LINN-BENTON-LINCOLN EDUCATION ASSOCIATION/OEA/NEA, Respondent, v. LINN-BENTON-LINCOLN ESD, Petitioner.
(UC-22-96; CA A97730)
Court of Appeals of Oregon
Argued and submitted October 28, 1998, affirmed October 27, 1999
558 | 989 P2d 25
Monica A. Smith argued the cause for respondent. With her on the brief was Smith, Gamson, Diamond & Olney.
Before Landau, Presiding Judge, and Wollheim and Brewer,* Judges.
BREWER, J.
Landau, P. J., dissenting.
* Brewer, J. vice Deits, C. J.
Petitioner Linn-Benton-Lincoln ESD (district) petitions for judicial review of an order of the Employment Relations Board (ERB) certifying the results of a self-determination election by a group of early childhood interventionists. The district assigns error to ERB‘s order including the interventionists in the academically licensed employees’ bargaining unit. The district contends that ERB erroneously interpreted
“(1) ‘Appropriate bargaining unit’ means the unit designated by the Employment Relations Board or voluntarily recognized by the public employers to be appropriate for collective bargaining. However, an appropriate bargaining unit cannot include both academically licensed and unlicensed or nonacademically licensed school employees. Academically licensed units may include but are not limited to teachers, nurses, counselors, therapists, psychologists, child development specialists and similar positions.”
For the reasons that follow, we affirm ERB‘s order.
ERB‘s material findings of fact are essentially undisputed. The district provides educational and support services to school districts in Linn, Benton, Lincoln, and Coos counties. Respondent Linn-Benton-Lincoln Education Association/OEA/NEA (union) represents a bargaining unit of approximately 62 employees who work in the district‘s special education division (the academically licensed unit). The interventionists provide special education services to infants and young children in the district. OAR 581-015-0900. Interventionists must have earned, at minimum, a bachelor‘s degree or have had comparable advanced training in early childhood education, special education, or a related field. OAR 581-015-1100(3). They are not required to hold an occupational or professional license from a competent authority in order to engage in their vocation. The district considers the interventionists to be “classified” employees. The district
In April 1996, the union filed a unit clarification petition seeking to add the interventionists to the academically licensed unit. After a hearing, the administrative law judge (ALJ) issued a proposed order to include the interventionists in the unit. The district filed objections with ERB, which reversed the ALJ‘s order. The union filed a petition for reconsideration, contending that ERB erroneously interpreted
ERB explained its decision on reconsideration as follows:
“[The union] rightly points out that this Board, in Mid-Valley Bargaining Council [v. Greater Albany School Dist., Case No. C-17-81, 6 PECBR 4766 (1981)], coined the term ‘academically licensed’ to describe a community of interest factor to be considered in cases concerning school district employees. For that purpose, this Board could have used a different term—such as ‘academically trained‘—to describe that community of interest factor. The focus of the factor, then, is on ‘academic;’ and this Board did not intend the term ‘licensed,’ in the context of cases concerning school district bargaining units, to be strictly construed according to its dictionary definition. This circumstance is explained in the Mid-Valley Bargaining Council decision itself where we stated:
” ’ * * * We specify that the certificate, license, degree, or the equivalent must be “academic,” as opposed to solely occupational, in order to preclude inclusion in the unit of persons who are required to possess a nonacademic license, such as a driver or chauffeur * * * or journeyman plumber * * *.’ 6 PECBR at 4780 * * *.
“According to the job description for interventionists, applicants must possess a [b]achelor [sic] degree or comparable advanced training in the area of special education or early childhood education or related field.’ The training required for the position therefore is ‘academic.’ The degree or certificate that certifies that the holder has completed such academic training is a ‘license’ for purposes of the community of interest factor that this Board denominates ‘academically licensed.’ We also conclude that the position of interventionist is of like character to those occupations—other than ‘teacher‘—listed in the statute as examples of academically licensed employees. The enumerated positions, as they are employed by school districts, share the trait we recognized (concerning school nurses and psychometrists) in Mid-Valley Bargaining Council: their duties ‘complement those of the teachers in that they all are devoted to enhancing the educational development of students.’ 6 PECBR at 4778. The duties of the interventionists, basically intended to assist very young children in their development to help prepare them for school, clearly are complementary to those of the teachers to whom the children one day will be assigned.
