See id. The complaint in the present case contains
multiple allegations that defendants acted with a high level of
culpability, including deliberate indifference, malice,
willfulness, and retaliation. While intentional conduct is that
'most likely' to meet the test, that alone will not suffice; the
conduct must be 'intended to injure in some way unjustifiable by
any government interest.'
Id. (quoting
Lewis,
supra). This issueessentially merges with the rational basis review to be accorded
any privacy interest not considered fundamental.
See Huntington
Properties,
supra.
In terms of justification, defendants argue such disclosure
serves the important public policy of providing broad access to
all public records. Defendants cite statutes relating to access
to public records, referring to them as an embodiment of this
policy.
See N.C. Gen. Stat. §§ 126-23, 132-1.3, 132-6 (2002).
They also assert that the release of plaintiff's records was
authorized under G.S. § 126-24.
G.S. § 126-22 declares that:
Personnel files of State employees, former
State employees, or applicants for State
employment shall not be subject to inspection
and examination as authorized by G.S. 132-6
[public records act]. For purposes of this
Article, a personnel file consists of any
information gathered by the department . . .
which employs an individual, previously
employed an individual, or considered an
individual's application for employment, or by
the office of State Personnel, and which
information relates to the individual's
application, selection or nonselection,
promotions, demotions, transfers, leave,
salary, suspension, performance evaluation
forms, disciplinary actions, and termination
of employment wherever located and in whatever
form.
G.S. § 126-23 excepts certain information regarding name, age, hire
date, position, and salary from the provisions of G.S. § 126-22
without limitation. Limited exceptions to G.S. § 126-22 are set
out in G.S. § 126-24, which allows inspection of an employee's
personnel file by (1) the employee, (2) his or her supervisor, (3)
members of the General Assembly, (4) parties holding court orders,and (5) federal or state government officials or department heads
under certain circumstances. G.S. § 126-24 also provides that:
Notwithstanding any other provision of this
Chapter, any department head may, in his
discretion, inform any person . . . of any
promotion, demotion, suspension,
reinstatement, transfer, separation,
dismissal, employment or nonemployment of any
applicant, employee or former employee
employed by or assigned to his department or
whose personnel file is maintained in his
department and the reasons therefor and may
allow the personnel file of such person or any
portion thereof to be inspected and examined
by any person . . . when such department head
shall determine that the release of such
information or the inspection and examination
of such file or portion thereof is essential
to maintaining the integrity of such
department or to maintaining the level or
quality of services provided by such
department; provided that prior to releasing
such information . . ., such department head
shall prepare a memorandum setting forth the
circumstances [he] deems to require such
disclosure and the information to be
disclosed. The memorandum shall be retained in
the files of said department head and shall be
a public record.
It is conceivable that, where an employee settles an
employment grievance with the State, a department head might need
to disclose some information from plaintiff's personnel file to
maintain the integrity of the department. However, even despite
the statutory basis, it is difficult to conceive of a rational
relation between defending the propriety of a grievance settlement
and disclosing the employee's social security number, medical
diagnoses, family member names and addresses, and personal
financial data, all of which plaintiff alleges were disclosed. The
facts as alleged by plaintiff in the present case do not indicateany special features of plaintiff's settlement or situation that
would require a wholesale public disclosure of his file under the
statutory exception. Moreover, plaintiff alleges in his complaint
that the disclosure was wholly unjustified. For purposes of the
Rule 12(b)(6) motion, plaintiff has overcome the high level of
deference accorded to governmental action on rational basis review.
Thus, plaintiff has alleged an intentional and unjustified
disclosure of the entire contents of his personnel file in a
context which, if proven, offends a sense of justice. We note that
our courts have held that the level of substantive due process
protection provided by the North Carolina Constitution is at least
as broad as that of the United States Constitution.
See Guice, 141
N.C. App. 177, 541 S.E.2d 474. Therefore, because we hold here
that plaintiff states a claim for violation of his substantive due
process rights under the federal constitution, he states one for a
violation of his rights under the North Carolina Constitution as
well.
