Alaska State Commission for Human Rights v. Anderson
Alaska State Commission for Human Rights v. Anderson
Opinion of the Court
I. INTRODUCTION
May the Alaska State Commission for Human Rights limit the attendance of third parties at investigative interviews? This question arises in the context of a Commission investigation into a State employee's complaints of workplace discrimination. The Commission issued a subpoena to interview the complainant's supervisor, who refused to be interviewed unless an employer representative was also present. On the Commission's petition, the superior court issued an order to show cause why the supervisor should not be held in contempt. The supervisor moved to vacate the order and dismiss the contempt proceeding; the superior court granted the motion on the ground that the Commission lacked the legal authority to exclude third parties from its investigative interviews. The Commission appeals.
We conclude that the statutory requirement of a confidential investigation, with its specific limits on a respondent's access to investigative materials, clearly authorizes the Commission to exclude third parties from investigative interviews. We therefore reverse the superior court's order dismissing the Commission's petition and remand for further proceedings.
II. FACTS AND PROCEEDINGS
A. Background
1. The Alaska Commission for Human Rights
The Commission for Human Rights is responsible for enforcing Alaska's anti-discrimination laws.
These investigations are generally confidential by statute. With limited exceptions, the Commission is prohibited from "mak[ing] public the name of a person initiating a complaint or a person alleged to have committed [a discriminatory act or practice] during an investigation."
The Commission's staff is authorized by regulation to use a variety of investigative methods. These include witness interviews, "inspection of documents and premises," and "examination of written submissions of parties and witnesses."
The focus of this appeal is the Commission's unwritten policy, followed for at least 27 years,
2. The investigation
The investigation at issue began when an employee filed two complaints against her employer, the State of Alaska Department of Health and Social Services (DHSS), in August 2014 and February 2015. The Commission opened an investigation headed by investigator Patricia Watts. DHSS responded to the complaints with a letter from Greta Jones,
*961When Watts called Anderson to schedule an interview, Anderson responded by email directing Watts to Jones, the EEO manager. Watts replied that she was "within correct procedure to schedule an interview directly with" Anderson and suggested some dates. According to a memorandum drafted by Watts, Jones called a few days later to inform her that Anderson (and another witness whose involvement is not at issue here) had "managerial status that entitled [Jones] to attend the interviews." Watts disputed this: she told Jones that Anderson was "a supervisor but not a high-level manager." Jones also said that DHSS would require a subpoena for the witness interviews, and Watts replied that she would be requesting subpoenas.
Paula Haley, then-executive director of the Commission, issued an administrative subpoena directing Anderson "to appear at the offices of [the Commission] ... to provide testimony" on September 18. On September 14 Jones called Watts "in response to the subpoena" to say that Anderson wanted her to be present at the interview. Watts responded "that the Commission ha[d] to address" whether Jones could attend but agreed to discuss rescheduling. In a letter a few days later Watts confirmed a new date for Anderson's interview, October 6, and informed Jones, "The Commission will not allow anyone else to be present during my interview of Ms. Anderson except for her attorney, if she retains counsel."
Jones and the Attorney General's Office both wrote the Commission, challenging its authority to exclude Jones from Anderson's interview. In a letter to Jones, the Commission's attorney, Stephen Koteff, wrote that the Commission did indeed have the authority to "set reasonable conditions on its interviews of witnesses" and that witnesses "are not entitled to representation ... absent some affirmative right conferred by law." Watts faxed a letter to Anderson the same day, informing her that Jones could not be present at the interview and that the Commission might "seek enforcement of the subpoena in court" if Anderson "refuse[d] to answer or participate in the interview under these circumstances."
3. The interview
On October 6 Jones and Anderson called Watts to initiate the telephone interview. Jones recorded the call.
After the call ended-as Watts described it in a contemporaneous email-Anderson informed Watts that she would be willing to be interviewed alone after all but soon changed her mind, admitting that she had "gone back and forth on having [Jones] there with me when we talk" but that ultimately "I find I do want her there with me." Watts reiterated the Commission's position and asked Anderson to call her if she changed her mind again.
*962B. Proceedings
The Commission filed a petition for a show cause hearing in the superior court. Based on the petition and the accompanying affidavit of investigations director Gay, the superior court issued an order to show cause. Anderson, represented by the Attorney General's Office, filed a motion to vacate the order to show cause and dismiss the contempt proceedings.
The Commission filed this appeal.
III. STANDARD OF REVIEW
"[A] superior court's decision not to hold a party in contempt is committed to the court's discretion and is one to which we will accord considerable deference."
"Whether an agency action is a 'regulation' requiring rulemaking under the Alaska Administrative Procedure Act is a question of law that does not involve agency expertise," and we review such determinations using our independent judgment.
