ASSOCIATION OF ORANGE COUNTY DEPUTY SHERIFFS, Plaintiff and Appellant, v. COUNTY OF ORANGE et al., Defendants and Respondents.
No. G047167
Fourth Dist., Div. Three
June 12, 2013
217 Cal.App.4th 29
Law Offices of James E. Trott and James E. Trott for Plaintiff and Appellant.
Nicholas S. Chrisos, County Counsel, and Leon J. Page, Deputy County Counsel, for Defendants and Respondents.
Opinion
FYBEL, J.—
INTRODUCTION
By Orange County Sheriff Sandra Hutchens’s (the Sheriff) order, effective January 1, 2011, any member of the Orange County Sheriff’s Department (the Department) who is under investigation for misconduct is no longer permitted access to the Department’s internal affairs investigative file before being interviewed by an internal affairs investigator. The Association of Orange County Deputy Sheriffs (the Association) filed a petition for writ of mandate and sought a preliminary injunction against Orange County (the County), the Department, the Sheriff, and the County’s board of supervisors (collectively, defendants). The Association alleged the Sheriff’s order violated the meet-and-confer requirements of the Meyers-Milias-Brown Act (MMBA) (
We affirm. We hold the Sheriff’s order delaying access to the internal affairs investigative files until after the investigative interview was within her legal authority and not subject to meet-and-confer requirements. Our holding applies the analysis of our Supreme Court in Pasadena Police Officers Assn. v. City of Pasadena (1990) 51 Cal.3d 564 [273 Cal.Rptr. 584, 797 P.2d 608] (Pasadena). We also address a question the California Supreme Court expressly did not reach in Pasadena, and hold a long-standing past practice of preinvestigative interview access to the investigative file, alone, does not constitute a working condition within the meaning of the MMBA.
The trial court properly applied the test for determining whether an issue falls within the scope of representation under the MMBA as set forth by our Supreme Court in Claremont Police Officers Assn. v. City of Claremont (2006) 39 Cal.4th 623 [47 Cal.Rptr.3d 69, 139 P.3d 532] (Claremont) and
FACTS
The Department has an internal affairs bureau of its Professional Standards Division.1 For “many years,” the Department allowed deputies, investigators, and sergeants, who were under investigation for misconduct and possibly subject to discipline (principals), “complete access” to the Department’s internal affairs investigative files before submitting to an investigative interview by internal affairs investigators.2
The investigative files include memoranda written by managers and supervisors; witness statements gathered by an internal affairs investigator; transcripts of interviews with other employees; and, when available, physical evidence including video footage. Before the Sheriff’s order became effective, a principal was permitted to spend as much time “as needed” to review the investigative file, and might spend several hours, if not days, reviewing the file. A principal was also allowed to review the contents of the investigative file with his or her attorney or union representative and to make personal notes of the contents.
In her declaration, the Department’s Captain Linda Solorza stated the Department’s practice of providing preinvestigative interview access to the investigative file interfered with the internal affairs bureau’s ability “to conduct prompt, thorough, and fair investigations into peace officer misconduct.” Evidence showed the preinvestigative interview access practice did not promote truth seeking and was inconsistent with techniques employed by the
In his declaration, the Department’s Lieutenant Jeffrey Hallock, who had served as a sergeant in the Professional Standards Division, stated the Department’s practice created the temptation for a principal or witness “to conform his or her statements to the statements of others to either protect the witness’s colleagues, or to protect himself or herself.” Solorza added in her declaration: “[I]f the principal under investigation does not know the sum total of what the Internal Affairs investigator knows, the principal will have more reason to be truthful and forthright when responding to the investigator’s questions. This would also be the case in interviews with witnesses. Witnesses are more often truthful and forthright when they know that the principal will not have access to the witness’s interview prior to the principal’s own interview. When the principal does not know what the interviewing Investigator knows, the Investigator is also better positioned to assess the principal’s credibility.”
Solorza also stated the preinvestigative interview access practice had a “chilling” effect on witnesses. For example, in one sexual harassment case, the victims and witnesses of the alleged misconduct expressed concern about the disclosure of their statements to the principal (while the investigation was still pending) because they feared retaliation before the Department could take appropriate remedial action to address any misconduct.
