DocketNumber: A141681
Citation Numbers: 220 Cal. Rptr. 3d 497, 13 Cal. App. 5th 1, 2017 WL 2791413, 2017 Cal. App. LEXIS 585
Judges: Streeter
Filed Date: 6/27/2017
Status: Precedential
Modified Date: 10/19/2024
*4Government Code
In this appeal, the City and County of San Francisco (City) seeks review of the trial court's order granting injunctive relief to Paulo Morgado (Morgado), a non-probationary City police officer whose employment was terminated following misconduct findings. The City argues the court erred in finding the City's procedure for disciplining police officers violates section 3304, subdivision (b).
We disagree and will affirm.
I. BACKGROUND
On or about March 1, 2008, a citizen with whom Morgado interacted filed a complaint against him with the Office of Citizen Complaints (OCC) of the City's Police Department.
The Commission assigned one of its seven members to investigate the complaint, first on August 28, 2009, and then, after that commissioner stepped down, another on June 8, 2010. That commissioner held a full evidentiary hearing on August 2 and 3, 2010, in which Morgado participated. Later, on March 30, 2011, Morgado, represented by counsel, participated in a hearing before the full Commission, at the conclusion of which the Commission sustained *501four of the six counts against him and decided to terminate his employment.
Dissatisfied with the Commission's decision, on February 16, 2012, Morgado sued the City, the OCC, the Chief, and the Commission, seeking injunctive *5relief and a writ of administrative mandate to direct the defendants to reinstate him. Responding to a discovery request by Morgado, the City "admit [ted]," as a factual matter, the "only punitive action undertaken against him" was the Commission's decision "to terminate [his] employment." The City further "admit[ted]," as a factual matter, it did not provide Morgado with an "administrative appeal" from the Commission's decision to terminate his employment. After the trial court denied the City's motion for summary judgment in October 2013, the case proceeded to a bench trial.
The court issued a written statement of decision and entered judgment in favor of Morgado on February 26, 2014. Relying on sections 3304, subdivision (b) (requiring "an opportunity for administrative appeal") and 3309.5, subdivision (d)(1) (giving the trial court discretion to grant injunctive relief), and pertinent case law, the court issued an order (1) enjoining the Commission "from taking any punitive action against Morgado pursuant to the complaint ... unless the Officer has first been provided an opportunity for administrative appeal from that action," (2) vacating his termination, and (3) directing the City to provide him an "opportunity for administrative appeal" from the Commission's decision to terminate his employment. The court specifically noted it was "not changing any other findings made by the Police Commission."
The City filed a timely notice of appeal.
II. DISCUSSION
A. Standard of Review
We review questions of statutory interpretation de novo. (See California Apartment Assn. v. City of Fremont (2002)
At the heart of this appeal is whether a "punitive action" was taken against Morgado, and if so, when that action took place. The City admitted during discovery that the "first and only 'punitive action' " here was the Commission's decision to terminate Morgado's employment. We view this issue as a mixed *6question of fact and law. (See Crocker National Bank v. City & County of San Francisco (1989)
B. The PSOPBRA "Administrative Appeal" Requirement
Four decades ago, the Legislature enacted the PSOPBRA " 'to maintain stable employer-employee relations and thereby assure effective law enforcement.' " ( Pasadena Police Officers Assn. v. City of Pasadena (1990)
Subdivision (b) of section 3304 provides, in relevant part, that "[n]o punitive action ... shall be undertaken by any public agency against any public safety officer ... without providing the public safety officer with an opportunity for administrative appeal." Section 3304.5 further provides that "[a]n administrative appeal instituted by a public safety officer under [the PSOPBRA] shall be conducted in conformance with the rules and procedures adopted by the local public agency." Section 3303, in turn, defines "punitive action" as "any action that may lead to dismissal, demotion, suspension, reduction in salary, written reprimand, or transfer for purposes of punishment."
*7The purpose of the administrative appeal requirement is "to ensure a peace officer subjected to punitive action has the 'opportunity "to establish a formal record of the circumstance surrounding his termination" [citation] and "to attempt to convince the employing agency to reverse its decision , either by demonstrating the falsity of charges which led to punitive action, or through proof of mitigating circumstances." ' " ( San Diego Police Officers Assn. v. City of San Diego Civil Service Com. (2002)
The City argues the proceedings against Morgado complied with the "letter and the intent" of the "administrative appeal" requirement under section 3304, subdivision (b), because "the Commission proceeding is the appeal that [PSOPBRA] requires the City to make available before 'undertaking' the disciplinary action sought by the Chief and/or the OCC." (Italics added.)
