Opinion
Introduction
Appellant William Vollstedt, a permanent employee of respondent City of Stockton (hereafter, the City), was demoted from mechanical maintenance supervisor to mechanic. Following a two-day hearing, the City’s civil service commission (Commission) determined that the evidence was insufficient to support a finding that the demotion was proper. The Commission forwarded its advisory recommendation to the city manager (City Manager). Without reviewing the evidence presented at the hearing and without the benefit of a written statement of facts prepared by the Commission, the City Manager rejected the Commission’s recommendation and decided to uphold the decision to demote based on information supplied by the City’s personnel director. Appellant petitioned for a writ of mandate,
We hold that the trial court erred in concluding that appellant had been given a fair hearing. Under the circumstances of this case, due process required that the City follow the procedure codified by its own ordinance. It further required that the City Manager refrain from making his decision based on evidence that the appellant had no notice of nor an opportunity to controvert. Here the applicable city ordinance requires that after a hearing before the civil service commission a statement of facts will be prepared by the Commission and transmitted to the final decision maker, the City Manager. This was not done. The City Manager’s decision to proceed without such a statement or a review of the tapes or transcriptions of the Commission hearing, coupled with his decision to reject the Commission recommendation based on evidence supplied by the City’s personnel director, denied petitioner due process and violated the fundamental principle that “he who decides must hear.” Petitioner is entitled to a decision by the City Manager based on evidence presented at the Commission hearing.
Where, as here, appellant is asserting a right to have a decision made by the City Manager based on evidence presented at his hearing and there is a “real doubt” as to whether the same action would have been taken upon a proper assessment of the evidence, the trial court’s independent review of the evidence presented at the hearing will not cure the error. We will order the trial court to issue a writ of mandamus requiring the City to vacate its order sustaining petitioner’s demotion and to afford him a fair, independent review in accordance with this opinion.
Factual and Procedural Background
On April 26, 1986, appellant received a “Skelly” 1 letter from Tom Dosh, director of municipal utilities, notifying him of Dosh’s intention to recommend that appellant be demoted from mechanical maintenance supervisor in the City’s waste water division, to mechanical maintenance worker. The letter stated the basis for this recommendation was that “ ‘the Mechanical Maintenance section’s ineffectiveness is directly related to your supervisory performance which has also contributed to poor employee morale.’ Your management style has not been effective in developing and encouraging many employees’ productivity.”
The civil service commission held a two-day hearing at which evidence was presented of these and other incidents. The additional incidents included allegations of racist and sexist remarks. Appellant’s counsel objected to lack of notice of these incidents, but later agreed to proceed with all issues. In light of our conclusion that it is the denial of due process rather than a lack of substantial evidence which require reversal, it is unnecessary to set forth the evidence presented at the Commission hearing.
On a vote of three-to-one, the Commission issued a “decision” stating in pertinent part, “that the evidence presented concerning Mr. Vollstedt’s conduct as a supervisor was insufficient to support a finding that the action taken to demote Mr. Vollstedt was proper. [¶] The Civil Service Commission recommends to the appointing authority that William Vollstedt be reinstated to a position within the Municipal Utilities District and restored to his former pay level. It is further recommended that the reinstatement be made retroactive without loss of pay or benefits to William Vollstedt.” The written “decision” prepared by the Commission did not contain a statement of facts.
On August 27, 1986, City Manager Edward Griffith rejected the recommendations of the Commission and upheld appellant’s demotion. In the trial court, Griffith testified that, in making this decision, he did not listen to the tapes of the evidence taken at the Commission hearing or read transcripts of those tapes.
2
He discussed the matter with City Personnel Direc
On September 5, 1986, appellant filed a petition for writ of mandate to compel reinstatement of position and for damages. On August 20, 1987, following a hearing, the court found that “[t]here was sufficient procedural due process; they (City of Stockton) have not violated any of Mr. Vollstedt’s due process procedures.”