Solorza further stated in her declaration the Department’s practice particularly hindered investigations that involved more than one principal. For example, if one principal abruptly resigned after reviewing his or her investigative file but before his or her investigative interview, the Professional Standards Division would be unable to compel that principal to provide a statement regarding the conduct of the other principals under investigation. The completion of such investigations was delayed by principals seeking to review other principals’ investigative interviews before submitting to their own interviews.
The Sheriff described the Department at the time of her appointment in 2008 as “reeling from a lack of accountability, transparency, and leadership.” Her predecessor was under investigation for witness tampering and related
In December 2010, the Sheriff decided to reform the manner in which internal affairs investigations of principals were conducted. She concluded a policy change was “absolutely necessary to ensure the integrity and reliability of future internal affairs investigations” and to bring the Department in line with what is considered to be the “best practice” in conducting internal affairs investigations.
On December 28, 2010, the Sheriff ordered, by executive command, that effective January 1, 2011, the Professional Standards Division would stop providing all principals with preinvestigative interview access to the investigative files. The change in practice was not made in response to any specific instance of misconduct but was made “in order to improve the reliability and integrity of the Department’s internal affairs investigations.” For cases investigating misconduct that were initiated before January 1, 2011, the Department continued to provide preinvestigative interview access to the investigative file.
In her declaration, Solorza stated: “[A]s required by the Public Safety Officer’s Procedural Bill of Rights Act and also by the Skelly decision (Skelly v. State Personnel Board, 15 Cal.3d 194 [124 Cal.Rptr. 14, 539 P.2d 774] (1975)) when discipline is proposed, a peace officer is provided with a copy of all the materials (including all investigative files) on which the decision to impose discipline is being based. However, as a result of the Sheriff’s policy decision, the investigative materials are now provided to the peace officer only when discipline is proposed, instead of prior to the employee’s investigative interview.”
The change in practice did not alter or otherwise affect the Department’s standards of conduct or ethical canons; the Department’s employees were already prohibited from making a false statement to superiors and other employees. The MOU did not address the issue, much less state that the Department would provide any principal with preinvestigative interview access to the investigative file.
The Association immediately objected to the Sheriff’s order and asserted that withdrawal of preinvestigative interview access to the investigative file was a mandatory item of bargaining, subject to the meet-and-confer process
PROCEDURAL BACKGROUND
I.
The Association Files a Petition for Writ of Mandate Against Defendants.
In January 2011, the Association filed a petition for writ of mandate under
The petition sought issuance of a peremptory writ of mandate commanding defendants “not to change the Internal Affairs investigation process as it pertains to the provision of all investigative materials to members of the bargaining unit represented by [the Association] prior to such members being interrogated in connection with a Personnel Investigation, or other investigation of alleged misconduct, by employees of [the Department], absent agreement to do so reached as part of the collective bargaining process for a successor agreement to the current Memorandum of Understanding which expires on October 4, 2012, and to take no actions to unilaterally implement any change in that practice until such time.”
II.
The Trial Court Denies the Association’s Request for a Preliminary Injunction.
In January 2011, the Association filed an ex parte application requesting an order to show cause regarding the issuance of a preliminary and permanent
The trial court denied the Association’s request for a preliminary injunction on the grounds the Association failed to demonstrate a likelihood of prevailing on the merits of the petition and also failed to show irreparable harm.
III.
The Trial Court Denies the Petition; Judgment Is Entered; the Association Appeals.
The trial court denied the petition for the reasons set forth in its minute order, described as follows. The court concluded that the Sheriff’s order, implementing the withdrawal of preinvestigative interview access to the investigative file, did not violate the MMBA because it did not “implicate or sufficiently impact wages, hours or working conditions”; it constituted a “fundamental policy decision supported by sufficient rationale”; and that “[o]n balance, any negative impact on employment conditions is substantially outweighed by the Sheriff Department’s need for unencumbered decision-making in how to investigate deputy misconduct.” The court further concluded the Sheriff’s order did not breach any express term of the MOU. The court also rejected the Association’s argument that preinvestigative interview access to the investigative file was an implied term of the MOU, finding “no evidence was presented from which it can be concluded that ‘pre-interview access’ or any past practice was intended to be a part of the MOU.”
