BARNES, J., for the Court:
¶ 1. Trooper First Class Sammy Ray joined the Mississippi Highway Safety Patrol (a component of the Department of Public Safety and hereafter referred to as the "Highway Patrol" or the "Department") in 2003. During the summer of 2009, Ray issued tickets to four motorists, which formed the basis of charges leading to his dismissal from the Highway Patrol for falsifying documents. Ray appealed the dismissal to the Employee Appeals Board (EAB), where the hearing officer upheld the termination. Ray appealed to the full EAB, which also affirmed his termination. Ray next appealed to the Hinds County Circuit Court, which likewise affirmed the EAB's decision.
¶ 2. Ray now appeals to this Court, claiming wrongful termination and seeking reinstatement. Ray raises four issues on appeal:
Upon review, we agree that Ray was terminated for conduct other than that with which he was charged and that his due-process rights were violated. The Department has conceded that it has no other proof of the specific charged offenses, and we further find there is no substantial evidence to support the EAB's ruling. See LaCour v. Claiborne Cnty. Sch. Dist., 119 So.3d 1128, 1132 (¶20) (Miss.Ct.App.2013) (An administrative agency's decision will not be disturbed "unless the order ... is not supported by substantial evidence[.]"). Accordingly, we reverse the circuit court's decision, upholding Ray's termination, and remand for further proceedings consistent with this opinion.
¶ 3. The charges against Ray were limited to his encounters with four specific motorists: Kacie Patterson, Joshua Ulmer, William Thomas, and Sandra Carpenter.
¶ 4. Between his termination in January 2010, and his hearing before the EAB hearing officer in January 2011, Ray had a hearing before the Mississippi Department of Employment Security (MDES). Ray was awarded unemployment benefits. The Highway Patrol appealed, and an administrative law judge found that the Highway Patrol had failed to prove by clear and convincing evidence that Ray had engaged in misconduct and affirmed the award of unemployment compensation to Ray.
¶ 5. Ray received a de novo trial before an EAB hearing officer, where the following facts were developed. Although there is no regulation defining "ghost tickets," testimony at Ray's hearing established that it was generally understood to mean a trooper's writing of tickets for offenses that never occurred.
¶ 6. During Ray's termination proceedings, the Department identified four prior instances of troopers writing ghost tickets, which led to their terminations. Ronald Wilburn was terminated in 1996, for writing tickets for offenses that had not occurred to motorists after they left traffic stops, which he would then attempt to dismiss after they were turned in to the court. This resulted in motorists having charges lodged against them of which they had no notice. Wilburn's termination was upheld in Wilburn v. Mississippi Highway Safety Patrol, 795 So.2d 575, 578 (¶ 11) (Miss.Ct.App.2001). William Berry was terminated in 1999, for issuing numerous tickets to individuals who were unaware that they were being given a ticket. An audit of Berry's tickets for a five-month period revealed that 212 out of 345 citations fell into this category. Berry would turn the tickets in to the court, and the motorists would have to pay fines for offenses of which they were unaware. John Butcher was terminated in 2002, for turning in reports to his supervisors claiming 537 tickets written while only filing four tickets with the court. Jerry Merrill was terminated in 2009, for fondling a female motorist's breast during a traffic stop, not turning over seized drugs, and writing tickets days after a motorist had been stopped that were not for legitimate offenses.
¶ 7. The Department contended that Ray also had written "ghost tickets" for which there was no valid offense, in an
¶ 8. All witnesses testified that there is no "quota system" requiring troopers to write a certain number of tickets. The testimony at the hearing made it abundantly clear, however, that troopers felt pressure from their supervisors to "keep their numbers up." Department witnesses testified that this simply meant "do your job" and that there were plenty of offenses on the roads justifying tickets for diligent troopers. A former trooper testified that troopers could be punished for not keeping their number up by being put on "directed patrol" or "line patrol."
¶ 9. There are four copies of each sequentially numbered ticket written. One copy goes to the Commissioner of the Highway Patrol; one copy goes to the justice court; one copy is the officer's copy which goes to his master sergeant along with the trooper's ticket-control sheet; and the final copy is for the motorist. The ticket-control sheet lists all tickets, whether they are voided or not.