*503And, the City argues, the first "punitive action" was not, as the trial court found, the Commission's decision to terminate Morgado's employment, but rather was "the Chief's complaint." Morgado and amicus curiae, the San Francisco Police Officers Association, disagree, arguing the City failed to provide an "administrative appeal from the first and only punitive action taken against him, i.e., the Commission's termination decision."
As noted, the City takes the position that the Chief's complaint to the Commission constituted a "punitive action" under section 3304, subdivision (b), and that, as a result, the Commission's proceedings constituted an "appeal" from that "punitive action." We agree with the City that an action by an officer's employer that may lead to future discipline may be considered a "punitive action" within the meaning of section 3304, subdivision (b). Section 3303 provides that "punitive action means any action that may lead to dismissal, demotion, suspension, reduction in salary, written reprimand, or transfer for purposes of punishment." (Italics added.) Accordingly, a punitive action triggering an officer's administrative appeal rights may exist when "action is taken which may lead to the adverse consequences specified in section 3303 at some future time ." ( Otto v. Los Angeles Unified School Dist. (2001)
We have no quarrel with the general proposition that, when an action taken by an officer's employer is not one of the sanctions listed in section 3303 but "may lead" in the future to one of the consequences specified in that statute, that action is a punitive action triggering an officer's right to an administrative appeal under section 3304, subdivision (b). But in our view, it does not necessarily follow that, where an interim step in a disciplinary proceeding against an officer (such as a recommendation that further proceedings be conducted) "may lead" to discipline at the end of that proceeding, a public entity satisfies section 3304, subdivision (b) by permitting the officer to administratively challenge only the interim step and providing him or her no opportunity to challenge the discipline that is ultimately imposed.
Thus, although we agree with the City that an action portending future discipline may constitute a punitive action triggering an officer's appeal rights, we do not agree with its conclusion that therefore an officer need not be given an opportunity to administratively appeal a subsequent decision to impose discipline (reached here by the Commission). Even if the Chief's complaint constituted a "punitive action," Morgado's termination was itself a "punitive action" under the statute, from which he has the right to "an opportunity for administrative appeal." ( § 3304, subd. (b) ; see § 3303; Gordon v. Horsley, supra, 86 Cal.App.4th at p. 347,
*504San Diego Police Officers Assn. v. City of San Diego Civil Service Com., supra, 104 Cal.App.4th at p. 280,
*9An interpretation of the term "administrative appeal" that permits an officer to challenge the decision to discipline him (rather than permitting him to challenge only a complaint or recommendation made earlier in the disciplinary process, while denying him the right to challenge the actual decision) also is consistent with a conventional understanding of an "administrative appeal." (See Doyle, supra, 117 Cal.App.3d at p. 679,
In support of its argument that the Commission's proceedings constitute an "opportunity for administrative appeal" (even though they preceded the decision to terminate Morgado), the City cites Mays v. City of Los Angeles (2008)
Mays was an appeal following the issuance of a letter of reprimand to a Los Angeles police officer by the chief of police and an administrative appeal from that reprimand initiated by the officer. ( Mays , supra , 43 Cal.4th at pp. 318-319,
The City's reading of both Mays and Crupi is that those courts implicitly recognized that any adjudication following an officer's first exposure to punitive action in an investigation may be deemed an appeal. The premise of this interpretation, however-which is the flaw running throughout its argument here-is its failure to recognize there may be multiple steps in a disciplinary process that amount to "punitive actions" triggering the right to appeal. As we have discussed, the final step here, the Commission's decision to terminate Morgado, was such an action. Neither Mays nor Crupi holds that, because a municipality provides an appeal from punitive actions taken early in the disciplinary process, the municipality is excused from providing an appeal from a later punitive action (here, the ultimate sanction of dismissal).