Judgment was entered denying the petition. The Association appealed.
I.
The Trial Court Properly Denied the Petition.
A.
General Legal Principles Governing Writs of Mandate and the Applicable Standard of Review
A writ of mandate will issue to “compel the performance of an act which the law specially enjoins, as a duty resulting from an office, trust, or station” (
“In reviewing the trial court’s denial of the writ, we must determine whether its findings and judgment are supported by substantial evidence. However, where the facts are undisputed and a question of law is involved, we may exercise our independent judgment.” (Riverside Sheriff’s Assn. v. County of Riverside (2003) 106 Cal.App.4th 1285, 1289 [131 Cal.Rptr.2d 454].)
B.
The Sheriff’s Order Did Not Violate the MMBA.
1.
Overview of the Meet-and-confer Requirements of the MMBA
“The MMBA applies to local government employees in California. [Citation.] ‘The MMBA has two stated purposes: (1) to promote full communication between public employers and employees, and (2) to improve personnel management and employer-employee relations. (
Under the MMBA, a public employer and a recognized employee organization have a mutual obligation to meet in person and confer promptly upon either party’s request in an endeavor to reach agreement on matters within the scope of representation before the public agency’s adoption of its final budget for the coming year. (International Assn. of Fire Fighters, supra, 51 Cal.4th at p. 271; see
2.
Application of the Claremont Test Shows the Sheriff’s Order Did Not Violate the MMBA.
After applying the Claremont test to the Sheriff’s order, the trial court concluded that the Sheriff’s executive command ordering the withdrawal of preinvestigative interview access to the investigative file was not subject to the meet-and-confer requirements of the MMBA. For the reasons we will explain, the trial court reached the correct conclusion.
a.
The Sheriff’s order did not significantly and adversely affect wages, hours, or working conditions within the meaning of the MMBA.
As to the first part of the Claremont test, there is no evidence the Sheriff’s order significantly and adversely affected wages or hours; the Association does not contend otherwise. Instead, the Association argues the Sheriff’s order substantially and adversely affects working conditions, thereby subjecting it to the MMBA’s meet-and-confer requirements.
The MMBA does not define the phrase “other terms and conditions of employment.” (
In Long Beach Police Officer Assn. v. City of Long Beach (1984) 156 Cal.App.3d 996, 998 [203 Cal.Rptr. 494], the appellate court affirmed the judgment ordering the issuance of a peremptory writ of mandate prohibiting the Long Beach Police Department, among others, from denying its officers “a ‘past practice’ of consultation with a [union] representative or an attorney prior to making oral and written reports concerning incidents in which an officer was involved in a shooting.” The appellate court held that because the parties’ memorandum of understanding “specifically prohibit[ed] the reduction in ‘consistently applied past practices’ unless the parties mutually agree[d] to such reduction in writing ‘prior to implemention,’ ” that practice “cannot be unilaterally terminated . . . and does not violate public policy.” (Ibid.) Explaining that its holding did not violate public policy, the appellate court stated, inter alia: “When an officer uses his weapon, the circumstances are normally serious and life-threatening. The focus is clearly and directly upon the officer and the other participants of the incident. While the public concern for a timely revelation of facts in these circumstances is extremely important, it does not outweigh the contractual right of the officer to consult with an advisor prior to the preparation of a report, especially when the report could be incriminating and the decision to seek punitive or criminal action could in part be based upon such report. The public concern cannot also outweigh the potential violations of the officer’s rights under the Fifth and Sixth Amendments.” (Id. at p. 1010, italics added.)
In Association for Los Angeles Deputy Sheriffs v. County of Los Angeles (2008) 166 Cal.App.4th 1625, 1628 [83 Cal.Rptr.3d 494] (ALADS), the appellate court considered whether the Los Angeles County Sheriff’s Department violated the MMBA by unilaterally implementing the following “anti-huddling policy revision”: “ ‘[P]rior to being interviewed by assigned Departmental investigators. . . . Members [of the Department] who were either involved in or witnessed [a deputy-involved shooting] may consult individually with legal counsel or labor representatives . . . [but] . . . shall not consult with legal counsel and or labor representatives collectively or in groups (e.g., two or more members consulting at the same time with the same legal counsel/labor representative).’ ”
In ALADS, the plaintiff union alleged, “the right of the Department’s deputies to huddle with counsel is a ‘working condition’ because it has been a ‘consistent and established practice . . . for over 25 years.’ ” (ALADS, supra, 166 Cal.App.4th at p. 1643.)