¶ 10. Ray testified that, on occasion, he would write "warning" tickets, and that for these warning tickets, Ray would write "void" on the justice court and Commissioner's copies and not write "void" on the motorist copy or the copy turned in to the master sergeant. Since his tickets to the justice court were "voided," no adverse consequences were possible for the motorists. Ray would shred the undelivered motorist's copy of his voided tickets. Ray and other witnesses testified that it is a common practice, when giving out warning tickets, not to hand the ticket physically to the motorist because it causes confusion about whether the motorist had to respond to the ticket. Ray did not conceal that he was writing "void" tickets. Although he failed to write "void" on the tickets he turned in to his master sergeant, he did indicate that the tickets were voided on his ticket-control sheets that accompanied the actual copies of the tickets. Ray presented the testimony of several former troopers, some in supervisory positions, that it was a generally accepted practice to write warning tickets and then "void" the ticket when it was turned in to the justice court so that the motorist faced no penalties. Witnesses testified that this was done as a good-will "community relations" tool. Ray, and other witnesses, testified that they also did this on occasion when they were not "100% sure" that an offense had been committed (e.g., thinking that a motorist was not wearing a seat belt, but upon stopping, the motorist had the seat belt on and told the trooper that he or she had been wearing it).
¶ 11. Retired Colonel Michael Berthay testified that warning tickets were not issued by troopers, but every other witness testified that it was a common practice. An email dated October 19, 2009, from
¶ 12. Ray's former coworkers and supervisor testified that he was a very competent and professional trooper. Don Berry, lieutenant colonel and deputy director of the Uniform Division of the Highway Patrol, testified that Ray's personnel file indicated that he had been promoted, had received a commendation and an award, and had received complimentary letters from citizens concerning his professionalism.
¶ 13. Ray testified that he did not recall the four sets of tickets at issue, and the Department put on no proof that the tickets Ray voided for Patterson, Ulmer, Thomas, and Carpenter were "ghost tickets" for offenses Ray did not observe. Instead, the Department relied on statements Ray made to the investigator about other tickets he had written over his six-year career. In his October 26, 2009 written statement, Ray stated:
A transcript of the October 26 recorded interview, played at the hearing, shows:
¶ 14. In his November 13, 2009 written statement, Ray stated: "During the time I have been employed with the [Department], I have written 20-25 tickets that may or may not be factual tickets. These tickets were seat belt violations. This was done to increase my ticket activity." A transcript of the November 13th recorded interview, played at the hearing, shows:
When asked why he would do this, Ray replied: "Poor judgment."
¶ 15. Ray testified that he did remember the twenty to twenty-five instances he spoke of and that the four motorists for which he was charged were not in that number. The investigator for the Department also testified that the four charged incidents were not in the twenty to twenty-five instances that Ray admitted.
¶ 16. Following the de novo hearing, the hearing officer made no findings of fact about the tickets issued to the four named motorists. Rather, the hearing officer found generally that Ray would stop motorists and issue a ticket, and that he would write additional tickets, which he recorded on his ticket-control sheets but did not give to the motorists. The order noted that, on two occasions, Ray admitted to the investigator that he had written twenty to twenty-five seat belt violation tickets that were not "valid," or were "not factual." As to the four motorists Ray was charged with, the order reflected only:
There was no finding that Ray falsified any of the tickets issued to these four motorists. The order concluded:
¶ 17. In its order affirming the hearing officer, the full EAB ruled:
¶ 18. The circuit court's order affirming the termination found that Ray falsified an official state document "by knowingly writing tickets when he was unsure if a violation had occurred and by creating false violations." Like the hearing officer and the full EAB before it, the circuit court made no finding that Ray falsified any of the tickets he issued to Patterson, Ulmer, Thomas, or Carpenter.
¶ 19. State employees have a statutory right to appeal terminations to the EAB. See Miss.Code Ann. § 25-9-131(1) (Rev.