Next, plaintiff asserts the trial court also erred in
dismissing his § 1983 claim for violation of his rights to
substantive due process under the federal constitution against the
State of North Carolina, NCDOC, NCDOT, and individual defendants in
their official capacities for lack of subject matter or personal
jurisdiction. N.C.R. Civ. P. 12(b)(1), (b)(2) (2002). Plaintiff
also assigned error to the trial court's dismissal of his state
substantive due process claim against all but individual defendants
in their official capacities. However, due to plaintiff's failureto discuss this assignment of error in his primary brief, we deem
it abandoned. N.C.R. App. P. 28(b)(6) (2002).
Evaluation of the applicability of § 1983 claims to the State
or state officials is generally bifurcated according to the kind of
relief requested.
See Corum v. University of North Carolina, 330
N.C. 761, 413 S.E.2d 276 (1992). Here, plaintiff requests both
monetary damages and injunctive relief. Following U.S. Supreme
Court precedent, the courts of this State have held that the State
and state officials acting in their official capacities are not
persons within the meaning of § 1983 for purposes of recovering
money damages.
See Hawkins v. State, 117 N.C. App. 615, 624, 453
S.E.2d 233, 238 (1995). Therefore, the trial court did not err in
granting defendants' motion to dismiss plaintiff's claim for money
damages.
However, where a plaintiff seeks injunctive relief against the
State and its officials, state officials acting in their official
capacities are considered persons under § 1983.
See Corum, 330
N.C. at 771, 413 S.E.2d at 282-83. Because plaintiff's complaint
included a prayer for injunctive relief and the trial court granted
the dismissal of all claims brought under § 1983, we must assume
that the trial court's dismissal included plaintiff's claim for
injunctive relief. Dismissal of this claim was error. Plaintiff
stated a claim for violation of his rights to substantive due
process under the federal constitution and individual defendants in
their official capacities are not immune from suit for injunctive
relief on this claim. In their cross-assignment of error, defendants Garrett and
Does #1 and #2 argue that the trial court erred in denying their
motion to dismiss this § 1983 claim against them in their
individual capacities on the grounds of qualified immunity. In
contrast to the State and officials sued in their official
capacities, public officials sued in their individual capacities
for violations of § 1983 may be held liable for monetary damages.
See Corum,
330 N.C. at 772, 413 S.E.2d at 283. As a defense, such
defendants may under certain circumstances raise the doctrine of
qualified immunity as a bar to both suit and liability.
See id. at
772-73, 413 S.E.2d at 284. The defense of qualified immunity
shields government officials from personal liability under § 1983
'insofar as their conduct does not violate clearly established
statutory or constitutional rights of which a reasonable person
would have known.'
Andrews v. Crump, 144 N.C. App. 68, 75-76, 547
S.E.2d 117, 122,
disc. review denied, 354 N.C. 215, 553 S.E.2d 907
(2001) (quoting
Harlow v. Fitzgerald, 457 U.S. 800, 818, 73 L. Ed.
2d 396, 410 (1982)).
In its order, the trial court held that qualified immunity is
not a basis for a Rule 12(b) dismissal, but rather must be
pleaded as a defense, and thus also refused to consider
defendants' supporting affidavits. However, while qualified
immunity certainly must be pleaded in a defendant's answer, it may
also be raised in a motion to dismiss under Rule 12(b) made prior
to any responsive pleading.
See Behrens v. Pelletier, 516 U.S.
299, 133 L. Ed. 2d 773 (1996);
McVey v. Stacy, 157 F.3d 271 (4
thCir. 1998);
Jenkins v. Medford, 119 F.3d 1156 (4
th Cir. 1997);
McWaters v. Rick, 195 F.Supp.2d 781 (E.D.Va. 2002);
Block, 141 N.C.
App. 273, 540 S.E.2d 415;
Hawkins, 117 N.C. App. 615, 453 S.E.2d
233.
When raised by motion, qualified immunity is generally raised
on a Rule 12(b)(6) motion to dismiss.
See, e.g., Locus v.
Fayetteville State Univ., 102 N.C. App. 522, 402 S.E.2d 862 (1991).
It follows that on a motion to dismiss on grounds of qualified
immunity, the trial court may look only to the allegations of the
complaint to determine whether qualified immunity is established.
Behrens, supra;
McWaters,
supra. Thus, the trial court erred in
holding that it could not evaluate the issue of qualified immunity
at this stage, but it properly refused to consider defendants'
affidavits on the subject.