“In light of the above analysis, we now hold that we erred in our original Order when we concluded that interventionists do not share with other members of [the union‘s] bargaining unit the community of interest factor of ‘academically licensed.” (Footnotes omitted, emphasis in original.)
Finally, ERB held that the interventionists do not have a clearly distinct community of interest from the other employees in the academically licensed unit and accordingly must be included in it. As a result, ERB ordered a self-determination election. In June 1997, the elections coordinator certified the election results, which favored union representation. We review ERB‘s April 3 order because it is a foundation for the order certifying the union.
ERB is charged by statute with the responsibility of designating an appropriate bargaining unit for school employees.
In this case, we review ERB‘s interpretation of statutory terms in the context of an order in a contested case. The terms “academically licensed,” “nonacademically licensed,” and “unlicensed” are not defined by statute. They are inexact terms in that “the legislature has expressed [their] meaning completely, but that meaning remains to be spelled out in [ERB‘s] rule[s] or order[s]. An inexact term gives the agency interpretive but not legislative responsibility.” England v. Thunderbird, 315 Or 633, 638, 848 P2d 100 (1993). On review of ERB‘s interpretation of inexact statutory terms, our role is to determine whether the agency erroneously interpreted the meaning of those terms in its attempt to discern and apply the legislature‘s intent. Id. If legislative intent is clear from the text and context of the statute, then we end our inquiry. If the intent is unclear, then we move to the second level of analysis and examine the legislative history underlying the statute. Finally, if the intent of the legislature remains uncertain, then we resort to general maxims of statutory construction. PGE v. Bureau of Labor and Industries, 317 Or 606, 611-12, 859 P2d 1143 (1993); Carroll v. Boise Cascade Corp., 138 Or App 610, 614, 910 P2d 1111 (1996).
We begin our analysis with an examination of the text and context of the term “academically licensed.” Neither the phrase nor its words are defined by statute. Webster‘s Third New Int‘l Dictionary, 1304 (unabridged ed 1993), defines “licensed” as “having a license,” and “license” as “a right or permission granted in accordance with law by a competent authority to engage in some business or occupation * * * which but for such license would be unlawful.” Although the interventionists need not hold a formal license from a competent licensing authority, ERB concluded that the plain and natural meaning of the word “licensed” is not controlling
Textually, ERB noted the express inclusion of child development specialists by example in
“Individuals contracted as Child Development Specialists shall hold a Personnel Services Certificate, a Personnel Services Certificate of Accomplishment as issued by Teacher Standards and Practices Commission or be approved to serve in that capacity by the State Board of Education. * * * [R]equirement of a master‘s degree is recommended * * *.” (Emphasis added.)
Child development specialists must either hold a professional certificate or receive an alternative approval from the State Board of Education in order to practice. Those professional requirements are closely identifiable with the plain and ordinary meaning of the word “license.”2
However, the listed examples of academically licensed positions are not exclusive. ERB decided that the interventionists “is of like character” to those listed because all of them “enhanc[e] the educational development of students.” The problem with that conclusion is that it is not evident from a first step PGE analysis.3 While the interventionists are academically trained, and undoubtedly share a
The district, on the other hand, steadfastly argues that the text resolves the case in its favor because the dictionary definition of the word “licensed” is controlling. We disagree. The term we are called on to construe is a phrase consisting of two words: “academically” and “licensed.” We may not focus on the meaning of one of its component words to the exclusion of the other. The plain, natural, and ordinary meaning of the word “academic” is “belonging to, or associated with an academy or school, esp. of higher learning * * *: formed by school training or associations * * *: based on formal study at an institution of learning, esp. of higher learning.” Webster‘s at 9. Institutions of learning do not award licenses to their graduating students: they award certificates, diplomas, degrees, and the like. In other words, they train and educate their students, rather than grant them legal authority to engage in a profession.
The ambiguity of the phrase arises from the conjunction of its constituent words. Because of the differences in emphasis between the words “academically” and “licensed,” they simply do not coalesce to signify any single, obvious meaning. The joinder of those words suggests at least two alternative, plausible meanings. The first is that the persons described must be both academically trained and must also be licensed by a competent legal authority. The second is that the persons described must be entitled to engage in a particular occupation or profession by reason of academic training.
ERB based its decision largely on the contextual prong of the first level analysis prescribed in PGE. ERB concluded that its decision in the Mid-Valley Bargaining Council case is part of the context of the 1995 amendment to
“administrative expressions of policy are offered as context, courts must be cautious not to make policy in the guise of interpretation, or to allow agencies * * * to achieve through a court‘s interpretation policy objectives that the enactment as promulgated was not meant or failed to embody.” DLCD v. Jackson County, 151 Or App 210, 218, 948 P2d 731 (1997), rev den, 327 Or 620 (1998) (emphasis in original).