Rule XXI C provides:
¶ 20. Appeals of EAB decisions may be taken to the circuit court. Bynum, 906 So.2d at 90 (¶¶ 13-14). The standard of review for appeals of EAB decisions to the circuit court, and from there, to the court of appeals, is set by statute. Miss.Code Ann. § 25-9-132 (Rev. 2010).
Bynum, 906 So.2d at 90 (¶ 16) (citations omitted). "[W]here an administrative agency errs as a matter of law, courts of competent jurisdiction should not hesitate to intervene." Miss. Dep't of Human Servs. v. McNeel, 10 So.3d 444, 451 n. 6 (Miss.2009).
¶ 21. In May 2010, the MDES affirmed an award of unemployment compensation to Ray, finding that "the employer has failed to show with clear and convincing evidence that the claimant's actions arose to the level of misconduct." Citing Bertucci v. Mississippi Department of Corrections, 597 So.2d 643 (Miss.1992), Ray argues that the MDES's ruling that he did not commit misconduct collaterally estops the EAB from upholding his termination.
¶ 22. In Bertucci, the Mississippi Department of Corrections (MDOC) fired an employee for falsifying records. Id. at 644. She was awarded unemployment compensation after a hearing in which the sole issue was whether she had falsified records. She was indicted in Harrison County for falsifying records, but the circuit court dismissed the indictment on the ground of collateral estoppel because the key factual issue had already been determined by an administrative agency in favor
¶ 23. We first note that this issue was raised by Ray at every stage of these proceedings, but was not ruled on by the EAB or by the circuit court. We further note that different statutory schemes cover the MDES and the EAB. Compare Miss.Code Ann. § 71-5-1 (Rev. 2011), et. seq. (MDES), with Miss.Code Ann. § 25-9-120 (Rev. 2010), et. seq. (EAB). Each has a different mission and a different burden of proof. In MDES cases, the burden is on the employer,
¶ 24. Ray argues that the hearing officer, the full EAB, and the circuit court all violated his statutory and constitutional rights to due process by considering and relying upon evidence outside of the charges for which he was terminated.
¶ 25. Due process requires that an accused be informed of the charges and that any disciplinary action be based on violations related to the specific charges levied against the employee. See Cleveland Bd. of Educ. v. Loudermill, 470 U.S. 532, 542, 105 S.Ct. 1487, 84 L.Ed.2d 494 (1985) (employees have due process rights prior to termination, which include "notice and opportunity for hearing."); In re Ruffalo, 390 U.S. 544, 550-51, 88 S.Ct. 1222, 20
¶ 26. Section 25-9-127(1) of the Mississippi Code Annotated, provides: "No employee... may be dismissed ... except for ... good cause, and after written notice and hearing ... as shall be specified in the rules and regulations of the State Personnel Board complying with due process of law...." Mississippi Code Annotated section 25-9-129 (Rev. 2010) creates the EAB process. Discharged employees are statutorily entitled to due process in their appeals to the EAB. Under Mississippi Code Annotated section 25-9-131 (Rev. 2010), employees "shall be afforded all applicable safeguards of procedural due process." The applicable rule in this case is EAB Administrative Rule XVIII (D), which provides: "The Presiding Hearing Officer shall hear or receive evidence only on those reasons and allegations contained in the responding agency's final disciplinary notice to the employee of such action." (Emphasis added).
¶ 27. During the investigation, Ray was never questioned regarding the stops involving Thomas or Carpenter. When asked about the Ulmer stop, all Ray could remember was that it possibly involved a seat belt or speeding violation. Ray had no memory of the Patterson stop. Since Ray did not admit to writing false tickets for the four motorists, we have examined the record to determine if the actual tickets, and the witnesses' statements concerning these four motorists, prove that any of the tickets were fictitious "ghost tickets."
¶ 28. Ray wrote two tickets to Patterson on June 3, 2009: one for speeding, and one for a seat belt violation. The ticket-control sheet indicated that both were voided. Patterson told the investigator that she was, in fact, speeding and given a warning for that. She stated that she was wearing her seat belt. The Department does not explain why, if Ray was only attempting to "pad his numbers," he voided the ticket for the admitted speeding violation. These facts do not support the conclusion that Ray wrote and voided a ticket for an offense he did not observe.