On September 21, 1987, a second hearing was held to determine whether the City had good cause to demote appellant from his supervisory position. At this hearing, the transcripts of the two-day civil service Commission hearing were admitted into evidence for the court’s independent review.
On October 15, 1987, the trial court issued its order determining that the City had good cause to demote appellant “for the lack of proper supervisory skills.” In reaching its conclusion, the court made eight separate findings of various incidents, including those alleged in the original “Skelly” letter notifying defendant of his impending demotion 3 On November 20, 1987, appellant filed his notice of appeal from the “judgment or order dated October 15, 1987. 4
The City of Stockton has adopted a civil service system with the goal of establishing an equitable and uniform procedure for dealing with personnel matters. Under this system, a personnel department was created which consists of civil service commission and the City Manager, who acts as personnel officer. Appellant was demoted pursuant to the authority contained in Stockton Municipal Code section 2-003 (D) and Civil Service rules XII and XIV, section 3. 5 This regulatory scheme provides that an employee may be demoted for good cause; that the employee may then appeal to the civil service commission which shall hear the appeal and prepare and transmit to the City Manager a written statement of facts, findings and recommendations; and that the recommendations of the Commission are advisory only, with the final decision resting with the City Manager.
The trial court determined that rule XIV’s procedure of allowing the City Manager to substitute his determination for that of the civil service commission did not deny appellant due process. Appellant does not challenge this ruling. Appellant argues that he was denied a fair hearing in the post-Commission review by the City Manager. The essential thrust of appellant’s argument is that his due process right to a decision made by a decisionmaker with sufficient competent evidence was violated when the City Manager chose to make his decision without reviewing the evidence presented at the Commission hearing. He argues that the trial court’s independent review of the civil service commission’s record cannot cure that defect.
It is undisputed that City Manager did not review the tapes or transcriptions of the evidence taken at the Commission hearing prior to making his decision. Nor did he review a summary of such evidence as provided for in Civil Service rule XIV, section 3, since the Commission failed to submit one to him. Griffith relied on information provided by Personnel Director Fong. 7
On appeal, the trial court’s decision whether appellant received a fair administrative trial will be upheld if it is supported by substantial evidence.
(Western Air Lines, Inc.
v.
Schutzbank
(1968)
Here, the City properly notified appellant of its intended action and the reasons for the proposed action. The City then provided petitioner with an opportunity to appear and to respond to the charges before the civil service commission and to confront and cross-examine witnesses at that hearing. The Commission then prepared a written statement of its advisory recommendation, leaving the final decision to the appointing authority; i.e., City Manager Griffith. In so doing the Commission did not transmit to the City Manager a written statement of facts as required by Stockton City Ordinance 2-003.
8
Although the City Manager as final decisionmaker is authorized to substitute his decision for that of the civil service commission (see
West
v.
City of Berkeley
(1979)
The fact that Personnel Director Fong may have presented the City Manager with substantial evidence supporting his decision not to follow the recommendations of the Commission did not cure the error caused by the Commission’ failure to transmit a statement of facts to the City Manager. Rather it led to further abuse of appellant’s right to a fair hearing. A decisionmaker such as the City Manager, who is required by city ordinance
“Due process requires a fair trial before an impartial tribunal. Such a trial requires that the person or body who decides the case must know, consider and appraise the evidence.
(Hohreiter
v.
Garrison,
The fundamental principle that “the one who decides must hear” was set forth in
Morgan
v.
United States
(1936)
This principle was reexamined in
Hohreiter
v.
Garrison
(1947)
Several years later, the Supreme Court noted that “[ijmplicit in the rule that it is not a denial of due process for the commission to base its award on a report of a referee although it does not review the record, is the corollary that if it reviews the evidence in the record it may validly make an award contrary to the referee’s recommendation.”
(Nat. Auto. & Cas. Co.
v.
Ind. Acc. Com.
(1949)
More recently, in
Samaan
v.
