Flоrentino RODRIGUEZ, Appellant, v. DISTRICT OF COLUMBIA OFFICE OF EMPLOYEE APPEALS, Appellee, and District of Columbia Department of Human Resources, Intervenor.
No. 15-CV-997
District of Columbia Court of Appeals.
Submitted March 15, 2016. Dated: August 25, 2016.
145 A.3d 1005
Lasheka Brown Bassey filed a statement in lieu of brief on behalf of appellee.
Karl A. Racine, Attorney General for the District of Columbia, Todd S. Kim, Solicitor General, and Loren L. AliKhan, Deputy Solicitor General, were on the brief for intervenor.
BEFORE: GLICKMAN and THOMPSON, Associate Judges; and FERREN, Senior Judge.
THOMPSON, Associate Judge:
Florentino Rodriguez (“appellant” or the “Employee“) challenges a decision of the District of Columbia Office of Employee Appeals (“OEA“) that upheld his termination from his position as an Urbаn Park Ranger with the District of Columbia (“District“) Department of Parks and Recreation after he failed a random drug test. He contends, inter alia, that his termination was improper because, in violation of the applicable collective bargaining agreement (the “CBA“), the District‘s personnel agency, the District of Columbia Department of Human Resources (“DHR” or the “Agency“), failed to provide notice to Local 2741 of the American Federation of Government Employees (“Union“) (the union for appellant‘s bargaining unit) within forty-five business days of the date when the Agency knew or should have known of the act or occurrence that triggered the termination. We need not reach appellant‘s other arguments because we agree with him that Article 24, Section 2.2 of the CBA precluded his termination in light of the Agency‘s failure to give timely notice to the Union. Accordingly, we reverse the decision of the Superior Court, vacate the OEA decision, and remand for further proceedings not inconsistent with this opinion.
I.
On April 20, 2010, appellant submitted to a random drug test that the Agency conducted pursuant to the Child and Youth, Safety and Health Omnibus Amendment Act of 2004 (“CYSHA“).1 On or about May 25, 2010, the Agency received the final test results: appellant‘s urine tested positive for marijuana. On June 30, 2010, the Agency served appellant with a notice of proposed adverse action, announcing that it planned to terminate his employment because the drug test revealed marijuana in his system. The notice informed appellant that he had a right to respond to the notice, to provide statements or documents in support of his response, and to be represented. Appellant obtained legal representation and filed a written response to the notice, asserting that (1) he had not smoked marijuana but had inhaled second-hand marijuana smoke, which he asserted caused the positive drug test results, (2) the results of the drug tests were reported incorrectly, and (3) his use of legal prescriptions and over-the-counter drugs led to a “false positive.”
On July 21, 2010, a DHR Hearing Officer issued his report and recommendation. He determined that appellant‘s argument and supporting documents failed to “outweigh[ ] or call[ ] into question the recent drug test results[,]” which “accurately reflect[ed] the presence of marijuana in Employee‘s urine[,]” and that the preponder
On August 9, 2010, Karla Kirby, the DHR Deciding Official, issued her notice of final decision to remove appellant from his position. Deciding Official Kirby rejected the Hearing Officer‘s recommendation that adverse action was precluded. She reasoned that termination was permissible because appellant did not raise in his response the issue of a violation of the CBA for failure to notify the Union, and because “[t]here is no evidence in the record which indicates that there was a violation of the CBA with respect to notification to the uniоn.” Kirby characterized the Hearing Officer‘s finding that the CBA was violated as “conclusory and not supported by any facts or evidence in the record.” She further reasoned that, even assuming that no separate notification was given to the Union, service of notice to appellant, a member of the Union, constituted sufficient notice to the Union, and also that there was “no evidence that the employee suffered any diminution of his rights in this case[,]” as he was “ably represented in this matter by his attorney[.]” In addition, Deciding Official Kirby agreed with the Hearing Officer‘s assessment that there was “no justification for the presence of [m]arijuana in the employee‘s system.” She determined that appellant should be removed from his position effective August 28, 2010.