¶ 29. Ray wrote two tickets for Ulmer on June 22, 2009: one was for speeding, and one was for a seat belt violation. The ticket-control sheet indicated that both were voided. Ulmer initially told the investigator that he got a ticket for not wearing his seat belt, but not a speeding ticket. In a subsequent affidavit admitted into evidence, Ulmer said that, in addition to the seat belt violation, he was possibly speeding and got a warning for it. These facts do not support the conclusion that Ray wrote and voided a ticket for an offense he did not observe.
¶ 30. Ray wrote three tickets for Thomas on June 27, 2009. speeding, a seat belt violation, and an inspection-sticker violation. The ticket-control sheet indicated all three were voided. Thomas told the investigator that he did not receive any tickets. In a subsequent affidavit admitted into evidence, Thomas said he was pulled over for speeding, and he may also have received a warning for a seat belt violation. These facts do not support the conclusion that Ray wrote and voided a ticket for an offense he did not observe.
¶ 31. Ray wrote Carpenter two tickets on July 15, 2009: one was for a seat belt violation, and one was for an inspection-sticker violation. The ticket-control sheet indicated that the seat belt ticket was voided.
¶ 32. During oral argument before this Court, the Department could point to nothing connected to the four stops showing that they involved ghost tickets, and conceded that it had no evidence of false tickets other than Ray's statements. In its appellee's brief, the Department states that "[i]t was suspected, but never proven, that Ray executed far more falsified tickets than [he was] charged with." Therein lies the problem. Ray's statements provide the only evidence of falsified tickets, and those statements do not relate to the four charged instances. The Department's suspicion comes from Ray's statements concerning uncharged conduct. There is no proof as to the four charged instances.
¶ 33. The dissent relies primarily on two arguments. First, the dissent points out that Ray turned in seat belt violation tickets and speeding tickets, which he did not hand to Patterson, Thomas, Carpenter, and Ulmer. In the light of testimony that troopers sometimes refrain from handing warning tickets to motorists to avoid confusing them, this does not establish that these tickets were fraudulent.
¶ 34. Second, the dissent states:
Neither the hearing officer nor the full EAB made any findings of fact about the tickets issued to the specific four motorists at issue. The investigating officer testified that the tickets issued to the four named motorists were not included in the twenty to twenty-five instances to which Ray admitted. Ray never admitted that he falsified tickets to these four motorists. Close examination of the statements from the four motorists fails to show that Ray issued them tickets for offenses he did not observe.
¶ 35. In Bynum, 906 So.2d at 105 (¶ 85), this Court noted that an employing agency may not rely on conduct that was not the subject of the termination notice to justify a termination. "Because [the Mississippi Department of Education] failed to afford Bynum proper notice, [it] could not rely upon this conduct as a ground for terminating Bynum." Id. Ray's termination has been upheld at each stage of this proceeding on the basis of his apparent admission to writing tickets for non-offenses. This admission was not specific to the four actual charged offenses, however, and there was no other direct proof that any of these tickets were fraudulent.
¶ 36. Accordingly, we find the denial of Ray's statutory due-process rights mandates reversal of the agency's actions. McNeel, 10 So.3d at 451 n. 6 ("Where an administrative agency errs as a matter of law, courts of competent jurisdiction should not hesitate to intervene." (citing Grant Ctr. Hosp., Inc. v. Health Grp. of Jackson Inc., 528 So.2d 804, 808 (Miss. 1988))). Determining that Ray is entitled to reinstatement with the Highway Patrol
¶ 37.
LEE, C.J., ISHEE, ROBERTS AND FAIR, JJ., CONCUR. CARLTON, J., CONCURS IN RESULT ONLY WITHOUT SEPARATE WRITTEN OPINION. JAMES, J. CONCURS IN PART WITHOUT SEPARATE WRITTEN OPINION. IRVING, P.J., DISSENTS WITH SEPARATE WRITTEN OPINION, JOINED BY GRIFFIS, P.J., AND MAXWELL, J.
