Moody v. State District Public Defenders Conference

IN THE COURT OF APPEALS OF TENNESSEE
AT NASHVILLE
FILED
March 27, 1998
EDWARD H. MOODY, )
) Cecil W. Crowson
Plaintiff/Appellant, ) Appellate Court Clerk
) Appeal No.
) 01-A-01-9707-CH-00311
VS. )
) Davidson Chancery
) No. 97-159-III
STATE OF TENNESSEE DISTRICT )
PUBLIC DEFENDERS CONFERENCE, )
)
Defendant/Appellee. )
APPEALED FROM THE CHANCERY COURT OF DAVIDSON COUNTY
AT NASHVILLE, TENNESSEE
THE HONORABLE ELLEN HOBBS LYLE, CHANCELLOR
J. RONNIE GREER
P. O. Box 454
Greeneville, Tennessee 37744
Attorney for Plaintiff/Appellants
JOHN KNOX WALKUP
Attorney General and Reporter
GINA J. BARHAM
Deputy Attorney General
425 Fifth Avenue North
Nashville, Tennessee 37243
Attorney for Defendant/Appellee
AFFIRMED AND REMANDED
BEN H. CANTRELL, JUDGE
CONCURS:
TODD, P.J., M.S.
DISSENTS:
KOCH, J.
OPINION
An assistant district public defender filed a complaint in the Davidson
County Chancery Court, seeking a declaratory judgment under the Uniform
Administrative Procedures Act (UAPA) that the District Public Defenders’ Conference
had set his salary level too low, in light of his years of prior government service. The
Chancery Court dismissed the complaint for lack of subject matter jurisdiction, on the
ground that the Conference does not meet the definition of an agency that is found
in the UAPA, and that it is therefore not subject to the Act’s provisions. We affirm.
I.
Edward H. Moody was appointed as an assistant district public defender
for the Third Judicial District of Tennessee on July 1, 1992. Prior to this appointment,
he had served as a state legislator, a special agent of the FBI, a Hamblen County
general sessions judge and an assistant district attorney. Mr. Moody’s compensation
as an assistant public defender was set in accordance with Tenn. Code Ann. § 8-14-
207. The version of the statute in effect at that time set the compensation of
assistants at a varying percentage of the salary received by the district public
defender, with the exact percentage to be determined by the number of years of prior
service.
Under the statute, the maximum percentage of a public defender’s
salary that an assistant could receive was 85%, which could be achieved after nine
years of satisfactory service. Mr. Moody was found to have qualified for this level of
compensation as a result of prior state service.
In 1994, Tenn. Code Ann. § 8-14-207 was amended to increase the
compensation of district public defenders, and to alter the method of calculating
compensation for assistants. Starting July 1, 1994, those salaries were to be for a
fixed amount that increased with additional years of service, rather than for a
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percentage of the public defender’s salary. While under the prior scheme the salary
of assistants topped out after nine years of service, under the new law they were
entitled to annual increases until after they had completed their twentieth year of
service.
Mr. Moody was given credit for eleven years of prior service, and his
salary was set accordingly. He subsequently petitioned the District Public Defenders
Conference for a declaratory order that by virtue of more than twenty years of prior
government service, he was entitled to the maximum salary the law permitted
assistant public defenders.1 The conference refused to issue such a declaratory
order, and Mr. Moody filed a complaint for a declaratory judgment and for back pay
in the Chancery Court of Davidson County, invoking the provisions of Tenn. Code
Ann. § 4-5-224 of the Uniform Administrative Procedures Act (UAPA).
The trial court dismissed the complaint for lack of subject matter jurisdiction,
finding that the UAPA did not apply to the District Public Defenders Conference,
because that body did not meet the definition of an “agency,” as set out in Tenn. Code
Ann. § 4-5-102(2) of the UAPA. This appeal followed.
II.