On September 24, 2010, appellant filed a Petition for Appeal with the OEA, challenging DHR‘s decision to terminate his employment. Senior Administrative Judge Joseph E. Lim (the “ALJ“) issued his decision on December 19, 2013. The ALJ found that appellant tested positive for marijuana use; that appellant‘s challenge to the drug test results was without merit; that there was “no evidence that the Agency gave notice of its proposed adverse action to [the] Union“; and, more definitively, that the Agency “did not provide [the] Union a notice of the proposed action.” He also concluded that it “appear[ed] that [the] Agency violated Article [24, Section 2.2] of the CBA.” The ALJ then considered whether the Agency‘s failure to give the required prior written notice to the Union precluded appellant‘s termination. The ALJ noted that appellant did not make any arguments about a CBA violation in response to the notice he received even though he had received an extension of time to respond and thereafter responded through an attorney. “Therefore,” the ALJ concluded, “although [the] Agency violated the CBA, it does not appear that it harmed Employee.” Applying “the OEA‘s [r]ule for harmless error,”2
On January 14, 2014, appеllant filed in the Superior Court a petition for review of the OEA decision. On July 29, 2015, the Honorable Robert Okun issued an order denying Rodriguez‘s petition. Citing the OEA‘s harmless error regulation as well as Harding and Cornelius, Judge Okun agreed with the OEA that the Agency was “not precluded from terminating [appellant‘s] employment because the failure to provide notice to [the] Union was harmless error[.]” Judge Okun “accord[ed] great weight” to the OEA decision and noted that appellant had not “shown that he would have received different discipline had the Union been notified pursuant to the CBA.” Judge Okun therefore affirmed the OEA‘s ruling upholding apрellant‘s termination.4 This appeal followed.
II.
Although the appeal comes to us from the Superior Court, we review the administrative decision “as if the appeal had been taken directly to this court.” Hutchinson v. District of Columbia Office of Emp. Appeals, 710 A.2d 227, 230 (D.C. 1998). The OEA decision “must state findings of fact on each material contested factual issue; those findings must be supported by substantial evidence in the agency record; and the ... conclusions of law must follow rationally from its findings.” District of Columbia Fire & Med. Servs. Dept. v. District of Columbia Office of Emp. Appeals, 986 A.2d 419, 424 (D.C. 2010) (internal quotation marks omitted). We “must affirm the OEA‘s decision so long as it is supported by substantial evidence in the record and otherwise in aсcordance with the law.” Dupree v. District of Columbia Office of Emp. Appeals, 36 A.3d 826, 830 (D.C. 2011) (internal quotation marks omitted). We are not, however, required to “stand aside and affirm an administrative determination which reflects a misconception of the relevant law or a faulty application of the law.” Teamsters Local Union 1714 v. Public Emp. Relations Bd., 579 A.2d 706, 709 (D.C. 1990) (internal quotation marks omitted).
III.
Appellant raises a number of arguments about why the OEA decision was erroneous, but we focus on the following contention, with which we agree and which we conclude is dispositive: that, even if the OEA harmless error review rule is applicable, DHR‘s decision to terminate appellant‘s employment, despite the Agency‘s failure to give the Union the notice required under Article 24, Section 2.2 of the CBA, fails harmless error review.
As a preliminary matter, we note that the CBA, a copy of which is included in the OEA record, provides by its terms that it “shall remain in full force and effect until September 30, 1995[,]” and, that absent objection, it “shall automatically be renewed for a one (1) year period thereafter[.]” Nothing in the record establishes that this duration was formally extended to make the CBA applicable to the time period at issue here. However, our case law establishes that “an expired collective bargaining agreement may continue in effect if the parties continue to act as if they are performing under it.” Pitt v. District of Columbia Dep‘t of Corr., 954 A.2d 978, 983 (D.C. 2008) (brackets omitted); see also Hahn v. University of the District of Columbia, 789 A.2d 1252, 1258-59 (D.C. 2002) (“Both the University and the Union appear to be abiding by the terms of the CBA even though it expired more than eight years ago. ... In these circumstances, we hold that the provisions of the CBA are still in effect[.]“). Since neither the parties nor the intervenor has questioned the applicability of Article 24, Section 2.2 of the CBA, we assume for purposes of our analysis that it is applicable.