IV. DISCUSSION
The Commission's position is that it has the authority to exclude third parties from its investigative interviews and that it has exercised this authority for decades pursuant to an unwritten policy. Anderson counters that an unwritten policy is insufficient and that the Commission's policy has no support in statute or regulation. She also argues that the superior court did not abuse its discretion by vacating the contempt order when the face of the subpoena contained no restrictions on third-party attendance and the Commission's explanations of its policy were inconsistent. We conclude, however, that the confidentiality of the Commission's investigations, mandated by statute, necessarily entails the authority to conduct confidential interviews. We also hold that the subpoena was valid and that it was an abuse of discretion to vacate the order to show cause and dismiss the contempt proceeding.
A. The Confidentiality Of Commission Investigations Necessarily Implies The Authority To Exclude Third Parties From Witness Interviews.
Administrative agencies are created by statute "and therefore must find within the statute the authority for the exercise of *963any power they claim."
Alaska Statute 18.80.115 was added to Title 18 nearly 20 years after the Commission was created.
This construction advances the broad purpose of Title 18, Chapter 80: "the elimination and prevention of discrimination[ ] in many facets of our society."
It is reasonable to assume that an investigation that depends on the candor and ease of witnesses in informal interviews would suffer if the Commission could not exclude third parties from those interviews-particularly employer representatives in cases of workplace discrimination. A contrary interpretation could seriously damage the mandate *964of confidentiality: While AS 18.80.115 prohibits the Commission from disclosing investigative material, it imposes no such prohibitions on private parties who have ongoing access to the same material. A witness's candor could be chilled not only because her supervisor is sitting in the chair next to her and listening to every word, but also because the supervisor is free to tell anyone else what the witness tells the interviewer.
Maryland's highest court discussed this issue when it reversed the denial of an injunction excluding the employer from investigative interviews, observing that the employer's presence and demand to have the interviews recorded would "likely have the effect of intimidating or influencing witnesses and frustrating the truth-seeking and confidential nature of the investigative process."
Emphasizing the principle of statutory construction expressio unius est exclusio alterius ,
Relatedly, Anderson points out that the legislature has expressly authorized other agencies to hold private interviews; it could have done so in Title 18, Chapter 80 but did not. But the agencies Anderson lists are distinguishable. Alaska Statute 42.06.450 provides the Regulatory Commission of Alaska with the authority to "exclude from attendance at the taking of investigative testimony all persons except the person compelled to attend." But the statute creating the Regulatory Commission does not require that its investigations be confidential; in fact, the Regulatory Commission must make records in its possession "open to public inspection at reasonable times."
Anderson also relies on the fact that both the Office of Victims' Rights and the Office of the Ombudsman may conduct confidential investigations
Anderson also contends that the Commission's policy of limiting third party attendance at investigative interviews is unlawful unless it is embodied in a regulation. Rulemaking under the Administrative Procedure Act (APA) is required for an agency's "expansive or unforeseeable" interpretations of a statute but not for "obvious, commonsense *966interpretations," because requiring commonsense interpretations to go through the APA's formal notice and comment process "would result in complete ossification of the regulatory state."
We conclude that the Commission's longstanding policy of excluding third parties from informal witness interviews is a commonsense interpretation of the statutory requirement that it maintain the confidentiality of its investigative "records and information."
B. It Was An Abuse Of Discretion To Vacate The Show Cause Order And Dismiss The Contempt Proceedings.
Anderson argues that even setting aside the question whether the Commission had the authority to exclude third parties from her interview, the superior court did not abuse its discretion when it vacated the show cause order and dismissed the contempt proceeding because Anderson had complied with the plain terms of the subpoena, which said nothing about limitations on attendance. It is undisputed that Anderson appeared telephonically at the agreed time and was prepared to answer Watts's questions, though only on her own conditions: that Jones be allowed to be there too.
Alaska Statute 44.62.590 allows an agency to bring a motion for an order to show cause if it certifies to the superior court that an individual involved in an investigation "(1) disobeys or resists a lawful order; (2) refuses to respond to a subpoena; (3) refuses to take oath or affirmation as a witness; (4) refuses to be examined; or (5) is guilty of misconduct at a hearing or so near the hearing as to obstruct the proceeding." Here, the Commission asked that Anderson be held in contempt for "refusing to obey a subpoena." Once the superior court had jurisdiction,
The superior court appears to have found that Anderson complied with the subpoena because the subpoena required only that she appear for her interview-which she did-while placing no limits on third party attendance. But the subpoena, like most, did not require only that Anderson appear; it *967required her to "appear ... to provide testimony ." (Emphasis added.) A witness cannot satisfy a subpoena by simply showing up and then declining to testify except on conditions she knows are unacceptable to the subpoenaing authority.