Trustees of the Cal. State University & Colleges
(1983)
Here, the City Manager’s decision to proceed without a statement of facts in compliance with the City’s established procedure or a review of the tapes or transcripts of the hearing, coupled with his decision to reject the Commission’s recommendation based on information supplied by the City’s personnel director, denied petitioner due process and violated the fundamental principle that “he who decides must hear.” To afford Mr. Vollstedt due process the City Manager did not have to read the transcripts or listen to the tape recordings of the hearing before the Commission. Had one been prepared and transmitted, the City Manager could have relied on the Commission’s written statement of facts. In this case, the Commission’s written “decision” did not provide any statement of facts on which the City Manager could rely in making his decision. Although, as noted in Samaan, the extent to which an independent study of the evidence is necessary to the exercise of informed judgment is left to the discretion of the agency, clearly a total absence of independent review is inadequate.
Here, however, appellant is seeking to have the adminstrative decision-maker exercise his discretion based on the evidence presented at the Commission hearing. The City Manager has yet to do so. It is obviously appellant’s hope that once the City Manager reviews such evidence he will decide to follow the Commission’s recommendation or impose a more lenient form of discipline. The independent review provided for in Code of Civil Procedure section 1094.5 presupposes that the administrator has, in fact, exercised his or her discretion in reliance on evidence presented at the hearing, either through a review of such evidence (see
Samaan, supra,
It is well settled that in cases involving the imposition of a penalty or other disciplinary action by an administrative body, when it appears that some of the charges are not sustained by the evidence, the matter will be returned to the administrative body for redetermination in all cases in which there is a “real doubt” as to whether the same action would have been taken upon a proper assessment of the evidence.
(Miller
v.
Eisenhower Medical Center
(1980)
Appellant’s reliance on dicta in
Noguchi
v.
Civil Service Com.
(1986)
The case must be reversed and remanded to the trial court with directions to issue a writ of mandamus requiring the City to afford appellant an independent review based on the evidence presented to the Commission.
Disposition
We reverse the judgment and remand the cause to the superior court with directions to issue a writ of mandamus requiring the City of Stockton to vacate its order sustaining petitioner’s demotion and to afford him a fair independent review in accordance with this opinion. Appellant is awarded his costs of appeal.
Puglia, P. J., and Sparks, J., concurred.
A petition for a rehearing was denied June 7, 1990.
Notes
Skelly
v.
State Personnel Bd.
(1975)
Code of Civil Procedure section 1094.5, subdivision (e) provides: “Where the court finds that there is relevant evidence which, in the exercise of reasonable diligence, could not have been produced or which was improperly excluded at the hearing before respondent, it may enter judgment as provided in subdivision (f) remanding the case to be reconsidered in the light of that evidence; or, in cases in which the court is authorized by law to exercise its inde
The trial judge’s findings were as follows: “(1) Petitioner asked Clyde Dunsing, Union Steward, to deliver a threat of disciplinary action to Delbert Miller and Murphy Warmsley if they presented a grievance to his superior and that said threat was delivered by Mr. Dunsing.
[¶] (2) Petitioner, at the meeting with Delbert Miller and Murphy Warmsley, became so emotionally distraught that he threw a chair within the office. [¶] (3) Petitioner remonstrated with his superior concerning the Miller-Warmsley matter when they requested that they speak to petitioner’s supervisor outside of petitioner’s presence. [¶] (4) Petitioner made statements regarding Harvey Ramsey’s stuttering and that people think he has a mental problem, and therefore, it would be difficult for him to be promoted, [¶] (5) Petitioner made a false statement to Max Gallegos to the effect that George Matzek and Clyde Dunsing wrote a letter to the effect that Max Gallegos was incompetent and that this was the reason that Max Gallegos did not get the Lead Instrumentation Repair Technician position. [¶] (6) Petitioner made derogatory remarks to Paul Stovall concerning the genitals of Mr. Stovall’s wife of Chinese ancestry, [¶] (7) Petitioner remarked that the presence of the first female employee in his department had caused the area to resemble a ‘whorehouse’. [¶] (8) Petitioner stated, in reference to Murphy Warmsley, that he wouldn’t promote that ‘nigger.’ ”
The general rule is that an appeal lies from an order of the superior court denying a petition for writ of mandate.