The qualified immunity inquiry requires a determination of
whether the right at issue was clearly established at the time it
was allegedly violated.
See Andrews, supra. We have determined
that plaintiff has alleged an intentional and arbitrary deprivation
of his privacy interests by defendants' disclosure of the
information contained in his personnel files that is not related to
any legitimate government objective. Arbitrary acts that have an
abusive purpose and lack legitimate justification violate due
process.
See Lewis, 523 U.S. 833, 140 L. Ed. 2d 1043. The
statutory scheme set out in Chapter 126 of the General Statutes for
the protection of the confidentiality of state personnel records
would also indicate that disclosures of employees' private
information should not be done lightly.
See N.C. Gen. Stat. §§126-22, 126-23, 126-24, 126-27. The right to be free of arbitrary,
abusive, and illegitimate government action, such as that described
in the complaint, is a clearly established right of which a
reasonable person in defendant Garrett's or any other official
position would have been aware. Therefore, at this stage of the
proceedings, defendants Garrett and Does #1 and #2 are not entitled
to dismissal of plaintiff's § 1983 claim for violation of his
federal substantive due process rights on the basis of qualified
immunity.
II. Procedural Due Process
Plaintiff next contends that the trial court erred in
dismissing his claim for violation of his federal and state
procedural due process rights. Both the Fourteenth Amendment to
the U.S. Constitution and Article I, Section 19 of the North
Carolina Constitution provide protection against deprivation of
liberty or property interests secured by the Bill of Rights or
created by state law without adequate procedure, such as notice and
an opportunity to be heard.
See Paul v. Davis, 424 U.S. 693, 47 L.
Ed. 2d 405 (1976)
; Wuchte v. McNeil, 130 N.C. App. 738, 505 S.E.2d
142 (1998);
Howell v. Carolina Beach, 106 N.C. App. 410, 417 S.E.2d
277 (1992). Decisions as to the scope of procedural due process
provided by the federal constitution are highly persuasive with
respect to that afforded under our state constitution.
See State
v. Young, 140 N.C. App. 1, 535 S.E.2d 380 (2000).
Plaintiff first alleges defendants inserted false and
stigmatic information into his personnel file, the disseminationof which has deprived him of occupational liberty. [I]njury to
reputation by itself [is] not a 'liberty' interest protected under
the Fourteenth Amendment.
Siegert v. Gilley, 500 U.S. 226, 233,
114 L. Ed. 2d 277, 288 (1991). Therefore, in order for false
charges made by a state employer to constitute violation of due
process, a plaintiff must sufficiently allege:
1) that the charges made by Defendants were
false; 2) that the charges were made public;
3) that the charges were made in the course of
discharge or serious demotion; and 4) that the
charges against [her] ... 'might seriously
damage [her] standing and associations in
[her] community' or otherwise 'imposed on
[her] a stigma or other disability that
foreclosed [her] freedom to take advantage of
other employment opportunities.'
Shelton-Riek v. Story, 75 F.Supp.2d 480, 487 (M.D.N.C. 1999)
(citing
Stone v. Univ. of Md. Medical Sys. Corp., 855 F.2d 167, 173
n.5 (4
th Cir. 1988) (quoting
Bd. of Regents v. Roth, 408 U.S. 564,
573-75, 33 L. Ed. 2d 548, 558-59 (1972))). Although plaintiff
alleged facts that might satisfy the first, second, and fourth
elements, the complaint contains no allegation that the release of
information from plaintiff's file, true or false, was done in
connection with any employment action, much less a dismissal or
demotion. In fact, plaintiff does not indicate in his complaint
that he ever left or was discharged from state employment.
Plaintiff next makes a general argument that he was not
provided with due process with regard to the disclosure of
information contained in his personnel file. In support of his
argument, plaintiff cites cases which involve a state employee's
property interest in his or her employment. These cases are notpertinent where plaintiff's personnel file or certain of its
contents, rather than the employment itself, are at issue.