Furthermore, contrary to Anderson's argument, a valid subpoena need not include every detail inherent in the type of proceeding.
Anderson also relies, however, on the superior court's finding that the Commission's communications about its policy were "clearly inconsistent,"
Because the Commission had the authority to exclude third parties from its investigative interviews; because it was not necessary that the subpoena explicitly assert this specific aspect of its authority in order to be valid; and because the alleged inconsistency in the Commission's explanation of the policy was immaterial to Anderson's failure to comply, we hold that it was an abuse of discretion to conclude that Anderson complied with the subpoena.
V. CONCLUSION
We REVERSE the order vacating the show cause order and dismissing the Commission's petition and REMAND for further proceedings consistent with this opinion.
See AS 18.80.060 ; Hotel, Motel, Rest., Constr. Camp Emps. & Bartenders Union Local 879 v. Thomas ,
AS 18.80.100.
AS 18.80.110.
AS 18.80.112, .120(a).
AS 18.80.115.
6 Alaska Administrative Code (AAC) 30.320(a) (2014).
AS 18.80.060(c).
Id .
The Commission offered affidavits of its former executive director, Paula Haley, and the investigations director, Nanette Gay, to prove the policy's existence and explain its parameters. The superior court found that the Commission had a longstanding policy to conduct interviews in this way, and Anderson does not challenge that finding on appeal.
Following the parties' practice, we use a pseudonym only for "Greta Jones," a representative of the respondent (see AS 18.80.115 ).
Jones told Anderson she decided to record the call "only so that if we had to [we could] show that you really did show up and you're prepared to of course answer any questions."
Some intervening but ultimately irrelevant procedural steps are omitted from this description.
The court noted the difference between Watts's September 18 letter, which stated that witnesses could be accompanied by their attorneys, and Koteff's October 1 letter, which stated that witnesses "are not entitled to representation, whether by counsel or otherwise, absent some affirmative right conferred by law."
Stuart v. Whaler's Cove, Inc. ,
Bernard v. Alaska Airlines, Inc. ,
Heller v. State, Dep't of Revenue ,
Alyeska Pipeline Serv. Co. v. State, Dep't of Envtl. Conservation ,
McDaniel v. Cory ,
AS 18.80.115.
6 AAC 30.905.
Ch. 125, § 1, SLA 1980.
AS 18.80.115.
House Committee Substitute for Senate Bill 569, 11th Leg., 2d Sess. (1980).
Hotel, Motel, Rest., Constr. Camp Emps. & Bartenders Union Local 879 v. Thomas ,
Id . at 946 ; see also Dow Chem. Co. v. United States ,
Toliver v. Alaska State Comm'n for Human Rights ,
Md. Comm'n on Human Relations v. Talbot Cty. Det. Ctr. ,
Talbot ,
"The maxim establishes the inference that, where certain things are designated in a statute, 'all omissions should be understood as exclusions.' The maxim is one of longstanding application, and it is essentially an application of common sense and logic." Croft v. Pan Alaska Trucking, Inc. ,
See AS 16.43.110(d) (granting subpoena power to Alaska Commercial Fisheries Entry Commission); AS 25.27.085 (granting subpoena power to Child Support Services Agency); AS 42.40.810 (granting subpoena power to Railroad Labor Relations Agency).
See Russello v. United States ,
Arabian Motors Grp. W.L.L. v. Ford Motor Co. ,
Barnhart v. Peabody Coal Co. ,
Chevron U.S.A. Inc. v. LeResche ,
Beck v. State, Dep't of Transp. & Pub. Facilities ,
AS 42.06.445(a).
AS 24.55.160(b) ("The ombudsman shall maintain confidentiality with respect to all matters and the identities of the complainants or witnesses coming before the ombudsman except insofar as disclosures may be necessary to enable the ombudsman to carry out duties and to support recommendations."); AS 24.65.120(c) ("The victims' advocate shall maintain confidentiality with respect to all matters and the identities of the complainants or witnesses coming before the victims' advocate except insofar as disclosures may be necessary to enable the victims' advocate to carry out duties and to support recommendations.").
AS 24.55.160(a)(3) ("In an investigation, the ombudsman may ... hold private hearings."); AS 24.65.120(b)(2) ("In an investigation, the victims' advocate may ... hold private hearings.").
Bowles v. Baer ,
Atchison, Topeka & Santa Fe Ry. Co. v. Kan. Comm'n on Civil Rights ,
Alyeska Pipeline Serv. Co. v. State, Dep't of Envtl. Conservation ,
Chevron U.S.A., Inc. v. State, Dep't of Revenue ,
AS 18.80.115.