The appellate court in Holcomb noted that the Los Angeles City Charter expressly authorized the board of rights to recommend a more serious punishment than the one originally imposed. ( Holcomb, supra, 210 Cal.App.3d at p. 1566,
We are not persuaded that Holcomb brings the City's procedure at issue here into compliance with the administrative appeal requirement in section 3304, subdivision (b). As noted, the Holcomb court concluded a hearing that follows the imposition of some level of punishment but could result in a change in the originally-imposed punishment constituted an administrative appeal, and the increased punishment did not violate section 3304, subdivision (a) 's prohibition on retaliation. Assuming that is correct, Holcomb did not address whether the administrative appeal requirement of section 3304, subdivision (b) is satisfied by a hearing that precedes the employer's selection or imposition of any specific disciplinary sanction. For the reasons discussed above, we conclude the City's procedure, in which the Commission hearing precedes any such decision by the City as to which punishment to impose, does not satisfy the administrative appeal requirement, because there is no opportunity for the officer to convince the employer to reverse the decision.
The City acknowledges it did not provide Morgado an "opportunity for administrative appeal" from the Commission's decision to terminate him, effectively conceding this point. We therefore conclude a "punitive action [i.e., the Commission's termination decision] ... [was] undertaken by [the City] against [Morgado] ... without providing [him] with an opportunity for administrative appeal." ( § 3304, subd. (b).) Because the City deprived Morgado of the process he was due by statute, we must affirm the trial court's judgment and directive that the City comply with section 3304, subdivision (b) by now providing Morgado "an opportunity for administrative appeal." (See
We do not hold, however, that the City must provide Morgado a second evidentiary hearing akin to the Commission proceeding, or that such a hearing must occur before a body that is separate from the Commission. We acknowledge courts have concluded that an administrative appeal under the PSOPBRA must involve " 'an "independent re-examination " ' of an order or decision made," that "the reexamination must be conducted by someone who has not been involved in the initial determination," and that the independent decision maker must make factual findings that can be reviewed by the courts. ( Caloca v. County of San Diego (2002)
The Commission proceeding fulfills some of these purposes and requirements. It provides an opportunity for an officer to develop a formal record of the underlying events and other circumstances surrounding the City's disciplinary decision, and the proceeding is an evidentiary hearing before a neutral fact finder, i.e., the Commission is not "the individual or agency that has initiated punitive action against a peace officer" (see *508Caloca v. County of San Diego, supra, 102 Cal.App.4th at p. 444,
C. The City's "Home Rule" Argument
The City next advances what it styles a "home rule" argument, viz., that the requirement it provide an opportunity for administrative appeal could *14present potential questions of a conflict between article XI, section 5 of the California Constitution and section 3304, subdivision (b). The City notes the constitutional provision grants charter cities the authority to regulate their police forces and "plenary authority" to provide in their charters for the "compensation, method of appointment, qualifications, tenure of office and removal" of their employees. ( Cal. Const., art. XI, § 5, subd. (b)(1), (4).) The City argues this court should construe the PSOPBRA in a manner that will avoid any conflict with the City's charter provisions concerning the discipline of police officers. The City also contends "the [administrative appeal] requirement is not reasonably related and narrowly tailored to achieve its purpose because [the City's] existing disciplinary procedures afford protections that already exceed [the PSOPBRA's] minimum mandates."