Moreover, [i]n order to constitute a property right for purposes
of due process, one must have a current valid expectation, based on
the government's implied promise to continue this entitlement, in
an important, personal, monetizable interest. 16B Am. Jur. 2d,
Const. Law § 585 (2002) (citations omitted). Under G.S. § 126-22,
plaintiff may have a legitimate expectation of continued
confidentiality for his state personnel file, but it is not the
kind of monetizable property interest generally protected by
procedural due process.
Plaintiff makes no argument that the North Carolina
Constitution provides greater due process protection for his
interest in the confidentiality of his state personnel file than
the federal constitution. Because plaintiff has not alleged a
deprivation of a liberty or property interest protected by
procedural due process, the trial court did not err in dismissing
his claims for violation of his rights to procedural due process
under the U.S. and North Carolina Constitutions for failure to
state a claim upon which relief may be granted.
Because we find that plaintiff failed to state a claim for
violation of his procedural due process rights, we need not address
plaintiff's assignment of error with respect to the trial court's
dismissal of his federal procedural due process claim pursuant to
Rule 12(b)(1) and (b)(2) or individual defendants' cross-assignment
of error asserting qualified immunity with respect to those claims.
III. Equal Protection
Plaintiff also asserts the trial court erred in dismissing his
claim for violation of his rights under the federal and state
constitutions to equal protection of the law.
See U.S. Const.
amend. XIV, § 1; N.C. Const. Art. I, § 19. Under the Fourteenth
Amendment, no state may deny a person equal protection of the laws,
either on the face of a statute or policy or in its application.
See Yick Wo v. Hopkins, 118 U.S. 356, 30 L. Ed. 220 (1886). The
equal protection principle requires that all persons similarly
situated be treated alike.
Richardson v. N.C. Dept. of
Correction, 345 N.C. 128, 134, 478 S.E.2d 501, 505 (1996). The
Supreme Court of North Carolina has held that the guarantee of
equal protection provided in the Fourteenth Amendment to the
Federal Constitution has been expressly incorporated in Article I,
Section 19 of the N.C. Constitution, and thus the same analysis may
be applied to both.
See id.; S.S. Kresge Co. v. Davis, 277 N.C.
654, 178 S.E.2d 382 (1971);
Hajoca Corp. v. Clayton, 277 N.C. 560,
178 S.E.2d 481 (1971).
Generally, equal protection doctrine is applied in situations
involving discrimination on the basis of group classification or
interference with the exercise of some fundamental right.
See,
e.g.,
Dept. of Transportation v. Rowe, 353 N.C. 671, 549 S.E.2d 203
(2001),
cert. denied, 534 U.S. 1130, 151 L. Ed. 2d 972 (2002).
Plaintiff does not allege that he was discriminated against because
he is a member of a particular group, but rather that defendants
singled out Plaintiff for adverse discriminatory treatment. Plaintiff cites
Village of Willowbrook v. Olech, 528 U.S. 562,
145 L. Ed. 2d 1060 (2000). In
Olech, the plaintiffs were refused
a connection to the village water supply unless they granted the
village a 33-foot easement. They refused, pointing to the fact
that other property owners making the same request had been asked
to grant only a 15-foot easement. The plaintiffs sued the village
for violation of equal protection, alleging,
inter alia, that the
condition imposed by the village was (1) irrational and arbitrary,
(2) motivated by ill will resulting from the Olechs' previous
filing of an unrelated, successful lawsuit against the Village,
and (3) based on an intentional or reckless disregard for
plaintiffs' rights.
Id. at 563, 145 L. Ed. 2d at 1063. After the
trial court granted the Village's motion to dismiss under Rule
12(b)(6), the Seventh Circuit reversed, holding that where
government action reflects a spiteful effort to 'get' a plaintiff
and there is no relation to any legitimate state objective, a
plaintiff states a valid claim for violation of equal protection.
See Olech v. Willowbrook, 160 F.3d 386, 387 (7
th Cir. 1998).
On review, the Supreme Court held that equal protection claims
may be brought by 'a class of one.'
Olech, 528 U.S. at 564, 145
L. Ed. 2d at 1063 (citation omitted). According to the Court, the
Olechs had managed to state a claim by alleging that the Village
intentionally imposed upon them different requirements than had
been required of other similarly situated villagers and asserting
that the Village's demand was 'irrational and wholly arbitrary.'
