SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
DOCKET NO. A-6345-99T2
WILLIAM HANCOCK and JOHN WARNER,
Plaintiffs-Appellants,
v.
BOROUGH OF OAKLYN, CHIEF RONALD J.
FRUMENTO, MAYOR VINCENT SCIBONI,
LIEUTENANT CHRISTOPHER FERRARI,
Defendants-Respondents.
___________________________________
Submitted: January 9, 2001 - Decided:
February 5, 2002
Before Judges Baime, Newman and Axelrad.
On appeal from the Superior Court of New
Jersey, Law Division, Camden County, L-4057-
98.
Clifford L. Van Syoc , attorney for appellants
(James E. Burden, on the brief).
Brown and Connery, attorneys for respondents
(William M. Tambussi and Diane S. Kane, on the
brief).
The opinion of the Court was delivered by
AXELRAD, J.T.C. (temporarily assigned).
Plaintiffs, William Hancock and John Warner, appeal from an
order granting summary judgment and dismissing their complaint.
Plaintiffs' complaint alleges that defendants, Borough of Oaklyn,
Chief Ronald J. Frumento, Mayor Vincent Sciboni, and Lieutenant
Christopher Ferrari, retaliated against them in violation of the
New Jersey Conscientious Employee Protection Act (CEPA), N.J.S.A.
34:19-1 to -8.
On June 27, 1997, Hancock, a sergeant in the Oaklyn Police
Department, came across a $600 payment voucher to Ferrari, a
lieutenant in the department, for his work on a DWI patrol shift.
Hancock believed that Ferrari did not perform the work because
Ferrari was on special assignment with the Camden County
Prosecutor's Office at the time. Hancock communicated this
information to Warner, a patrolman in the Oaklyn Police Department.
Plaintiffs reported their suspicions of Ferrari's potential
criminal misconduct to Mayor Sciboni and then to Investigator
Simonini of the State Attorney General's Office. As a result of
plaintiffs' disclosure of two potentially questionable payment
vouchers for Ferrari, in August l997 the Attorney General's Office
seized records from the Oaklyn Police Department to further its
investigation.See footnote 11
In early l998, both plaintiffs were the subject of an Oaklyn
disciplinary hearing alleging violations of a number of police
departmental policies. During the course of that disciplinary
matter, plaintiffs were represented by Barbara M. Paul, Esquire.
Sometime in April l998, prior to the commencement of the formal
hearing, plaintiffs' attorneys in this action, Van Syoc Chartered,
sent a letter to the Oaklyn municipal solicitor on behalf of the
officers, claiming that the proceeding was in violation of CEPA,
and requesting an adjournment of the hearing. Notwithstanding the
letter, the disciplinary hearing commenced before John McFeeley,
III, Esquire on April l0, 1998, was adjourned, and concluded on
June 26, 1998. On July 6, 1998, Mr. McFeeley issued a written
opinion wherein Warner and Hancock were found guilty of various
departmental violations. These disciplinary actions which resulted
in brief suspensions from work, were appealed, and on de novo
review, the findings on all the disciplinary charges were sustained
by the Law Division. On November 9, 1999, Judge Mariano entered
the following order, which was not appealed:
(1) The disciplinary charge against Sgt.
Hancock for violating G.O. 95-10-23(02),
wherein he went to the Borough of Oaklyn Mayor
Vincent Sciboni to discuss an ongoing
investigation of the Oaklyn Police Department
involving the alleged misuse of DWI funds by
then Lt. Christopher Ferrari is SUSTAINED;
(2) The disciplinary charge against Sgt.
Hancock for violating G.O. 95-10-23(02)
("Organizational Structure Chain of Command"),
wherein he went to the Borough of Oaklyn
Councilwoman Linda Hibbs to discuss an ongoing
investigation of the Oaklyn Police Department
involving the alleged misuse of DWI funds by
Lt. Ferrari is SUSTAINED;
(3) The disciplinary charge against Ptl.
Warner for violating G.O. 95-10-23(02)
("Organizational Structure Chain of Command"),
wherein he went to Oaklyn Mayor Sciboni to
discuss an ongoing investigation of the Oaklyn
Police Department involving the alleged misuse
of DWI funds by Lt. Ferrari is SUSTAINED;
(4) The disciplinary charge against Ptl.
Warner for conducting private business at
Fleetway Chrysler Plymouth on August 26, 1997,
while on duty and failing to conduct himself
in accordance with high ethical standards
during said incident, in accordance with
Oaklyn Police Department Rules and Regulations
5.6.3 and 4.1.6, respectively, are SUSTAINED;
(5) The disciplinary charge against Ptl.