Here, as in ALADS, the MOU neither prohibits a reduction of existing “ ‘consistently applied past practices’ ” nor otherwise establishes that past practices constitute working conditions, triggering the meet-and-confer requirements of the MMBA. (Long Beach Police Officer Assn. v. City of Long Beach, supra, 156 Cal.App.3d at p. 998.) Furthermore, the provision of preinvestigative interview access to the investigative file is not supported by statute or public policy.
In Pasadena, supra, 51 Cal.3d at page 569, the California Supreme Court held that section 3303 (contained in the Public Safety Officers Procedural Bill of Rights Act;
In Pasadena, supra, 51 Cal.3d at page 578, the California Supreme Court explained its reasoning: “Unlike other protections set forth in the [Public Safety Officers Procedural Bill of Rights] Act, a right to preinterrogation discovery is not essential to the fundamental fairness of an internal
Notwithstanding the above cited authorities, the Association argues in its opening brief: “The meet and confer requirement extends to changes in existing and acknowledged practices, even if, as in this instance, they are not formalized in a written agreement or rule.” The Association’s assertion is correct only to the extent that the past practice in question significantly and adversely affects wages, hours, or other terms and conditions of employment, as confirmed by the cases cited by the Association in support of its argument. (See San Francisco Fire Fighters Local 798 v. Board of Supervisors (1992) 3 Cal.App.4th 1482, 1491 [5 Cal.Rptr.2d 176] [“The fire commission’s decision changed the accepted practice under which employees expected to be promoted. Consequently, there is no question the decision affected the ‘terms and conditions of employment.’ ”]; International Assn. of Fire Fighters Union v. City of Pleasanton (1976) 56 Cal.App.3d 959, 971-973 [129 Cal.Rptr. 68] [analyzing amendment relative to probationary employees’ eligibility for merit pay increases]; Solano County Employees’ Assn. v. County of Solano (1982) 136 Cal.App.3d 256, 265 [186 Cal.Rptr. 147] [county’s refusal to
Here, the Sheriff’s order did not infringe on any statutory rights or affect any issue addressed in the MOU. In light of the foregoing evidence and relevant legal authorities, the Sheriff’s order implementing the withdrawal of preinvestigative interview access to the investigative file did not significantly and adversely affect wages, hours, or working conditions within the meaning of the MMBA. Therefore, defendants did not violate the MMBA by failing to meet and confer on that issue before implementing the change in practice.
b.
Even if the Sheriff’s order significantly and adversely affected working conditions within the meaning of the MMBA, it constituted the implementation of a fundamental managerial or policy decision.
In International Assn. of Fire Fighters, supra, 51 Cal.4th at page 273, the California Supreme Court reiterated the second and third parts of the Claremont test in its analysis of “management decisions that directly affect employment, such as eliminating jobs, but nonetheless may not be mandatory subjects of bargaining because they involve ‘a change in the scope and direction of the enterprise’ or, in other words, the employer’s ‘retained freedom to manage its affairs unrelated to employment.’ ” The Supreme Court held: “Bargaining is not required for decisions in this category if they do not raise an issue that is ‘amendable to resolution through the bargaining process’ [citation], although the employer is normally required to bargain about the results or effects of such decisions [citation]. To determine whether a particular decision in this third category is within the scope of representation, the [United States Supreme C]ourt prescribed a balancing test, under
In ALADS, supra, 166 Cal.App.4th at pages 1643-1644, the appellate court held that even assuming the antihuddling policy revision at issue significantly and adversely affected working conditions within the meaning of the MMBA, that policy revision arose from the implementation of a fundamental managerial or policy decision and thus was outside the meet-and-confer requirements of the MMBA. The appellate court explained: “
Here, the withdrawal of preinvestigative interview access to the investigative file was ordered “to ensure the integrity and reliability of future internal affairs investigations” and to bring the Department in line with what is considered to be the “best practice” in conducting internal affairs investigations. The change in practice implemented by the Sheriff’s order, therefore, squarely falls into the third part of management decisions described in International Assn. of Fire Fighters, supra, 51 Cal.4th at page 273, as it constitutes a fundamental managerial decision, falling within the Department’s “ ‘freedom to manage its affairs unrelated to employment’ ” (ibid.). The Association does not identify any results from, or effects of, the Sheriff’s order, which are subject to bargaining.
c.