Id. at 565, 145 L. Ed. 2d at 1063. The Court indicated thatallegations as to the defendants' subjective motivation were not
essential to this theory.
Id.
In the present case, plaintiff has alleged that under color of
state law defendants released his confidential personnel file to
the media, and thus the public, while the files of other similarly
situated employees were not released. In his complaint, he alleges
that the action by defendants was arbitrary and capricious, as
well as intentional and willful, and wholly without
justification in fact or in law. As discussed above, plaintiff
has succeeded in alleging that there is no rational basis for
defendants' actions with respect to his file. Thus, under
Olech,
taking plaintiff's allegations to be true, as we must at this
stage, plaintiff has successfully stated a § 1983 claim for
violation of the Equal Protection Clause under the class of one
theory.
See also In re Application of Ellis, 277 N.C. 419, 178
S.E.2d 77 (1970) (voiding county commissioners' refusal to grant
permit where applicant met all requirements and commission could
show no rational basis for refusal);
Bizzell v. Goldsboro, 192 N.C.
348, 135 S.E. 50 (1926) (ordinance vesting arbitrary discretion in
town officials held unconstitutional);
Dobrowolska v. Wall, 138
N.C. App. 1, 530 S.E.2d 590 (2000) (trial court erred in granting
summary judgment for municipality on equal protection claim based
on arbitrary and capricious action by city that did not survive
rational basis standard of review).
We hold that plaintiff has stated a claim for a violation of
his right to equal protection of the laws and the trial court erredin dismissing plaintiff's claims for equal protection under the
federal and state constitutions. We also agree with plaintiff that
the trial court erred in dismissing his § 1983 claim against
individual defendants in their official capacities with respect to
plaintiff's prayer for injunctive relief. In addition, we reject
the assertion of qualified immunity by defendants Garrett and Does
#1 and #2 for this claim. We have determined that plaintiff stated
a claim for violation of his federal equal protection rights based
on arbitrary government action. As explained recently in
Hyatt v.
Town of Lake Lure, 225 F.Supp.2d 647, 664 (W.D.N.C. 2002) (quoting
McWaters, 195 F.Supp.2d at 806, and citing
Olech,
supra) the right
'to be free of arbitrary and discriminatory application of law' is
not a new one. The right allegedly violated by defendants Garrett
and Does #1 and #2 is a clearly established one of which a
reasonable public official would have known.
Andrews,
supra. At
this stage in the proceedings, individual defendants are not
entitled to dismissal of plaintiff's § 1983 equal protection claim
for monetary damages based on qualified immunity.
IV. First Amendment
Next, plaintiff contends defendants violated his First
Amendment right to petition the government for redress of
grievances. He argues that defendants disclosed information in his
personnel file to the media and public in retaliation for the
successful employment grievances he filed against the State. Under
§ 1983, retaliation by a public official for the exercise of a
constitutional right is actionable, even if the official's actionwould not have been improper if done for different reasons.
Mt.
Healthy City School Dist. Bd. of Education v. Doyle, 429 U.S. 274,
50 L. Ed. 2d 471 (1977). In order to prove a claim for
retaliation, a plaintiff must establish the following elements:
(1) that the plaintiff was engaged in a
constitutionally protected activity; (2) that
the defendant's adverse action caused the
plaintiff to suffer an injury that would
likely chill a person of ordinary firmness
from continuing to engage in that activity;
and (3) that the adverse action was motivated
at least in part as a response to the exercise
of the plaintiff's constitutional rights.
Bloch v. Ribar, 156 F.3d 673, 678 (6
th Cir. 1998).
Plaintiff asserts the right to file employment grievances
against the State is protected under the Petition Clause of the
First Amendment of the United States Constitution. As authority
for this assertion, plaintiff cites
San Filippo v. Bongiovanni, 30
F.3d 424 (3
rd Cir. 1994),
cert. denied, 513 U.S. 1082, 130 L. Ed.
2d 638 (1995), which holds that public employees who file genuine
lawsuits or grievances against their government employer are
protected against retaliation under the Petition Clause even if the
subject matter of the petition is purely private. Plaintiff
neglects to point out, however, that only the Third Circuit has
adopted this view of the Petition Clause and public employment-
related grievances. Most federal circuits have either not
addressed the issue or have refused to diverge from Supreme Court
precedent requiring that a public employee's speech touch on a
matter of public concern to invoke the protection of the First
Amendment.