Warner for violating G.O. 95-10-23(02)
("Organizational Structure Chain of Command"),
wherein he went to the Mayor Sciboni to
discuss disciplinary action taken by then
Chief Ronald Frumento involving the
aforementioned Fleetway Chrysler Plymouth
incident is SUSTAINED;
(6) The five (5) working days suspension
without pay imposed against Sgt. Hancock for
the aforementioned violations is SUSTAINED;
(7) The seven (7) working day suspension
without pay imposed against Ptl. Warner for
his violations of G.O. 95-10-23(02) is
SUSTAINED;
(8) The eight (8) working day suspension
without pay imposed against Ptl. Warner for
his violation of Rules 5.6.3 and 4.1.6 is
SUSTAINED.
The record also indicates that on December 17, 1999, counsel
reached an agreement on disciplinary charges filed against Warner
on September 24, 1998, whereby the charge of failing to timely
complete records was sustained and the other charges were
dismissed. Additionally, it was agreed by the parties and
specifically acknowledged by Warner that the facts giving rise to
these disciplinary charges filed against Warner and the dismissal
of the charges would not be evidential in the CEPA action.
Plaintiffs filed a complaint on May 22, 1998, alleging that,
in response to their "protected conduct in reporting potential
criminal misconduct," they were subject to "a course of malicious
retaliation in violation of CEPA" in the form of fraudulent
disciplinary charges being brought against them by defendants, as
well as being the victims of other disparate treatment by
defendants, in particular, Police Chief Frumento. They claim that
Frumento is a "close friend" of Ferrari's and when he learned of
their role in "blowing the whistle" and precipitating the
investigation, he began retaliating against them.
Hancock claims the following acts of retaliation:
(1) In August l997, Ferrari ordered Hancock
not to discuss the Attorney General's
investigation with anyone in the Oaklyn Police
Department;
(2) Shortly after initiation of the
investigation, Ferrari issued an order
prohibiting Hancock from going to the midget
football field to watch his team while on
lunch break, while another officer who
routinely went during his lunch break was not
given a similar order;
(3) On September 3, 1997, Ferrari ordered
Hancock to perform a street light survey,
which he had never performed and which was "a
demeaning task designated to punish and
humiliate Hancock[;]"
(4) On September 12, 1997, Hancock's desk was
moved out of Detective Abbate's office after
Frumento was overheard by an Oaklyn police
officer saying "we'll fix him, we'll move his
desk out of here;"
(5) On October 6, 1997, Frumento issued a
memo to Hancock, chastising him for violating
the "chain of command" in reporting to the
Mayor the potential misconduct, and
threatening to file additional charges;
(6) On December ll, l997, Frumento wrote on a
solicitation mailing sent to Hancock at the
police department that Hancock was required to
change his address so that no personal mail
was delivered to the department, even though
other officers received personal mail at the
station;
(7) On December 22, 1997, Frumento refused
Hancock permission to switch shifts with
another patrolman;
(8) After observing plaintiffs and another
officer dining together, Frumento issued an
order that no officers were to take meal
breaks at the same time;
(9) After he observed plaintiffs conversing,
Frumento issued a memo prohibiting officers
from meeting except for police-related
business;
(10) Disciplinary charges were filed against
Hancock for failing to back up officer Dolgos
and for violating the chain of command
regulation by disclosing Ferrari's potential
misconduct to the Mayor. (Hancock was found
not guilty of failing to back up the officer.
The other charge was sustained by the Law
Division.);
(11) On March 23, 1998, Hancock was served
with fourteen disciplinary charges signed by
Frumento which were brought by his
subordinate, Patrolman Scheick, which violated
the chain of command. (These charges were
addressed at a mediation and Scheick decided
not to pursue the charges).
Warner claims the following acts of retaliation:
(1) Warner was sent out on one occasion for
not wearing body armor, as required by
departmental policy, even though other
officers "routinely violated" the requirement
of wearing their vests;
(2) After he observed plaintiffs conversing,
Frumento issued a memo prohibiting officers
from meeting except for police-related
business;
(3) A disciplinary charge was filed against
Warner as a result of an incident occurring on
August 27, 1997 at Fleetway Chrysler Plymouth.
(This charge was sustained by the Law
Division.);
(4) Additional disciplinary charges were
filed against Warner alleging he was
conducting personal business on borough time
and breaking the chain-of-command. (This
charge was sustained by the Law Division.);
(5) On September 24, 1998, Warner was charged
with departmental violations involving
evidence and property procedures and record
report preparation maintenance. (Pursuant to
December 1999 agreement of counsel in the
disciplinary action, these charges are not
evidential in the CEPA action.).