The Sheriff’s need to withdraw preinvestigative interview access to the investigative file is not outweighed by the benefit to employer-employee relations of bargaining about that change in practice.
Even were we to assume the Sheriff’s order constituted a fundamental managerial or policy decision that significantly and adversely affected working conditions, the Sheriff’s need for unencumbered decisionmaking to ensure the integrity of the Department’s internal affairs investigations of alleged misconduct is not outweighed “ ‘by the benefit to employer-employee relations of bargaining about the action in question’ ” (Claremont, supra, 39 Cal.4th at p. 638) for the reasons set forth in Pasadena, supra, 51 Cal.3d 564, as discussed ante.
In light of the foregoing, the Sheriff’s order withdrawing preinvestigative interview access to the investigative file was not subject to the meet-and-confer requirements of the MMBA.
C.
The Sheriff’s Order Did Not Constitute a Breach of the MOU.
The petition also asserted the Sheriff’s order violated certain terms of the MOU. For reasons we will explain, the trial court did not err by rejecting this argument.
1.
Applicable Legal Principles and Standard of Review
“The MOU, entered into between the county and the [union] on behalf of employees . . . , is ‘a mutually agreed covenant, a labor management contract. . . . [¶] . . . [A]ll modern California decisions treat labor-management agreements . . . as enforceable contracts [citation] which should be interpreted to execute the mutual intent and purpose of the parties.’ [Citation.] “Thus, ‘ “[w]e are free to make our own independent interpretation of the terms of the contract and its application to the instant dispute.” ’ ” (Riverside Sheriffs’ Assn. v. County of Riverside (2009) 173 Cal.App.4th 1410, 1424 [93 Cal.Rptr.3d 832].) ‘[B]ecause we must interpret the MOU to “execute the mutual intent and purpose of the parties[,]” we independently review the appellate record. [Citation.]’ (Ibid.) We independently interpret a contract, such as the MOU, where the interpretation does not turn on the credibility of extrinsic evidence. (City of El Cajon v. El Cajon Police Officers’ Assn. (1996) 49 Cal.App.4th 64, 70-71 [56 Cal.Rptr.2d 723].)
The Trial Court’s Findings
In its minute order denying the petition, the trial court set forth its factual findings and its detailed, well-reasoned analysis rejecting the Association’s argument that the Sheriff’s order violated the MOU. Particularly pertinent excerpts from the minute order are:
“[The Association] contends that the past practice of ‘pre-interview access’ was part of the MOU, and that unilaterally withdrawing the past practice is a breach of the agreement. The MOU says nothing about ‘pre-interview access’ and nothing about incorporating past practices, except to the extent it preserves [defendants’] pre-existing rights and powers. . . . [The Association] contends that the silence is of no consequence since ‘pre-interview access’ is an ‘implied’ term of the MOU.
“MOUs are contracts, and ordinarily the existence of implied terms turns on the scope of any integration clause. Here, the MOU does not contain an integration clause, but where parties execute a written agreement, that agreement is at least partially integrated to the extent new or different terms are sought to be incorporated therein. [Citation.] There is nothing in the MOU to suggest any intention to incorporate implied terms or past practices. [Citations.] Moreover, the MOU does make some tangential reference to investigative rights:
“—Article III, Sec. 3 (PO-24), giving an employee the right to review ‘adverse statements’ and ‘reports concerning criminal investigations’ before they are made part of the employee’s personnel file.
“—Article IX, Sec. 2 (PO-57), enumerating the information which must be provided to an employee prior to a disciplinary hearing (but nothing regarding an investigation).