(Ross
v.
Municipal Court
(1975)
Rule XII of the City of Stockton Civil Service Rules and Regulations provides that “[a]n appointing authority may demote a subordinate employee whose ability to perform the duties of his position falls below standard, for disciplinary purposes, or for any other good cause . . . .” Under Stockton City Ordinance Section 2-003, “It shall be the duty of the Civil Service commission: D. Appeals : As provided by rule, to hear appeals from dismissals, demotions or reductions submitted by any person in the competitive service, except those excluded therefrom, under Section 2-006 hereof. The Civil Service Commission shall prepare or cause to be prepared a written statement of facts, findings and recommendations on every appeal and shall transmit a duplicate thereof to the person involved, and to the Personnel Officer. The eifect of the Commission’s recommendations in case of discharge, demotion or reduction shall be advisory only . . . .” Civil Service Rule XIV, Section 3 provides that “When the employee is entitled to a hearing, the Commission shall hold a hearing on the action within ten (10) days after the appeal is filed. Within seven (7) days after the hearing the Commission shall submit a statement of findings and such recommendations as it considers appropriate with the appointing authority and employee concerned. Final decision shall, however, rest with the appointing authority.”
Code of Civil Procedure section 1094.5, subdivision (a) provides in pertinent part: “Where the writ is issued for the purpose of inquiring into the validity of any final administrative order or decision made as the result of a proceeding in which by law a hearing is required to be given, evidence is required to be taken, and discretion in the determination of facts is vested in the inferior tribunal, corporation, board, or officer, the case shall be heard by the court sitting without a jury. . .
Subdivision (b) provides in pertinent part: “The inquiry in such a case shall extend to the questions whether the respondent has proceeded without, or in excess of jurisdiction; whether there was a fair trial; and whether there was any prejudicial abuse of discretion . . . .”
Roger Fong testified that he did not hear any of the evidence presented before the Commission or review the tapes or transcripts of the civil service commission. Mr. Fong was aware of the facts and circumstances, however, from previous investigations, interviews and grievance processes. He had personally conducted a grievance hearing filed against Mr. Vollstedt by the engineers’ union. Appellant was present at this hearing and the witnesses were subject to cross examination. Warmsley, Miller, Denson, and Ramsey, who subsequently testified before the Commission, testified at this grievance hearing. On a separate occasion, Mr. Fong interviewed Paul Stovall regarding incidents about which Stovall later testified before the Commission. Mr. Fong was also aware of the facts because a detailed audit of the municipal utilities department was made during which a number of employees expressed their concerns about appellant’s behavior. The audit was conducted in confidence. Fong later contacted those employees to determine if they were willing to testify against appellant publicly. Mr. Fong then discussed who the appropriate witnesses would be with the city attorney. It was this information which Mr. Fong used as his basis for making his recommendation to Mr. Griffith.
See ante, footnote 6.
Code of Civil Procedure section 1094.5 provides in pertinent part:
“(b) The inquiry in such a case shall extend to the questions . . . whether there was any prejudicial abuse of discretion. Abuse of discretion is established if. . . the order or decision is not supported by the findings, or the findings are not supported by the evidence.
“(c) Where it is claimed that the findings are not supported by the evidence in cases in which the court is authorized by law to exercise its independent judgment on the evidence, abuse of discretion is established if the court determines that the findings are not supported by the weight of the evidence. In all other cases, abuse of discretion is established if the court determines that the findings are not supported by substantial evidence in the light of the whole record.”
In
Noguchi
v.
Civil Service Commission, supra,