We also note preliminarily that no one has asked us to overturn the OEA determination that DHR “violated the CBA[.]” The DHR Deciding Official had espoused the view that notice to appellant sufficed as notice to the Union and also suggested that appellant had failed to prove that the Union did not receive a separate notice (leading the Deciding Official to assert that the Hearing Officer‘s finding about a violation of the CBA was “not supported by any facts or evidence in the record“). Further, before the OEA, DHR argued that the CBA provision on which appellant relies is “invalid.”5 Howev
Article 24, Section 2.2 of the CBA provides in relevant part that:
An employee and the Union shall be notified in writing of any proposed disciplinary or adverse action within forty-five (45) days, no[t] including Saturdays, Sundays, or legal holidays, after the date that the Employer knew or should have known of the act or occurrence.
In the event that the act or occurrence allegedly constituting cause for discipline is the subject on an ongoing criminal investigation, the 45-day limit imposed by the previous paragraph of this section shall be tolled until the conclusion of the criminal investigation.
The failure of the Employer to issue such notice shall preclude the discipline pursuant to the law.
The CBA also memorializes the “underst[anding]” between DHR and the Union “that the employees in the bargaining unit shall have full protection of all Articles in this Agreement as long as they remain in the bargaining unit.”
As recounted above, the OEA ALJ found that DHR failed to provide the notice to the Union required by Article 24, Section 2.2 of the CBA, but went on to apply harmless error review and found that the CBA violation did not prejudice appellant. We take no issue with OEA‘s invocation of its harmless error regulation.7 We also can agree that application of harmless error review might warrant a ruling in favor of the Agency if Article 24, Section 2.2 of the CBA provided only that the Union was to be notified in writing within forty-five days “after the date that
However, Article 24, Section 2.2 of the CBA goes further than merely establishing a notice-to-the-Union requirement: it provides that “[t]he failure of the Employer to issue such notice shall preclude the discipline[.]” Contrary to the OEA‘s reasoning, failure of the Agency to adhere to that provision cannot be said to amount to harmless error, because if the Agency had complied with the provision, appellant‘s employment would not havе been terminated. It is useful to compare this case to Sutton v. United States, 140 A.3d 1198 (D.C. 2016). In Sutton, a panel of this court reasoned that where the trial court permitted the government to amend the criminal information on the day of trial to add a new charge in violation of Super. Ct. Crim. R. 7 (e), the violation did not affect the defendant‘s substantial rights and was harmless error. Id. at 1201-03, 1203-06. Notably, it was not sufficient for purposes of our analysis that the amendment had no effect on the defense strategy; necessary to the conclusion that the defendant was not prejudiced by the court‘s failure to adhere to Rule 7 (e) was the additionаl fact that jeopardy had not attached at the time of the amendment, meaning that if the trial court had denied the motion to amend the information, “the government could still have voluntarily dismissed the charges and filed a new information[,]” leaving the defendant in exactly the same position he was in as a result of the erroneously permitted amendment. Id. at 1203-05.
Here, by contrast, with the Agency having failed to give the Union timely notice, the CBA required a “permanent retraction” (to use the Hearing Officer‘s words) of any discipline based on the results of the April 20, 2010, drug test. The parties do not specifically idеntify the date on which the forty-five business days began to run or the precise date by which DHR was required to give notice to the Union, but we presume that the forty-five-business-days period began on or about May 25, 2010, the date of the medical review officer‘s report conveying the drug test results to DHR. Thus, by the date when Deciding Official Kirby announced appellant‘s termination (August 9, 2010), it was impossible for the Agency to give notice to the Union within forty-five business days of the date when it “knew or should have known of the act or occurrence” that triggered the potential discipline; i.e., the forty-five-day deadline had irrevocably passed.9
Unlike Harding, this is not a case where appellant cannot “contend ... that he would not have been separated[,]” 887 A.2d at 34, if the agency had complied with the applicable provisions regarding notice. Rather, “failure to follow bargained-for procedures ... affected the result of the agency‘s decision to take the disciplinary action against the individual employee.” Cornelius, 472 U.S. at 659, 105 S.Ct. 2882. DHR argues that we owe deference to OEA‘s contrary “construction of its harmless-error rule,” but we need not defer where OEA failed to appreciate the mandatory nature10 of thе CBA provision that states that “[t]he failure of the Employer to issue such notice [to the union] shall preclude the discipline[.]” As appellant points out, the CBA “did not simply require that the union be notified, it spelled out specific consequences if the union was not notified” within forty-five days of “the date the Employer knew or should have known of the act or occurrence“: “the adverse action could not be taken.”