We agree that it was not implausible for ERB to conclude that the term “academically licensed” is shorthand for its terminology in Mid-Valley Bargaining Council. However, the lack of precise symmetry in terminology between the statutory text and ERB‘s decision makes ERB‘s conclusion less certain. It is unclear, for example, why the legislature did not use the broader terminology employed by ERB, including academic certification, degrees, and equivalents, if it intended employees such as the interventionists to join a single, professional bargaining unit. The omission may or may not be significant. For that reason, ERB‘s decision in
Neither the parties nor ERB moved to the second level, consideration of legislative history, to inform the inquiry into legislative intent.5 Unfortunately, the legislative history does not clearly reveal the meaning intended by the term “academically licensed.” However, it does suggest that the general purpose behind adopting
The original version of the bill stated, “An appropriate bargaining unit cannot contain both teachers and school employees who do not have teaching licenses.” Draft, SB 750, February 27, 1995. A representative of the Oregon School Board Association, testifying in favor of that version, indicated an understanding that the measure would separate teachers from classified employees such as transportation workers:
“Bargaining for teachers and classified employees requires addressing the specific needs of employees in each bargaining unit. As school districts are becoming more heavily regulated through state and federal standards and mandates, there are an increasing number of different issues facing these two groups. This makes it increasingly difficult to support the Employment Relations Board‘s conclusion [in Welches Education Association/OEA/NEA v. Welches School District No. 13, 12 PECBR 12/304 (July/August 1990)] that working conditions of both employee groups are not disparate. For example, with classified staff, there are requirements that are specific to that employee group, including overtime requirements, fingerprinting requirements, drug and alcohol testing for transportation employees, vacations, etc.” Testimony, House Labor Committee, SB 750, April 21, 1995, Ex F (statement of Chris Dudly, Oregon School Board Association).
“le[ft] some people with no place to go. For example, there are districts where they have sociologists, where they have counselors, they have other professional people [who] do not have teaching licenses, nor are they required to have teaching licenses because of their nature in the system and their work with children and their work with other people in the district, they are more naturally aligned with the professional unit than they would be with the classified unit.” Tape recording, House Committee on Labor, SB 750, April 21, 1995, Tape 92, Side B (statement of John Danielson, Oregon Education Association).
Shortly after that testimony, the bill was amended to substitute the term “academically licensed” for the original language. SB 750, May 2, 1995.6
Although the foregoing testimonial history is informative, we are reluctant to draw decisive inferences concerning legislative intent from that history for several reasons. First of all, the statements related to earlier versions of SB 750, rather than to its final enacted form. Moreover, the statements were made by witnesses and are not direct expressions of legislative intent. See, e.g., State v. Guzek, 322 Or 245, 261, 906 P2d 272 (1995). Finally, any inference drawn from the nature of revisions to the bill after those statements were made is, at best, permissive.
While legislative history is not dispositive, it does provide some guidance when viewed in light of the maxim that we are to construe in accordance with the general statutory purpose.8 The timing sequence between witness Danielson‘s expression of concern that professional staff should be aligned with teachers in a single bargaining unit and the subsequent amendments to SB 750, does help tip the scales in favor of ERB‘s construction of the statute. The interventionists are professional, academically trained staff and, as such, are similarly situated to the other nonteaching professionals that Danielson felt could fall between the cracks under the former language of the bill.
When we consider all relevant evidence of the legislature‘s purpose, including the evolution of the statutory language during the 1995 legislative session, the similarity
Affirmed.
LANDAU, P. J., dissenting.