In its summary judgment motion, defendants claimed there was
no admissible evidence demonstrating that Hancock or Warner were
treated any differently from the other officers in the department
who did not "blow the whistle." Defendants responded to each of
plaintiffs' allegations of retaliatory conduct based on information
obtained in plaintiffs' depositions. They asserted the following
as to Hancock:
(1) Ferrari's verbal order to Hancock not to
speak with other members of the police
department regarding the Attorney General's
investigation was in accordance with
directives given to Ferrari by the Attorney
General's Office;
(2) Hancock admitted that he had no knowledge
that Officer Riley ever visited the midget
football field while on duty;
(3) In response to a request by the Oaklyn
Borough Director of Public Safety that the
street light survey be conducted, Ferrari
issued the directive for Hancock to have his
squad perform the survey over the course of
its tour of duty. The survey took a total of
ninety minutes to perform, fifty minutes of
which were performed by Hancock himself;
(4) Abbate needed more space to conduct
interviews and other desks in the squad room
were moved around during the time Hancock's
desk was moved;
(5) Hancock admitted that he had no personal
knowledge that other officers ever received
junk mail at work;
(6) Hancock admitted that he never asked
Frumento for the shift change, but Officer
Dolgos did, and that Frumento denied Dolgos'
request;
(7) The directives directing officers from
eating together and requiring them to document
meetings were addressed to everyone in the
department. Additionally, Hancock conceded
that he was not even certain that Frumento saw
him dining with Warner and Officer Moore prior
to writing the memo.
As to Warner, defendants note that this was his second notice of
violation of the departmental policy mandating the wearing of
ballistic body armor, and he was given yet another chance to avoid
being formally charged by future compliance with the policy. In
fact, for his first violation, he was sent home from duty by
Hancock. Moreover, there was a judicial determination sustaining
the disciplinary charges filed against both plaintiffs.
In granting defendants' motion for summary judgment, Judge
Supnick found that the claimed retaliation by defendants was not
cognizable under CEPA. On appeal, plaintiffs assert that the trial
court erred in failing to require defendants to comply with the
specific procedural requirements of Rule 4:46-2 and in granting
defendants' motion for summary judgment. We disagree and affirm.
"CEPA is designed to protect employees who blow the whistle on
illegal or unethical activity committed by their employers or co-
employees." Estate of Roach v. TRW, Inc.,
164 N.J. 598, 609-10
(2000); see also Higgins v. Pascack Valley Hosp.,
158 N.J. 404, 417
(1999); Barratt v. Cushman & Wakefield,
144 N.J. 120, 127 (l996).
The relevant sections of the CEPA statute, N.J.S.A. 34:19-3,
provide:
An employer shall not take any retaliatory
action against an employee because the
employee does any of the following:
a. Discloses, or threatens to disclose to a
supervisor or to a public body an activity,
policy or practice of the employer . . . that
the employee reasonably believes is in
violation of a law, or a rule or regulation
promulgated pursuant to law . . . ;
b. Provides information to, or testifies
before, any public body conducting an
investigation, hearing or inquiry into any
violation of law, or a rule or regulation
promulgated pursuant to law . . . .
To state a claim under CEPA, a plaintiff must introduce
evidence sufficient to show that:
(1) he or she reasonably believed illegal
conduct was occurring;
(2) he or she disclosed or threatened to
disclose the activity to a supervisor or
public body;
(3) retaliatory employment action was taken
against him or her; and
(4) there was a causal connection between the
whistle-blowing and the adverse employment
action.
[Kolb v. Burns,
320 N.J. Super. 467, 476 (App.
Div. l999).]
Defendants do not dispute that the activities in which
plaintiffs were involved constitute protected conduct within the
purview of N.J.S.A. 34:19-3. The primary question presented to the
Law Division was whether plaintiffs introduced sufficient evidence
to establish a prima facie case and create a genuine issue of
material fact as to the third prong, i.e., whether retaliatory
employment action was taken against them. The court correctly
concluded that, even conceding plaintiffs' various contentions, as
a matter of law they are not cognizable retaliatory actions under
CEPA.
N.J.S.A. 34:19-2e specifically defines "Retaliatory action" as
"the discharge, suspension or demotion of an employee, or other
adverse employment action taken against an employee in the terms
and conditions of employment."
Neither plaintiff contends that he was discharged or demoted
in retaliation for reporting his belief that Ferrari sought
overtime payments for patrols that he did not perform.See footnote 22 In
addition to his claim of lost pay in connection with the five-day
disciplinary suspension, Hancock alleges damages for emotional
distress, including anxiety, stress, and sleeplessness, and counsel
fees. In addition to his claim of lost pay in connection with the
fifteen-day disciplinary suspension, Warner alleges damages for
emotional distress and mental anguish, and counsel fees.
In Keelan v. Bell Communications Research,
289 N.J. Super. 531, 539 (App. Div. l996), we found "no retaliatory action until
plaintiff's actual discharge[,]" concluding that "[t]he definition
of retaliatory action speaks in terms of completed action.