We reject OEA‘s view that the violation of this mandatory provision of the CBA was a mere “technical procedural error.” In Logan v. United States, 591 A.2d 850, 853 (D.C. 1991), this court concluded that there was a “harmless technical” violation of the statute requiring the government to give a criminal defendant written, pre-trial notice of previous convictions on which the government intends to rely in seeking a sentence enhancement. Id. We reasoned that where the defendant “receive[d] clear notice of a previous conviction, a misstatement as to a single piece of information, such as the date of a conviction or the county in which a conviction was imposed, [must be] deemed harmless” because “the purposes of the statute were fulfilled.” Here, whatever thе Union‘s reason for bargaining for the failure-of-notice-shall-preclude-discipline provision, we cannot conclude that “the purposes of the [provision] were fulfilled” notwithstanding the failure to give timely notice to the Union.11
We note that the CBA provision that “failure of the Employer to issue such notice shall preclude the discipline” is quite unlike other CBA provisions that establish notice-to-the-Union requirements but do not say what consequences follow from failure to adhere to them.12 Those other provisions—but not Article 24, Section 2.2—are the types of collective bargaining provisions that the Supreme Court discussed in Cornelius, violations of which may be found harmless.
IV.
The preclusion of discipline that Article 24, Section 2.2 mandates is a bargained-for provision that DHR could have declined to accept at the time the CBA was negotiated, but that the Agency instead accepted pursuant to what the CBA describes as “negotiations during which both parties had unlimited right and opportunity to make demands and proposals with respect to any mandatory negotiable subject matter.” Article 34, Section 3. We agree with the Hearing Officer‘s conclusion that “the failure to provide the required notice [to the Union] pursuant to the CBA preclude[d] the adverse action.” Accordingly, we reverse the decision of the Superior Court, vacate the decision of the OEA, and remand for “further proceedings not incon
So ordered.
Notes
Notwithstanding any other provision of these rules, [OEA] shall not reverse an agency‘s action for error in the application of its rules, regulations, or policies if the agency can demonstrate that the error was harmless. Harmless error shall mean an error in the application of the agency‘s procedures, which did not cause substantial harm or prejudice to the emplоyee‘s rights and did not significantly affect the agency‘s final decision to take the action.See also Harding v. District of Columbia Office of Emp. Appeals, 887 A.2d 33, 34 (D.C. 2005)
Judge Okun also rejected as “meritless” appellant‘s argument that, pursuant to
In any event, it would be short-sighted to assume that the Union had a single, narrow objective in bargaining for the failure-of-notice-shall-preclude-discipline provision. We cannot discount the possibility that the Union bargained for notice of potential adverse actions pursuant to an objective of “safeguarding not only the particular employee‘s interest, but also the interests of the entire bargaining unit by exercising vigilance to make certain that the employer does not initiate or continue a practice of imposing punishment unjustly.” N.L.R.B. v. J. Weingarten, Inc., 420 U.S. 251, 260-61 (1975); cf. Theodore C. Hirt, Union Presence in Disciplinary Meetings, 41 U. CHI. L. REV. 329, 342-43 (1974) (“Steward presence at [a] disciplinary meeting gives the union information that enables it to detect trouble spots to be treated in future contraсt negotiations. The union also gains detailed knowledge of a potential grievance and is therefore better able to identify and prosecute substantial grievance claims. ... [T]he steward ensures ... that the result will be a proper precedent for future employer decisions on discipline.“). The Union possibly had some other objective that we do not (and need not) understand and will not attempt to second-guess. It is enough to recognize that the Union bargained for a specific prohibition: that failure to give timely notice to the Union precludes discipline.