The Uniform Administrative Procedures Act was enacted in 1974, and
was “. . . designed to clarify and bring uniformity to the procedure of state
administrative agencies and judicial review of their determination . . . .” Tenn. Code
1
Under both the earlier and the later statute, Tenn. Code Ann. § 8-14-207(d) reads:
In com puting the num ber of yea rs of ser vice und er the sa lary scale ap plicable to
full-tim e ass istan ts an d dist rict inv estig ators , cred it ma y be giv en fo r an a ssis tant’s
prior experience as a licensed attorney, full-time, salaried law enforcement officer
or cr imin al inve stiga tor fo r a dis trict at torne y gene ral. Su ch c redit s hall be given only
upon the recommendation of the district public defender making the appointment
and the approval of the executive com mittee of the district public defenders
conference, and may be for any period of time up to, but not exceeding the
assistant’s experience as a licensed attorney or district investigator.
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Ann. § 4-5-103(a). Notwithstanding this breadth of purpose, certain governmental
bodies (including the governor, the legislature and the courts), and certain kinds of
proceedings, are specifically excluded from the provisions of the Act. Tenn. Code
Ann. § 4-5-106. Further, the Act has also been found to be “. . . inapplicable to
proceedings that do not fit within its adjudicatory or rule-making definitions.” Mid-
South Indoor Horse Racing, Inc. v. Tennessee State Racing Commission, 798 S.W.2d
531, 536 (Tenn. App. 1990). See also Christian v. Tennessee Petroleum Storage
Tank Board, 928 S.W.2d 927 (Tenn. App. 1996).
Tenn. Code Ann. § 4-5-102 of the Act defines an agency as follows:
(2) "Agency" means each state board, commission,
committee, department, officer, or any other unit of state
government authorized or required by any statute or
constitutional provision to make rules or to determine
contested cases;
Thus, a governmental body is not an agency subject to the UAPA,
unless it is authorized or required to make rules or determine contested cases. The
same statute defines “contested case” and “rule” as follows:
(3) "Contested case" means a proceeding, including a
declaratory proceeding, in which the legal rights, duties or
privileges of a party are required by any statute or
constitutional provision to be determined by an agency
after an opportunity for a hearing . . .
...
(10) "Rule" means each agency statement of general
applicability that implements or prescribes law or policy or
describes the procedures or practice requirements of any
agency. "Rule" includes the amendment or repeal of a
prior rule, but does not include:
(A) Statements concerning only the internal management
of state government and not affecting private rights,
privileges or procedures available to the public;
...
Further portions of the Act set out in detail the procedures to be followed
for rulemaking, including public hearings on the content of proposed rules, the
conduct of those hearings, approval of the legality of the rules by the Attorney
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General, and the filing of the rules with the Secretary of State, with subsequent
publication in the monthly administrative register. See Tenn. Code Ann. § 4-5-201,
et seq.
The conduct of contested cases is governed by Tenn. Code Ann. § 4-5-
301, et seq. The judicial or quasi-judicial nature of such proceedings is indicated by
sections on such matters as separation of functions, ex-parte communications,
representation, discovery subpoenas and rules of evidence.
The District Public Defenders Conference was established by the
Legislature in 1989. There is nothing in the statute establishing the Conference to
indicate that the Legislature intended to authorize it to make rules or to determine
contested cases in accordance with the requirements of Tenn. Code Ann. §§ 4-5-201,
et seq. and 4-5-301, et seq. The Legislature is presumed to have knowledge of its
prior enactments and to know the state of the law at the time it passes legislation.
Wilson v. Johnson County, 879 S.W .2d at 809 (Tenn. 1994). Thus, it could have
easily made the Conference subject to the UAPA if it so desired.
The word “rules” is used in the statutory description of the duties of the
Conference, but the context does not appear to signify the sort of rule-making
procedures that are contemplated by the UAPA:
8-14-303. Duties.-- It is the duty of the conference
to give consideration to the enactment of such laws and
rules of procedure as in its judgment may be necessary to
the more effective administration of justice and thus
promote peace and good order in the state. To this end,
a committee of its members shall be appointed to draft
suitable legislation and submit its recommendations to the
general assembly.
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We must thus conclude that the Conference is not authorized or
required by statute to make rules or to conduct contested cases, as those terms are
defined in the UAPA.
III.