Discharge, suspension or demotion are final acts. 'Retaliatory
action' does not encompass action taken to effectuate the
'discharge, suspension or demotion.'"
Nor did defendants take "other adverse employment action . .
. in the terms and conditions of [plaintiffs'] employment."
N.J.S.A. 34:19-2e. Viewed in the light most favorable to
plaintiffs, the non-moving parties, the allegations of retaliation
are minor and have no impact on either plaintiffs' compensation or
rank. Zamboni v. Stamler,
847 F.2d 73, 82 (3d Cir.), cert. denied,
488 U.S. 899,
109 S. Ct. 245,
102 L. Ed.2d 233 (1988)
("predict[ing] . . . that the New Jersey Supreme Court would
confine the tort of unlawful retaliation to formal personnel
actions that have an effect on either compensation or job rank . .
. .").
Neither Warner nor Hancock suffered any adverse effect on
their respective compensation or rank by being told to wear a
protective vest, not discuss an ongoing Attorney General's
investigation, or respond to public safety concerns about the
operability of street lights.
Nor can defendants' treatment of plaintiffs be considered
"virtually equivalent to discharge." Ibid.; see also Pierce v.
Ortho Pharm. Corp.,
84 N.J. 58 (1980) (claim for retaliation is not
cognizable for each and every minor disciplinary action by employer
but rather for formal disciplinary actions having effect on either
compensation or job rank). There is no adverse employment action
that impacts in a substantial way on either plaintiffs' work or
conditions at work or constitutes a de facto termination.
Plaintiffs' allegations of retaliatory action relate either to
general actions that made plaintiffs' jobs mildly unpleasant or
specific disciplinary charges brought by defendants against
plaintiffs. With regard to the disciplinary charges, our Supreme
Court has made it clear that filing a CEPA claim "does not insulate
the complaining employee from discharge or other disciplinary
action for reasons unrelated to the complaint." Higgins, supra,
158 N.J. at 424. Plaintiffs cannot claim that the substantiated
disciplinary charges and resulting brief suspensions from work were
retaliatory. Hancock and Warner acknowledge that they were
afforded a hearing on the disciplinary charges, were represented by
counsel at the hearing, were found guilty of the charges by the
hearing officer, that the charges and disciplinary actions were
sustained by the Law Division, and that no appeals were filed.
The case law also strongly suggests that plaintiffs' emotional
distress alone is not a cognizable injury within the CEPA context.
See, e.g., Kadetsky v. Egg Harbor Township Bd. of Educ.,
82 F.
Supp.2d 327, 340 (D.N.J. 2000) (to constitute a cognizable injury
under CEPA plaintiff must suffer "lasting prejudice").
Plaintiffs also fail to establish a factual nexus between
their protected activity under CEPA and the alleged retaliatory
conduct. Temporal proximity, standing alone, is insufficient to
establish causation. See Bowles v. City of Camden, 993 F. Supp.
255, 263-64 (D.N.J. l998). Although there was most likely
animosity between plaintiffs, Chief Frumento, and Lieutenant
Ferrari as a result of the investigation, plaintiffs failed to
demonstrate that they were treated differently from any of the
other officers in the department. Most of the orders given by
plaintiffs' supervisors were general in nature and applied to every
officer in the department, while other orders appropriately
addressed safety concerns.
Nor is this a case where causation can be inferred because
plaintiffs became the subject of disciplinary charges after their
whistle blowing was discovered. Warner acknowledged that he had
previously been the subject of several administrative charges and
reprimands, including a ten-day suspension initiated by Hancock for
leaving a loaded, duty issued handgun in the back of a patrol car;
being sent home from duty by Hancock for failing to wear protective
body armor; being reprimanded by Hancock for allowing a prisoner to
walk in on Hancock while he was in the bathroom; and having
received a written warning from Hancock regarding a February 27,
1996 incident that involved endangering the welfare of a child.
Most importantly, the disciplinary actions which plaintiffs
asserted as retaliatory were substantiated, and there was a final
judicial determination sustaining the findings and suspensions.
Additionally, plaintiffs' procedural claim is without merit.
In their summary judgment motion, defendants set forth the various
material facts that were undisputed with references to the record.
Defendants' failure to set them forth in separately numbered
paragraphs is not a material deviation under Rule 4:46-2 which
should deny defendants the relief that they were properly granted.
Affirmed.
Footnote: 1 1The Attorney General's investigation was subsequently closed because of insufficient evidence to support the allegation that Ferrari was paid from DWI funds for work that he did not perform. Footnote: 2 2Hancock's last day of work at the Oaklyn Police Department was in July of l998 as a result of an injury to his right wrist in September of l994. Hancock obtained a disability pension unrelated to any claims involved in this lawsuit.