See Rendish v. City of Tacoma, 123 F.3d 1216 (9
th Cir.1997). It appears that neither North Carolina courts, nor the
Fourth Circuit, have adopted the
San Filippo rule and we decline to
do so here.
See Corum, 330 N.C. at 775, 413 S.E.2d at 285 (public
employee's right to speak freely without retaliation limited to
matters of public concern). Because plaintiff has failed to
satisfy the first element of a § 1983 First Amendment retaliation
claim, we need not address the other elements. This assignment of
error is overruled.
Because we hold that plaintiff failed to state a claim for
violation of his First Amendment rights, we need not address
plaintiff's assignment of error with respect to the trial court's
dismissal of this claim under Rule 12(b)(1) and (b)(2) and
individual defendants' cross-assignment of error asserting
qualified immunity.
V. Tortious Invasion of Privacy
In his complaint, plaintiff sought to allege claims for five
different types of common law tortious invasion of privacy, some of
which have been rejected by the North Carolina Supreme Court. On
appeal, plaintiff addresses only the claim of intrusion into
seclusion and thus abandons the other four claims. N.C.R. App. P.
28(a) (2002).
The tort of invasion of privacy by intrusion into seclusion
has been recognized in North Carolina and is defined as the
intentional intrusion 'physically or otherwise, upon the solitude
or seclusion of another or his private affairs or concerns . . .
[where] the intrusion would be highly offensive to a reasonableperson.'
Miller v. Brooks, 123 N.C. App. 20, 26-27, 472 S.E.2d
350, 354 (1996) (citation omitted),
disc. review denied, 345 N.C.
344, 483 S.E.2d 172 (1997). The kinds of intrusions that have been
recognized under this tort include physically invading a person's
home or other private place, eavesdropping by wiretapping or
microphones, peering through windows, persistent telephoning,
unauthorized prying into a bank account, and opening personal mail
of another.
Hall v. Post, 85 N.C. App. 610, 615, 355 S.E.2d 819,
823 (1987),
reversed on other grounds, 323 N.C. 259, 372 S.E.2d 711
(1988). Plaintiff alleges that defendants intentionally obtained
information from his state personnel file and gave it to
unauthorized individuals. He also alleges that they intentionally
used their authority to allow unauthorized persons to examine
plaintiff's file. The unauthorized examination of the contents of
one's personnel file, especially where it includes sensitive
information such as medical diagnoses and financial information,
like the unauthorized opening and perusal of one's mail, would be
highly offensive to a reasonable person. Therefore, the trial
court erred in dismissing plaintiff's claim for intrusion into
seclusion for failure to state a claim upon which relief may be
granted.
In their second cross-assignment of error, defendants contend
that the trial court erred in failing to dismiss plaintiff's common
law claims pursuant to their Rule 12(b)(1) and 12(b)(2) motions on
the grounds of sovereign and official immunity. Generally, courts
may consider matters outside the pleadings in evaluating anassertion of lack of subject matter jurisdiction under Rule
12(b)(1).
See Sperry Corp. v. Patterson, 73 N.C. App. 123, 127,
325 S.E.2d 642, 646 (1985). However, our Supreme Court has
declined to decide whether sovereign immunity is an issue of
subject matter jurisdiction or personal jurisdiction.
See Teachy
v. Coble Dairies, Inc., 306 N.C. 324, 293 S.E.2d 182 (1982).
Moreover, defendants do not contend in their argument for immunity
to plaintiff's state law claims that the trial court should have
considered matters outside the complaint. Therefore, we will
confine our analysis to the allegations in the complaint.
Sovereign immunity shields the State, its agencies, and
officials sued in their official capacities from suit on state law
claims unless the State consents to suit or waives its right to
sovereign immunity.
See Vest v. Easley, 145 N.C. App. 70, 549
S.E.2d 568 (2001). The State may waive its immunity through
various means, including the purchase of liability insurance, the
Tort Claims Act, and breach of a valid contract to which it is a
party.
