Essick v. County of SonomaEssick v. County of Sonoma
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Following the submission to the County of Sonoma (the County) of a harassment complaint against Mark Essick, the elected sheriff of the County, an independent investigator, Ms. Amy Oppenheimer, conducted an inquiry and prepared a written report. A local newspaper requested that the County release the complaint, the report, and various related documents (collectively, the Oppenheimer Report) pursuant to the California Public Records Act (CPRA) (
I. BACKGROUND2
In August 2020, while a large and complex set of wildfires swept through portions of Sonoma County in close proximity to many homes, Sheriff Essick met with the County Board of Supervisors, fire officials, and members of the public in a streamed town hall meeting. During the meeting, Sheriff Essick provided updates on an evacuation strategy and fielded questions from the public. When asked a question concerning whether evacuated residents might be permitted to reenter mandatory evacuation zones to feed pets and animals left behind, Sheriff Essick refused to grant such permission, citing safety concerns.
Following the meeting,
In a later phone conversation between Supervisor Hopkins and Sheriff Essick,
Sheriff Essick‘s recollection of the conversation differed. In his version of what happened, Supervisor Hopkins
Immediately after the phone call, Supervisor Hopkins lodged a complaint against Sheriff Essick with the Sonoma County Administrator, Sheryl Bratton, alleging
On December 16, 2020, the Board of Supervisors, in a letter over Chair Gorin‘s signature, gave Sheriff Essick “Formal Notice of Outcome of Investigation,” which stated
Before the Board of Supervisors sent its
On December 21, 2020, Sheriff Essick filed a complaint for declaratory and injunctive relief against the County of Sonoma requesting the trial court bar the release of the Oppenheimer Report to the Press Democrat. In the complaint, Sheriff Essick requested a temporary restraining order and a preliminary injunction to keep the Oppenheimer Report closed to the public for the duration of the trial proceedings. The trial court issued the requested temporary restraining order and set a hearing for March 2021. But on May 19, 2021, the trial court entered a minute order denying the preliminary injunction, ruling there was no evidence to show the investigative records should be classified as “personnel records” (
Sheriff Essick appealed. We granted a temporary stay of the trial court‘s order on June 24, 2021, prohibiting the County from releasing the Oppenheimer Report until further notice. On July 30, 2021, we granted Sheriff Essick‘s petition for a writ of supersedeas, ruling that, pending the resolution of this appeal, the County may not release the subject records until further notice. The parties subsequently filed their briefs on the merits of this appeal.5
II. DISCUSSION
A. Statutory Landscape
Enacted in 1968 and modeled on the federal Freedom of Information Act (
Consistent with its basic design favoring disclosure, the CPRA broadly defines “[p]ublic records” as including “any writing containing information relating to the conduct of the public‘s business prepared, owned, used, or retained by any state or local agency . . . .” (
The CPRA balances the dual concerns for privacy and disclosure by providing for various exemptions that permit public agencies to refuse disclosure of certain public records. (
Among the exemptions recognized within the CPRA scheme is the umbrella protection of
Here, Sheriff Essick relies primarily on sections 832.7 and 832.8 of the Penal Code. These two provisions are found within the statutory scheme known as the Pitchess statutes. (
B. The County of Sonoma Is Not Sheriff Essick‘s “Employing Agency”
According to Sheriff Essick, “The ultimate question in this appeal is whether the records sought to be disclosed are ‘personnel records’ within the meaning of
That the County has chosen to pay its elected officials is immaterial to its relationship to Sheriff Essick. (Sonoma County Code, § 21-5 [“The unclassified service shall consist of: [¶] (a) All officers elected by the people“]; see generally Sonoma County Code, ch. 21 [“unclassified service” includes those over whom Civil Service Commission lacks authority].) The county sheriff is a public official elected by Sonoma County voters, and as such, is ultimately responsible to them—not to the Board of Supervisors or anyone else in county government. (
Nor does the Board of Supervisors have disciplinary power over the county sheriff. In commissioning the Oppenheimer Report, the Board of Supervisors was fulfilling its “statutory duty to supervise the conduct of all county officers.” (Dibb v. County of San Diego (1994) 8 Cal.4th 1200, 1210, citing
The Board of Supervisors did, to be sure, issue
We are not persuaded that the Oppenheimer Report is “discipline” from which the Sheriff might appeal. The Oppenheimer Report has no consequence for Sheriff Essick‘s duties, tenure, compensation, or benefits. If criticism of the conduct of elected officials were “discipline” subject to a full array of due process rights for determining truth and accuracy, our democracy would function rather differently than it does. Any statements from members of the Board of Supervisors approving or disapproving Sheriff Essick‘s conduct, individually or collectively, are expressions of the Supervisors’ own free speech rights and do not amount to discipline. (Pickering v. Board of Education (1968) 391 U.S. 563, 574 [“statements by public officials on matters of public concern must be accorded First Amendment protection“].) The truth and accuracy of such statements must be open to testing in the public square. Indeed, the fact we are dealing with what may fairly be characterized as political speech among elected officials toward one another underscores the importance of reading the CPRA in favor of disclosure.