The dissent points out that no statute or regulation "mandates" that the interview be closed to third parties. But AS 18.80.115 requires confidentiality while mandating no particular means for assuring it. When analyzing a regulation, we ask whether it "is consistent with and reasonably necessary to carry out the purposes of the statutory provisions" and is "not arbitrary." Warner v. State ,
A superior court has jurisdiction over an administrative subpoena once it issues an order directing the person to appear and show cause. AS 44.62.590(c).
AS 44.62.590(d).
See Johnson v. Johnson ,
See AS 44.62.590(a)(4) (identifying "refus[al] to be examined" as one basis for contempt proceeding); AS 09.50.010(10) (defining "contempts of the authority of the court" to include "disobedience of a subpoena duly served, or refusing to be sworn or answer as a witness"); United States v. Wilson ,
Cf. Alaska R. Civ. P. 45(a) ("Every subpoena shall be issued by the clerk ..., shall state the name of the court and title of the action, and shall command each person to whom it is directed to attend and give testimony or to produce documents at a time and place therein specified.").
After the initial contact, most of the Commission's communications on the subject were made to Jones. Anderson had referred Watts to Jones initially. Jones purported to speak for Anderson thereafter, and Anderson does not appear to contend that she was not personally aware of the Commission's position as it was communicated to Jones.
Anderson also finds an inconsistency stemming from a telephone call in which Watts said that the Commission had to review whether Jones could be present in the interview and additional instances where Anderson was told she was not entitled to a representative. This argument is unpersuasive; it was not inconsistent for Watts to take time to consider Jones's request to sit in on the meeting and then get back to her with a response that Jones could not be present.
Dissenting Opinion
Dissenting Opinion
Because I would affirm the superior court's order dismissing the contempt proceeding *968against Anderson, I respectfully dissent. Although I share the court's recognition of the important role that the Commission plays in enforcing Alaska's anti-discrimination laws, I cannot agree that a longstanding, unwritten, inconsistently applied policy authorizes the Commission to prevent interview subjects from being accompanied by another person at the interview. Nor can I agree that Anderson failed to comply with a subpoena that "commanded [her] to appear ... to provide testimony" because she appeared with a "support" person.
As the court explains, the statutes and regulations that govern the Commission's investigations require that it keep confidential the "records ... and information" that it obtains in its investigations.
The requirement that the Commission maintain confidentiality does not in itself require that it ban third parties from interviews. Other State entities must also maintain confidentiality; the Office of Children's Services (OCS), for example, conducts confidential investigations and gathers and maintains confidential information.
I also am not persuaded that Anderson failed to comply with the subpoena she received. She did appear as commanded and was willing to provide testimony, as long as her support person was allowed to be present.
Because no statute or regulation establishes that the Commission has the authority to ban third parties from its interviews, and *969because the subpoena did not inform Anderson that she was not permitted to bring a support person to her interview, I would affirm the superior court in this case.
I share the court's concern that the candor and ease of witnesses in interviews would suffer if employer representatives were allowed to attend in cases of workplace discrimination. But Anderson consistently asserted that she wanted Jones to be present because she wanted Jones's support.
AS 18.80.115 ; 6 Alaska Administrative Code (AAC) 30.905 (2014).
See AS 18.80.115 ("The records of investigation and information obtained by the commission during an investigation under AS 18.80.110 are confidential and may not be made available by the commission for inspection by the public."); 6 AAC 30.905 ("Records of investigation and information obtained during an investigation or inquiry are confidential and may not be disclosed except in accordance with AS 18.80.115. Records and information required to be kept confidential by law must be withheld from disclosure.").
The Commission will also allow an interpreter or a legal guardian to be present if appropriate.
7 AAC 54.020 -.030 ; see AS 47.10.093 ; AS 47.10.070 (confidentiality of CINA information at hearings).
See AS 47.10.070 ; Alaska Office of Children's Services, Child Protective Services Manual § 2.2.5 (2016), http://dhss.alaska.gov/ocs/Documents/Publications/CPSManual/cps-manual.pdf (providing under certain circumstances OCS will coordinate with tribal representatives, law enforcement officers, and school officials to attend interviews).
See AS 47.10.070 (f) ("[A] person attending a hearing open to the public may not disclose a name, picture, or other information that would readily lead to the identification of a child who is the subject of the child-in-need-of-aid case."); CINA Rule 22 ; 7 AAC 54.040(f) ("A person with sufficient legitimate interest who receives child protection information from the department shall safeguard the information.").
Reference
- Full Case Name
- ALASKA STATE COMMISSION FOR HUMAN RIGHTS, Marti Buscaglia, Executive Director, Appellant, v. Dori Lynn ANDERSON, Appellee.
- Cited By
- 8 cases
- Status
- Published