See EEE-ZZZ Lay Drain Co. v. N.C. Dept. of Human Resources,
108 N.C. App. 24, 27, 422 S.E.2d 338, 340-41 (1992),
overruled on
other grounds,
Meyer v. Walls, 347 N.C. 97, 489 S.E.2d 880 (1997).
Plaintiff's complaint contains no allegation of waiver of sovereign
immunity that would subject the State, NCDOT, NCDOC, or individual
defendants in their official capacities to suit on a claim for
tortious invasion of privacy and this claim was properly dismissed.
Official capacity immunity is a derivative of sovereign
immunity that protects public officials sued in their individualcapacities.
See Epps v. Duke University, Inc., 122 N.C. App. 198,
468 S.E.2d 846,
disc. review denied, 344 N.C. 436, 476 S.E.2d 115
(1996).
The essence of the doctrine of public official
immunity is that public officials engaged in
the performance of their governmental duties
involving the exercise of judgment and
discretion, and acting within the scope of
their authority, may not be held liable for
such actions, in the absence of malice or
corruption.
Price v. Davis, 132 N.C. App. 556, 562, 512 S.E.2d 783, 787 (1999).
A public official holds a position created by our State
Constitution or the General Statutes and exercises some degree of
sovereign power and discretion, as compared with public employees
who perform only ministerial duties.
See Block, 141 N.C. App. 273,
540 S.E.2d 415. Defendant Garrett was the Secretary of the NCDOT
during the events in question; he clearly falls into the category
of public official.
See N.C. Gen. Stat. § 143A-9 (2002).
Plaintiff's complaint contains multiple allegations that defendant
Garrett's actions in releasing and permitting access to plaintiff's
file were done outside the scope of authority, maliciously, in bad
faith, and for retaliatory reasons. The facts alleged concerning
the time frame between his settlement and the release of his file,
the scope of information released, and defendant Garrett's release
of the file despite warnings that such action would be illegal tend
to support plaintiff's claims of malice and bad faith. Therefore,
at this stage, individual defendants are not entitled to dismissal
of plaintiff's claim for tortious invasion of privacy on the basis
of official capacity immunity.
VI. Breach of Contract
Plaintiff asserts the trial court erred in dismissing his
claim for breach of contract. The elements of a claim for breach
of contract are (1) existence of a valid contract and (2) breach of
the terms of that contract.
Poor v. Hill, 138 N.C. App. 19, 26,
530 S.E.2d 838, 843 (2000). Plaintiff alleges the existence of a
settlement contract with the NCDOC, and attaches a copy of the
contract to the complaint. The attached copy of the contract
contains this provision:
All files, both official and unofficial being
retained with Respondent and pertaining to the
referenced charge of employment
discrimination, will be maintained in an area
separate and apart from Charging Party's
personnel file.
Plaintiff also alleges that the contract was breached by defendants
by their inclusion of the contract in plaintiff's personnel file.
Taken as true, plaintiff has stated a claim for breach of contract,
even though he may be entitled only to claim nominal damages or
injunctive relief for the breach. Therefore, the trial court erred
in dismissing plaintiff's claim for breach of contract pursuant to
defendant's 12(b)(6) motion.
With regard to defendants' assertions of sovereign immunity,
we note that the complaint alleges the existence and breach of a
contract between plaintiff and NCDOC. Therefore, on the face of
the complaint, plaintiff has sufficiently alleged waiver of
sovereign immunity and plaintiff's contract claim may not be
dismissed on that basis.
See EEE-ZZZ Lay Drain Co., 108 N.C. App.
24, 422 S.E.2d 338. Likewise, plaintiff's allegations of maliciousand unauthorized conduct by defendants Garrett and Does #1 and #2
preclude dismissal of plaintiff's contract claim against them in
their individual capacities on the basis of official immunity.
VII. Gross Negligence
Plaintiff also asserts the trial court erred in dismissing his
claim against defendants for gross negligence. Gross negligence
has been defined as wanton conduct done with conscious or reckless
disregard for the rights and safety of others.
Bullins v.
Schmidt, 322 N.C. 580, 583, 369 S.E.2d 601, 603 (1988). Plaintiff
alleged in his complaint that defendants' conduct was willful,
wanton, and done with deliberate indifference to his rights.