Appellant relies almost entirely on a single case, Crawford v. Tennessee
Consolidated Retirement System, 732 S.W.2d 293 (Tenn. App. 1987) for its argument
that the Public Defenders Conference should be subject to the Act. In that case, this
court found that members of the Attorneys General Retirement System were entitled
to bring a suit for declaratory judgment under the UAPA against the Tennessee
Consolidated Retirement System (TCRS), in part because the TCRS was required by
its enabling statute, Tenn. Code Ann. § 8-34-201, et seq., to adopt and publish rules
and regulations for the administration of the funds it controlled. 732 S.W.2d at 295.
Tenn. Code Ann. § 8-34-313.
The court went on to discuss the function of the TCRS and to state that
“[t]he establishment of mortality and service tables
and interest rates is certainly a statement of general
applicability that implements law or policy and directly
affects the benefits accruing to all public employees
subject to the Consolidated Retirement System, and are
not merely rules for the internal administration of the
agency.
...
“. . . there is an additional reason why the Board is
an adjudicative agent. By being charged with the
exclusive management of a division of State Government
with exclusive authority to administer and disburse trust
funds to thousands of governmental retirees, the Board is
vested with implied and necessary power and duty to
determine the amounts to be disbursed to each retiree.
This power involves rights of individuals which may not be
infringed without due process which brings to bear a
constitutional mandate to conduct fair hearings and
render just decisions in the ‘contested’ cases which must
of necessity arise in the performance of such a duty.”
732 S.W.2d at 296.
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Appellant argues that the logic applied to the TCRS applies with equal
force to the Tennessee Public Defenders Conference, by virtue of the obligation of
that body’s executive director to “certify the level of compensation awarded to
assistant district public defenders based on prior service credits,” Tenn. Code Ann.
§ 8-14-207(b)(3), and to
“[d]raw and approve all requisitions for the payment of
public monies appropriated for the maintenance and
operation of the judicial branch of government which
relate to the offices of the district public defenders, and
[to] audit claims and prepare vouchers for presentation to
the Department of Finance and Administration, including
payroll warrants, . . . .”
Tenn. Code Ann. § 8-14-403(f).
If we were to adopt the appellant’s argument, we would be compelled
to find that any governmental body that was authorized to handle public funds falls
under the provisions of the UAPA. However, there is an important distinction between
the funds administered by the TCRS and those administered by the Conference. In
dealing with retirement benefits, the TCRS is dealing with the vested rights of state
employees, see Abernathy v. TCRS, 655 S.W.2d 143 (Tenn. 1983). As noted in
Crawford, disputes about such rights necessarily involve due process proceedings
that must meet constitutional standards.
The appellant has conceded that Assistant Public Defenders are
employees at will, and so they do not have vested rights in their employment that
require constitutional protection. Thus, just as the Conference is not required or
authorized by any statutory provision “to make rules or to determine contested
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cases,”2 there is also no constitutional provision requiring it to take such action, and
it is not an “agency” subject to the provisions of the UAPA.
IV.
The order of the trial court is affirmed. Remand this cause to the
Chancery Court of Davidson County for further proceedings consistent with this
opinion. Tax the costs on appeal to the appellant.
____________________________
BEN H. CANTRELL, JUDGE
CONCUR:
_______________________________
HENRY F. TODD, PRESIDING JUDGE
MIDDLE SECTION
DISSENTING OPINION:
WILLIAM C. KOCH, JR., JUDGE
2
In 1984 an additional sentence was added to the definition of a contested case in Tenn.
Code Ann. § 4-5-102(3). That sentence says, “an agency may commence a contested case at any
time with re spe ct to a ma tter w ithin th e age ncy’s jurisd iction .” It cou ld be a rgue d tha t by this
provision all agencies of state government are authorized to determine contested cases. We are of
the opinion , howeve r, that the de finition of age ncy in Ten n. Code Ann. § 4- 5-102(2 ) also app lies to
this provision, so that only those agencies already authorized or empowered to make rules or
determ ine conte sted ca ses m ay com men ce a co ntested case w ith respec t to a ma tter within its
jurisdiction.
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