“The inclusion of these particular rights suggests that the exclusion of ‘pre-interview access’ was intentional. [Citation.] If the [Association] intended to perpetuate the ‘pre-interview access’ policy as a condition precedent to any investigative interview, either Article III or IX would have been a logical place to insert a reference to such policy. In fact, [the Association] admits that this very topic was discussed but was unresolved during negotiations for the 2003-2006 MOU . . . ; therefore its absence from any MOU (much less the operative 2009-2012 MOU) is telling, particularly given the California Supreme Court’s holding in Pasadena Police Officers Assn vs. City of Pasadena[, supra,] . . . 51 Cal.3d 564 . . .
that peace officers have no statutory right to ‘pre-interview access’ or other advance discovery. Under the circumstances, ‘pre-interview access’ would not naturally have been excluded from the MOU [citation], and is not reasonably susceptible to any of the written terms. Even though it was not completely at variance with an express term [citation], ‘pre-interview access’ appears to have been a term which the parties specifically agreed to disagree on. Thus, absent a meeting of the minds it cannot now become an enforceable term in the agreement.”
In the minute order, the trial court rejected the Association’s contention that “past practices are, by law, incorporated as implied terms of an MOU,” as being without support of legal authority. The court also rejected the Association’s contention that “the ‘zipper clause’ in the MOU (Article XXIII) obligates [defendants] to meet and confer over the ‘pre-interview access’ policy change.”7
The trial court stated, “[a] zipper clause is frequently found in labor agreements and is intended to ‘close out bargaining during the contract term and to make the written contract the exclusive statement of the parties’ rights and obligations,’ ” but “[n]ot all zipper clauses are created equal.”8 The court stated that in the instant case, the zipper clause contained in the MOU “is poorly constructed. It preserves a ‘right’ to negotiate matters within the MOU, whereas zipper clauses are supposed to ‘zip up’ and bring to an end negotiations. It conditions that ‘right’ on the mutual agreement of the parties, which is essentially saying that if both sides agree, terms of the agreement can be modified. Every contractual relationship can be adjusted if the contracting parties so decide. The zipper clause is silent as to past practices and does not define what is within the ‘scope’ of representation. It would have been easy to make clear that the scope is co-extensive with the MMBA (i.e. wages, hours and working conditions), but does not incorporate past practices as implied terms.”
Finally, the court stated it found “no evidence was presented from which it can be concluded that ‘pre-interview access’ or any past practice was intended to be a part of the MOU.”
The Trial Court Did Not Err in Finding No Breach of the MOU.
The Association does not challenge any of the trial court’s factual findings or legal reasoning supporting its conclusion the MOU had not been breached. The Association does not dispute that the MOU is silent regarding the Department’s former preinvestigative interview access practice.
In its opening brief, the Association argues that because providing preinvestigative interview access to the investigative file had been a “long standing past practice” of the Department, that practice “r[ose] to the level of an implied term of the MOU,” as a matter of law, and by implementing the change in practice, defendants breached the MOU’s zipper clause. The Association’s argument mirrors its argument, addressed ante, that any long-standing past practice constitutes a working condition within the meaning of the MMBA.
The Association has failed to cite any legal authority, and we have found none, showing that any “long standing past practice,” regardless of its nature, becomes an implied term of the MOU, as a matter of law. The Association’s position finds no support in statutes, case law, public policy, or the language of the MOU itself.
II.
The Trial Court Did Not Err by Denying the Association’s Request for a Preliminary Injunction.
“ ‘Generally, the ruling on an application for a preliminary injunction rests in the sound discretion of the trial court. The exercise of that discretion will not be disturbed on appeal absent a showing that it has been abused. [Citations.]’ [Citation.] ‘A trial court may not grant a preliminary injunction, regardless of the balance of interim harm, unless there is some possibility that the plaintiff would ultimately prevail on the merits of the claim. [Citation.]’ [Citation.]” (Hunt v. Superior Court (1999) 21 Cal.4th 984, 999 [90 Cal.Rptr.2d 236, 987 P.2d 705]; see Whyte v. Schlage Lock Co. (2002) 101 Cal.App.4th 1443, 1450 [125 Cal.Rptr.2d 277].)
Here, the trial court denied the Association’s request for a preliminary injunction on the ground, inter alia, that the Association failed to show a likelihood of success on the merits. The Association contends it had demonstrated a likelihood of success on the merits for the same reasons it relied
DISPOSITION
The judgment is affirmed. Respondents shall recover costs on appeal.
Rylaarsdam, Acting P. J., and Aronson, J., concurred.