At issue in this case is whether the position of “interventionist” is “academically licensed” within the meaning of
The majority disagrees. It begins with the assertion that the term “licensed” ordinarily means “a right or permission granted in accordance with law by a competent authority to engage in some business or occupation[.]” 163 Or App at 563 (quoting Webster‘s Third New Int‘l Dictionary, 1304 (unabridged ed 1993)). It then concludes, however, that, when
The majority‘s analysis is flawed and its conclusion incorrect. There is nothing ambiguous about
Ordinarily, I am skeptical of the use of such textual maxims, because they are so easily manipulated; a given list of items in a statute can have any number of different characteristics in common. In this case, however, the legislature has gone to the trouble of telling us what, at a minimum, must be considered a common characteristic: There must be a “license.” That unremarkable insight is borne out by the fact that each of the occupations listed in
The linchpin of the majority‘s contrary conclusion appears to be its assertion that there is something ambiguous about the term “licensed” as it is used in
The majority then attempts to reason its way around the problem as follows. First, it identifies the ordinary meaning of the term, as I have described above. Then it suggests that, based on the context of the statute, it appears that the legislature may have intended a “broader” meaning of the term. The “context” to which the majority refers is a 1981 decision of the Employment Relations Board (ERB), Mid-Valley Bargaining Council v. Greater Albany School Dist., 6 PECBR 4766 (1981), which the majority reads as using language that the legislature could have relied on in crafting the
To begin with, I question whether it is appropriate to rely on a single decision of an administrative agency as “context” for a statute enacted 14 years later. The term generally refers to information about which the legislature likely was aware during the enactment process. Given that our objective is the ascertainment of the intentions of the enacting legislators,
In this case, the majority offers no textual basis for inferring that the legislature might have been aware of the Mid-Valley decision, much less that, more than a dozen years later, the decision formed the basis for the legislature‘s coinage of the term “academically licensed” in
In that regard, I suggest that, even assuming that the Mid-Valley decision properly may be regarded as context, the decision does not lend the support that the majority draws from it. The Mid-Valley decision used not the term “academically licensed,” but the phrase “academic certificate, license, degree or the equivalent.” If we are to assume that the legislature was aware of that language and relied on it in enacting
Even the majority concedes that Mid-Valley lends weak support for its reading of the statute. Accordingly, it proceeds to an examination of the legislative history. Relying on the statements of two lobbyists, the majority finds further support for its reading of the statute. The statements of lobbyists, however, provides little evidence of the intentions of the enacting legislators without some suggestion that the legislature agreed with, and relied on, the statements. As the Supreme Court cautioned in State v. Guzek, 322 Or 245, 261, 906 P2d 272 (1995):
“In general, an examination of legislative history is most useful when it is able to uncover the manifest general legislative intent behind an enactment. By contrast, an examination of legislative history is most fraught with the potential for misconstruction, misattribution of the beliefs of a single legislator or witness to the body as a whole, or abuse in the form of ‘padding the record’ when the views of only a
small number of persons on a narrow question can be found.” ”
(Quoting Errand v. Cascade Steel Rolling Mills, Inc., 320 Or 509, 539 n 4, 888 P2d 544 (1995) (Graber, J., dissenting).) In this case, there is no one, much less a small number of persons, speaking to the narrow question at issue. The statements of the two lobbyists the majority quotes did not concern the issue of defining the meaning of “academically licensed.” The statements did not even concern the same version of the bill that ultimately was enacted as the statute at issue in this case.
The majority insists that the legislative history nevertheless is “informative,” although it concedes that it is not dispositive. It therefore proceeds to a “third-level” maxim of statutory construction, namely, that we attempt to construe a statute to conform to its purposes. I do not quarrel with the maxim. But the majority does not properly apply it in this case.
The maxim of effectuating legislative purpose presupposes an identifiable purpose, which is used as the basis for selecting between competing constructions. The rationale is that, when confronted with competing interpretations otherwise in semantic equipoise, we assume that the legislature would have intended us to select the interpretation that best effectuates the statute‘s broader purpose. Thus, in Welliver Welding Works v. Farmen, 133 Or App 203, 210, 890 P2d 429 (1995), we resolved an ambiguity in a provision of the workers’ compensation statute by reference to its purpose as explicitly stated in the statute itself.
In this case, there is no such clearly stated purpose. Indeed, the majority does not ever identify precisely what the purpose of the statute is. Moreover, the majority never explains why its construction effectuates the purpose of the statute, whatever it may be, and why the construction that it rejects does not effectuate that purpose. Instead, the majority reverts to the legislative history—the same legislative history that the majority previously conceded has limited value—to arrive at the conclusion that it “tip[s] the scales” in favor of its reading of the statute. 163 Or App at 570. Thus, somewhere between the second and third levels of analysis—
Disposition of this case does not require such feats of semantic sleight of hand. As ERB correctly held in its original decision, the legislature made clear its intentions with the language it enacted. An “academically licensed” position requires a “license.” The position of interventionist requires no license. Therefore, it is not “academically licensed” within the meaning of