IRVING, P.J., dissenting:
¶ 38. The majority finds that the Department terminated Ray's employment for conduct other than that for which he was charged and, therefore, violated his due-process rights. More specifically, the majority finds that neither the hearing officer nor the full EAB or the circuit court found that Ray falsified any of the tickets he issued for Patterson, Ulmer, Thomas, or Carpenter. In my opinion, the majority's finding — that neither the hearing officer nor the full EAB found that Ray falsified any of the tickets he issued for Patterson, Ulmer, Thomas, or Carpenter — represents an unjustified and excessively narrow reading of the orders of the hearing officer and the full EAB that is not supported by the record. It is clear to me that both the hearing officer and the full EAB found that Ray wrote twenty to twenty-five fraudulent tickets that included the fraudulent tickets that he wrote for Patterson, Ulmer, Thomas, and Carpenter. Therefore, I dissent. I would affirm the judgment of the Circuit Court of Hinds County, which affirmed the order of the full EAB, terminating Ray's employment.
¶ 39. It is important to establish what Ray was charged with. To do so, I quote verbatim from the statement of charges filed by Captain Richard Watkins, Commander Troop J of the Southern Enforcement District:
¶ 40. As noted, Ray was charged with falsification of records, or other official state documents. Therefore, it is critical that there be a clear understanding of exactly what Ray did and how the Department classifies that action. The charging statement did not set forth the specifics of the falsification. The specifics were derived from the witnesses who testified on behalf of the Department, the first of whom being Lieutenant Colonel Don L. Berry.
¶ 41. Prior to Lieutenant Colonel Berry's testimony, counsel for the Department explained that the charge of falsification of records involved writing false tickets and that in the vernacular of the Highway Patrol, those are called "ghost tickets."
¶ 42. Lieutenant Colonel Berry testified that he was Deputy Director of the Uniform Division of the Highway Patrol and that he had been employed with the Mississippi Highway Patrol a little over thirty years. He testified that writing a fraudulent ticket is a group-three offense, the most severe offense, and that one group-three offense could lead to termination. He affirmed that it was not normal practice for officers to get the personal information of a motorist and write a ticket for offenses that did not occur.
¶ 43. The next witness to testify was Master Sergeant Creede Mansell. Sergeant Mansell confirmed that Ray was charged with writing fraudulent tickets to only four individuals: Patterson, Thomas, Ulmer, and Carpenter. Sergeant Mansell identified a statement given by Patterson, which recited what occurred when she was pulled over by Ray. In the statement, Patterson said that she was wearing her seat belt when she was pulled over for speeding. She admitted to Ray that she had been speeding and apologized. Patterson said that Ray took her driver's license and returned a short time later. Ray did not give Patterson a ticket for anything but told her to slow down. However, Trooper Ray turned in two tickets written for Patterson, one for speeding and one for not wearing a seat belt. Neither ticket had the word "warning" written on it.
¶ 44. Sergeant Mansell also testified regarding the tickets that Ray issued to Thomas, Ulmer, and Carpenter. As to Thomas, Ray issued tickets for an expired inspection sticker, speeding, and a seat belt violation. Thomas gave a statement to Sergeant Mansell wherein he stated that he did not remember ever getting the speeding or expired-inspection-sticker ticket and that he was sure he never received a ticket for a seat belt violation.
¶ 45. According to Sergeant Mansell, Ray wrote two tickets for Ulmer: one for speeding and one for a seat belt violation. However, Ulmer gave a statement to Sergeant Mansell wherein he stated that Ray gave him a ticket for the seat belt violation but did not give him one for speeding and never mentioned anything about speeding to him.