Aside from allegations of wanton conduct, a claim for gross
negligence requires that plaintiff plead facts on each of the
elements of negligence, including duty, causation, proximate cause,
and damages.
See, e.g., Martishius v. Carolco Studios, Inc., 355
N.C. 465, 562 S.E.2d 887 (2002). Plaintiff alleged in his
complaint that defendants disclosed his confidential personnel file
without authority or justification. He also alleged that his
employment relationship with defendants was governed by Chapter 126
of the General Statutes. Under various provisions of Chapter 126,
personnel files are to be kept confidential and only accessed by
certain individuals under certain conditions. N.C. Gen. Stat. §§
126-22, 126-24. The statute also provides for criminal penalties
for permitting unauthorized access to the records. N.C. Gen. Stat.
§ 126-27. Allegations regarding defendant Garrett's position at
NCDOT and the scope of his authorization under Chapter 126 torelease plaintiff's records suffice as allegations that he owed
plaintiff a duty to keep the information in his file confidential.
Plaintiff also alleged that defendants' conduct proximately caused
him to be harassed by third parties. Therefore, we hold that
plaintiff adequately stated a claim for relief based on defendant's
gross negligence.
In their cross-assignment of error, defendants argue that they
are entitled to dismissal of plaintiff's gross negligence claim on
the basis of sovereign immunity. Because plaintiff did not
sufficiently allege waiver of sovereign immunity by the State,
NCDOT, NCDOC, or individual defendants in their official
capacities, the claim of gross negligence was properly dismissed
with regard to these defendants.
See EEE-ZZZ Lay Drain Co.,
supra.
However, because plaintiff did sufficiently allege malice and abuse
of authority, defendants Garrett and Does #1 and #2 are not
entitled to dismissal of the gross negligence claim on the basis of
official immunity at this stage.
See Price, 132 N.C. App. 556, 512
S.E.2d 783.
VIII. Civil Conspiracy
Plaintiff assigns error to the trial court's dismissal of his
claim for civil conspiracy for failure to state a claim for relief.
There is no independent cause of action for civil conspiracy.
See
Shope v. Boyer, 268 N.C. 401, 150 S.E.2d 771 (1966). Only where
there is an underlying claim for unlawful conduct can a plaintiff
state a claim for civil conspiracy by also alleging the agreement
of two or more parties to carry out the conduct and injuryresulting from that agreement.
See Muse v. Morrison, 234 N.C. 195,
66 S.E.2d 783 (1951). Plaintiff alleged that defendant Garrett and
as yet unknown John Doe defendants acted in concert to injure
plaintiff and that defendants wantonly or intentionally schemed to
retaliate against him by committing the unlawful acts alleged. We
hold these allegations sufficient to allege that defendants
conspired to commit unlawful acts and to injure plaintiff.
Therefore, the trial court erred in dismissing this claim pursuant
to defendants' motion.
Lastly, defendants argue that plaintiff's claim for civil
conspiracy should have been dismissed on the basis of sovereign and
official immunity. Due to plaintiff's failure to allege waiver of
sovereign immunity on the part of the State, NCDOT, NCDOC, and
individual defendants in their official capacities, we agree that
these defendants are entitled to dismissal of this claim.
See
EEE-ZZZ Lay Drain Co.,
supra. Official immunity will not protect
defendants Garrett and Does #1 and #2 from suit for civil
conspiracy in their individual capacities at this stage given
plaintiff's allegations of malicious and corrupt conduct.
See
Price, supra.
Conclusion
In summary, we hold plaintiff's complaint was sufficient to
state (1) § 1983 claims for federal substantive due process and
equal protection violations for injunctive relief against
individual defendants in their official capacities and for damages
in their individual capacities; (2) state substantive due processand equal protection claims for injunctive relief against
individual defendants in their official capacities; (3) a breach of
contract claim against the State, NCDOC, and individual defendants
in their official and individual capacities; and (4) common law
claims for tortious invasion of privacy, gross negligence, and
civil conspiracy against individual defendants in their individual
capacities. Insofar as the order appealed from dismisses those
claims, it is reversed; otherwise, the order is affirmed.
Affirmed in part, reversed in part, and remanded.
Chief Judge EAGLES and Judge THOMAS concur.
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