Our Supreme Court has explained that, when there is an " 'actual conflict' " between a state statute and a charter city's enactment, and the "local matter under review 'implicates a "municipal affair," ' " the court must determine whether (1) " 'the subject of the state statute is one of statewide concern,' " and (2) " 'the statute is reasonably related [and "narrowly tailored"] to its resolution.' " ( *509Johnson v. Bradley (1992)
The latter two conditions are established here by controlling precedent. As the City acknowledges, our Supreme Court expressly held in Baggett that the PSOPBRA addresses a matter of statewide concern, i.e., the "maintenance of stable employment relations between police officers and their employers." ( Baggett , supra , 32 Cal.3d at pp. 139-140,
As to the antecedent question whether there is an actual conflict between a state statute and a charter city enactment, the City notes our Supreme Court's admonition that we should "carefully insur[e]" the conflict is a genuine one. ( CalFed , supra , 54 Cal.3d at pp. 16-17,
We are mindful of this principle, but as discussed in part II.B above, we are persuaded that, in this case, there is an actual conflict between section 3304, subdivision (b)'s administrative appeal requirement on the one hand, and the City's disciplinary procedure on the other, specifically the City's failure to provide Morgado an opportunity to " ' "attempt to convince the employing agency to reverse its decision " ' " to terminate his employment. ( San Diego Police Officers Assn. v. City of San Diego Civil Service Com., supra, 104 Cal.App.4th at p. 280,
We also reject the City's related contention that its procedure is valid under section 3310, which provides a public agency need not follow a particular PSOPBRA procedure if it establishes its own procedure that "at a minimum provides to peace officers the same rights or protections as provided pursuant to [the PSOPBRA]." (§ 3310; see Crupi , supra , 219 Cal.App.3d at p. 1121,
Finally, and despite the holding in Baggett , the City contends the PSOPBRA's administrative appeal requirement should not apply to the City because, in light of other procedural protections in the City's existing disciplinary scheme (which it contends exceed those in some other municipalities), the appeal requirement is not "reasonably related" or "narrowly *16tailored" to the statutory purpose. We disagree. An officer's right to an administrative appeal challenging a punitive action taken against him or her is one of the "basic," "minimum" rights secured by the PSOPBRA. ( Baggett , supra , 32 Cal.3d at p. 135,
In sum, as Morgado points out, the City's "home rule" argument rests upon a flawed premise: the City's procedures do not meet, let alone "exceed," the "minimum mandates" of the PSOPBRA, because they do not allow for "an opportunity for administrative appeal" from the "punitive action" ultimately taken against Morgado-i.e., his termination by the Commission. (See § 3304, subd. (b) ; Baggett , supra , 32 Cal.3d at p. 135,
III. DISPOSITION
The trial court's judgment and accompanying injunctive order are affirmed.
We concur:
Ruvolo, P.J.
Rivera, J.
All undesignated statutory references are to the Government Code.
The OCC is now the Department of Police Accountability. (See S.F. Prop. G, adopted Nov. 8, 2016, adding S.F. Charter, § 4.136 and amending
Pursuant to section A8.343 of the Appendix to the City Charter, the Chief can impose a disciplinary suspension up to 10 days (from which the officer may appeal to the Commission) or file a complaint with the Commission for harsher sanctions.
In Doyle v. City of Chino (1981)
The current version of section 3304, subdivision (d), which was amended after the Mays decision, does require notice of the proposed discipline. (§ 3304, subd. (d)(1) ; see Neves v. California Dept. of Corrections & Rehabilitation (2012)
We do not hold a municipality must provide multiple administrative appeals during a single disciplinary proceeding against an officer. We hold only that the provision of a hearing that could be considered an administrative appeal, in the middle of the disciplinary proceeding, does not excuse the municipality from providing the officer an opportunity to administratively appeal the ultimate disciplinary decision at the end of it.
Section 3304, subdivision (a) provides in part: "No public safety officer shall be subjected to punitive action, or denied promotion, or be threatened with any such treatment, because of the lawful exercise of the rights granted under this chapter, or the exercise of any rights under any existing administrative grievance procedure."
In support of the argument that its procedures comply already with section 3304, subdivision (b), the City requests that we take judicial notice of (1) provisions of the Los Angeles City Charter setting forth procedures that are purportedly comparable to the City's procedures, and (2) a written statement submitted by the Los Angeles Police Protective League in 1975 to the California Senate Judiciary Committee in support of legislation providing procedural protections for police officers. We deferred action on this request until resolution of the merits of the appeal, and now grant it in part and deny it in part.
We grant the request as to the submitted provisions of the Los Angeles City Charter. (See Evid. Code, § 451, subd. (a) [court must take judicial notice of provisions of charter described in Cal. Const., art. XI, §§ 3, 4 or 5, i.e., county and city charters]; Evid. Code, § 459, subd. (a).) As discussed in the text, however, we find distinguishable the cases cited by the City that arose from disciplinary proceedings in Los Angeles.
We deny the request for judicial notice as to the 1975 statement by the Los Angeles Police Protective League, which the City argues is subject to discretionary notice because it is part of the PSOPBRA's legislative history and is relevant in assessing the general purposes of the PSOPBRA. Barring exceptional circumstances, we will not exercise discretion to take notice of evidence not submitted to the trial court (see Vons Companies, Inc. v. Seabest Foods, Inc. (1996)