¶ 46. Finally, Sergeant Mansell testified about the tickets that Ray issued to Carpenter. Mansell stated that Ray wrote two tickets for Carpenter: one for an expired
¶ 47. Ray gave four statements: two in his handwriting and two in the form of a question-and-answer interview. In the first one, given on October 26, 2009, in interview form to Sergeant Mansell, Ray stated the following:
A. Yeah.
Following the interview, Ray wrote the following statement and gave it to Sergeant Mansell:
¶ 48. In the next statement that Ray gave to Sergeant Mansell, in interview form, Ray stated the following:
A. Yes.
A. What's going to happen next?
Following the above interview, Ray wrote the following statement and gave it to Sergeant Mansell: "During the time I have been employed with the MDPS, I have written 20-25 tickets that may or may not be factual tickets. These tickets were seat belt violations. This was done to increase my ticket activity."
¶ 49. As to the charges brought against Ray, the Performance Review Board unanimously determined: "Group Three Offense (Four Counts) — (falsification of records, such as, but not limited to, vouchers reports, time records, leave records, employment applications or other official state documents) is founded." On appeal to the EAB, the hearing officer found the Department had sufficient grounds for terminating Ray. In arriving at this ultimate finding, the hearing officer also found:
On appeal, to the full EAB, the full EAB found:
¶ 50. Based on the plethora of evidence that Ray turned in false tickets for four individuals who were identified at the beginning of the hearing, it is not clear to me why the majority finds that neither the hearing officer nor the full EAB found that Ray falsified any of the tickets he issued to those four individuals, namely: Patterson, Ulmer, Thomas, and Carpenter. I assume the majority bases its finding on its narrow reading of those orders. Regardless, in my judgment, the majority's finding is not borne out by this record. It is clear that Ray admitted to writing twenty to twenty-five fraudulent tickets for seat belt violations that did not occur. He also admitted that he had not written, in his entire career, more than that number for seat belt violations that had not occurred.
¶ 51. The evidence is uncontradicted that Ray was the officer who wrote and turned in seat-belt-violation tickets for Patterson, Thomas, and Carpenter. He also wrote and turned in a speeding ticket for Ulmer that he did not give to Ulmer. The evidence is also uncontradicted that Patterson, Thomas, and Carpenter were not given a citation for a seat belt violation by Ray when he stopped them. Also, Ulmer stated that Ray did not give him a ticket for speeding and never mentioned speeding to him; yet Ray wrote and turned in a speeding ticket for Ulmer. The tickets for the seat belt violations that Ray wrote for Patterson, Thomas, and Carpenter had to be included in the twenty to twenty-five tickets for seat belt violations that he wrote, as the evidence is clear that Ray wrote only twenty to twenty-five fraudulent tickets for seat belt violations in his entire career. And since both the hearing officer and the full EAB found that Ray wrote false tickets for seat beat violations, how can it be said that the hearing officer and full EAB did not find that Ray falsified the tickets for these four individuals? I should note the majority states that neither the hearing officer nor the full EAB found that the tickets Ray gave to Patterson, Thomas, Carpenter, and Ulmer were falsified. If the majority's finding and holding are based on the lack of findings with respect to falsification of tickets given to the four individuals, then the majority has failed to grasp the breadth of the charges leveled against Ray. The falsification involved tickets that were written by Ray and turned in to his superiors for violations that never occurred, not the tickets that were written
¶ 52. Finally, in my judgment, while the orders of the hearing officer and the full EAB do not make a specific finding that Ray wrote fraudulent tickets for any named individual, it is clear that the findings made in the orders refer to Ray's ticket-writing conduct with respect to Patterson, Thomas, Ulmer and Carpenter, as well as to his conduct generally with respect to fraudulent ticket writing involving other unnamed individuals. To find that the hearing officer and the full EAB did not find that, on four occasions, Ray falsified an official state document, a traffic ticket, by turning in false tickets for seat belt violations for Patterson, Thomas, Carpenter and Ulmer is to ignore the undisputed facts in this record and to read the orders in a vacuum. I cannot do so. Therefore, I dissent. I would affirm the judgment of the Hinds County Circuit Court affirming the order of the full EAB terminating Ray from the Department.
GRIFFIS, P.J., AND MAXWELL, J., JOIN THIS OPINION.