Ignoring the overarching governance and free speech aspects of the situation here, Sheriff Essick urges us to treat him as a subordinate of the Supervisors, subject to their charge. He insists the County must be his “employer,” otherwise the investigation here would have been merely an idle act. But he overlooks something basic about a system of divided government in which there are checks and balances. One of those cross-checks, at county level, is the oversight authority of the Board of Supervisors over other county officers. (
C. By Commissioning the Preparation of the Oppenheimer Report, the County of Sonoma Did Not Take on the Role of Sheriff Essick‘s “Employer”
Changing gears, Sheriff Essick asserts that, under Copley Press v. Superior Court, supra, 39 Cal.4th 1272, it is irrelevant whether the Board of Supervisors is the sheriff‘s employing agency in the normal course, because, on the facts presented here, “Sonoma County functioned as [Sheriff] Essick‘s employing agency by initiating the complaint intake, deciding to investigate, determining the process of investigation, making a final determination, issuing discipline, and maintaining the records” relating to the complaint. Thus, Sheriff Essick argues, by investigating actions carried out by him in his capacity as a “peace officer,” the Board of Supervisors effectively took on the role of Sheriff Essick‘s employer. We cannot agree.
Because the Oppenheimer Report was the product of an independent outside inquiry, the holding in Copley Press does not apply. In that case, San Diego‘s Civil Service Commission performed statutorily mandated functions as to internal peace officer discipline the county sheriff‘s department would otherwise have handled. (Copley Press, supra, 39 Cal.4th at p. 1292.) There was no dispute that the records there were produced in what was tantamount to an internal personnel discipline process. Our Supreme Court found that shifting this internal affairs function to an outside agency did not strip the records at issue there of the protection they would have had if generated internally. (Id. at p. 1294.) Here, by contrast, the Sonoma County Board of Supervisors was performing an independent investigative inquiry. Legislative oversight is something vastly different than the routine discipline of a rank-and-file peace officer and cannot be compared to outsourcing a routine internal discipline function.
The more analogous precedent is Pasadena Police Officers Assn. v. Superior Court (2015) 240 Cal.App.4th 268. In that case, the City of Pasadena retained an independent consultant to review its police department‘s policies following a fatal shooting of an unarmed teenager. (Id. at p. 274.) The Los Angeles Times and others sought disclosure of the resulting report under the CPRA. (Pasadena Police Officers Assn., at p. 274.) The trial court denied a preliminary injunction in the ensuing “reverse” CPRA case, and the Court of Appeal affirmed. (Id., at pp. 274–275.) The court reasoned that the report did not reflect the advancement, appraisal or discipline of the officers involved in the shooting, and it refused to interpret the Pitchess statutes so broadly as to ” ‘sweep virtually all law enforcement records into the protected category of “personnel records.” ’ ” (Id. at p. 288.) So, too, here, Sheriff Essick‘s argument, taken to its logical conclusion, would allow the Pitchess statutes to
D. Sheriff Essick‘s Estoppel Claims Do Not Make the Records Confidential
As a backup line of argument, Sheriff Essick contends that the Oppenheimer Report is confidential because the County of Sonoma promised him its investigation would comply with POBRA. According to Sheriff Essick, the County of Sonoma‘s agreement to conduct the investigation under POBRA created an enforceable legal promise that the records would be confidential and he would have the right to a de novo administrative appeal, “whether he was entitled to them or not.” We are not persuaded.
Because nothing in the POBRA statutory scheme explicitly grants or mentions confidentiality from CPRA requests, there was no misrepresentation or concealment of any material facts here. By voluntarily granting Sheriff Essick POBRA protections, Sonoma County was offering to go beyond what it was bound to do to ensure the investigation was procedurally fair. That gave Sheriff Essick, for example, a right to have counsel present during his interview and to have the interview conducted under certain neutral conditions, but it did not create any right of confidentiality. Sheriff Essick emphasizes that he was promised a right of de novo administrative appeal, along with the other procedural protections provided by POBRA; presumably, as we understand the argument, that means he had a right to have the initial report and findings held in confidence until he exhausted his administrative appellate rights. But since POBRA is silent on confidentiality, any claimed expectation of a right to appeal was independent of that issue. If the investigative report and findings were to be treated as confidential, the only arguable legal source for that protection came from outside of POBRA—specifically
In the end, therefore, we reject Sheriff Essick‘s POBRA-based estoppel argument for the same reasons we reject his primary line of argument. Absent any confidentiality protection provided by the Pitchess statutes, there is no substance to his estoppel claim. If Sheriff Essick believed Sonoma County‘s
III. DISPOSITION
The order of the trial court denying Sheriff Essick‘s request for a preliminary injunction is affirmed. This court‘s July 30, 2021 order prohibiting the County from releasing the records that are the subject of this appeal shall expire 30 days from the date this opinion is filed. The unredacted version of this opinion shall likewise remain sealed for 30 days from the filing of this opinion. Once that period expires, the unredacted version of this opinion shall become public and the County may release the records, unless the California Supreme Court orders otherwise. Costs shall be awarded to the respondents.
STREETER, J.
WE CONCUR:
POLLAK, P. J.
DESAUTELS, J.*
* Judge of the Superior Court of California, County of Alameda, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
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Trial Court: Superior Court of California, County of Sonoma
Trial Judge: Hon. Jennifer V. Dollard
Counsel: Smith Dollar, Diane Aqui; Law Offices of Joseph G. Baxter and Joseph G. Baxter, for Plaintiff and Appellant.
Colantuono, Highsmith & Whatley, Michael G. Colantuono, Matthew C. Slentz, and Abigail A. Mendez, for Defendants and Respondents.
Essick v. County of Sonoma – A162887