Balt. City Detention Ctr. v. Foy
Balt. City Detention Ctr. v. Foy
Opinion
This case involves the State Correctional Officers' Bill of Rights (hereinafter "COBR"), codified in Title 10, Subtitle 9 of the Maryland Code (1999, 2017 Repl. Vol.), Correctional Services Article. 1 In particular, we must evaluate the interplay between §§ 10-910(b)(1) and 10-910(b)(6). Section 10-910(b)(1) provides that "[w]ithin 30 days after receipt of" the hearing board's recommended penalty, "the appointing authority shall ... issue a final order." Section 10-910(b)(6) states that "the appointing authority may increase the recommended penalty" if, among other things, the appointing authority "meets with the [charged] correctional officer and allows" the officer "to be heard on the record."
The ultimate question posed here is whether § 10-910(b)(1) precludes remanding a case to the appointing authority to cure a procedural defect that occurred at the penalty-increase
meeting. Specifically, we must decide whether the appointing authority should have the opportunity to hold another penalty-increase meeting after the thirty-day deadline for issuing a final order when, as happened here, recording equipment malfunctioned during the initial meeting, preventing the substance of that meeting from being captured "on the record." A three-member panel of the Court of Special Appeals, in a split decision, held that the appointing authority's failure to satisfy the "on the record" requirement is incurable after the
thirty-day deadline.
Foy v. Baltimore City Det. Ctr.
,
I.
The COBR Statutory Scheme
Resolution of the parties' dispute turns largely on the proper interpretation and application of the COBR's disciplinary process, so we begin with some background on the enactment of the COBR and a review of the pertinent statutory framework.
The COBR became effective October 1, 2010.
See
State Correctional Officers' Bill of Rights, Ch. 194,
Ellsworth v. Baltimore Police Dep't
,
The COBR's disciplinary process is straightforward. After receiving a notice of charges recommending termination, a correctional officer has the option to file an appeal with the Secretary of the Department of Public Safety and Correctional Services ("Secretary") or request a hearing before a hearing board. § 10-908(c). The hearing board is composed of correctional officers holding varying ranks within the Department of Public Safety and Correctional Services ("Department"). § 10-909(c)(1)(i). After facilitating a hearing, the hearing board issues a finding of guilty or not guilty and produces a written penalty recommendation. § 10-910(a)(1)-(7).
The hearing board must deliver this report to the "appointing authority of the correctional facility." § 10-910(a)(9)(ii). The "appointing authority" is defined under § 10-901(b) as "an individual ... that has the power to ... terminate employment." 3 The appointing authority of the Baltimore City Detention Center is the Commissioner of the Division of Pretrial Detention and Services ("Commissioner"). § 5-202(c)(4).
After receiving the hearing board's decision, the Commissioner has thirty days to issue a final order. § 10-910(b)(1)(ii). The Commissioner is not bound by the hearing board's recommended penalty. § 10-910(b)(3). If the Commissioner determines that termination of the employee is appropriate, then the Commissioner "shall obtain approval from the Secretary." § 10-910(b)(5). The Commissioner may also increase the hearing board's recommended penalty, with the Secretary's permission, if the Commissioner: (1) reviews the record of the hearing board's proceedings; (2) meets with the correctional officer and allows the officer an opportunity to be heard on the record; (3) provides the officer with any items not included in the hearing board's record that the Commissioner relied on; and (4) describes, in writing, the evidence supporting his decision to increase the recommended penalty. § 10-910(b)(6). Once the Commissioner issues a final order, the correctional officer has a right to seek judicial review. § 10-911.
II.
The Present Case
Lieutenant Michael Foy ("Foy"), Respondent here, sought judicial review of the decision of Acting Commissioner of the Baltimore City Detention Center, John Wolfe ("Commissioner Wolfe") to terminate him for reasons we next explain.
A. The Underlying Incident
On January 12, 2014, Foy and Sergeant Jeremiah Green ("Green"), both correctional officers at the Baltimore City Detention Center ("BCDC"), Petitioner, were conducting security rounds at the facility. At some point during their rounds, an altercation ensued between Green and an inmate, during which Green struck the inmate in the face. The inmate then charged at Green, but Green restrained him. Although the inmate posed no further threat, Foy stepped on his neck, placing the inmate in need of medical care. After the incident, Foy did not report his use of force. Foy ultimately submitted a report, but he omitted material facts about the incident.
B. The Disciplinary Proceedings
On April 10, 2014, the Department's Human Resources Services Division served Foy with a Notice of Disciplinary Charges ("Notice"). The Notice charged Foy with violating twelve Department policies, as enumerated by various statutes, regulations, and internal guidelines and recommended his termination. On April 16, 2014, Foy exercised his right to a hearing, as provided by the COBR. § 10-908(c)(2).
The hearing board conducted a three-day hearing (on September 14, October 5, and October 12, 2015), during which it heard testimony from witnesses called by both BCDC and Foy. On November 16, 2015, 4 the hearing board issued a written decision finding Foy guilty of ten of the twelve disciplinary charges. The hearing board recommended that he be transferred to Baltimore City Booking and Intake Center and demoted to Sergeant.
On November 23, 2015, Commissioner Wolfe received the hearing board's recommendation and, as authorized by § 10-910(b)(6), elected to increase the recommended penalty. On December 9, 2015, Commissioner Wolfe conducted a penalty-increase meeting, as required by § 10-910(b)(6)(ii), with Foy and his attorney. During the meeting, Foy's counsel argued that Commissioner Wolfe should not increase the hearing board's recommended penalty.
After the meeting, Commissioner Wolfe learned that the audio recording equipment had failed; consequently, the meeting was not "on the record," as per § 10-910(b)(6)(ii). The next day, December 10, 2015, Commissioner Wolfe informed Foy's counsel about the recording issue and requested that the parties reconvene for another meeting. That same day, Commissioner Wolfe created a memorandum for the Secretary of Public Safety and Correctional Services, Stephen T. Moyer, memorializing what transpired at the December 9th meeting. The memorandum noted, among other things, that Foy asked for his ten years of service to be considered. Foy also requested leniency and an opportunity for a second chance, stating, as recounted by the Commissioner, that "if he was given the opportunity to do it all over again, he would have made different choices." The parties were set to meet again on December 17, 2015, but Commissioner Wolfe canceled without explanation on December 16, 2015. Thereafter, Commissioner Wolfe, with Secretary Moyer's approval, issued a final order terminating Foy, effective December 16, 2015.
Foy filed a petition for judicial review in the Circuit Court for Baltimore City. There, he argued that Commissioner Wolfe violated his rights under the COBR because the Commissioner increased the hearing board's recommended punishment without properly recording the penalty increase meeting. Foy requested that the court vacate the termination order and reinstate him with back pay. After a hearing, the court issued an order remanding the case to Commissioner Wolfe to conduct another penalty-increase meeting "so that a complete record of the administrative proceeding is available for ... [j]udicial [r]eview."
C. The Appeal
Foy noted an appeal to the Court of Special Appeals. A panel of the Court of Special Appeals, in a 2-1 decision, reversed the circuit court's remand order and "reinstate[d] the Hearing Board's penalty recommendation as the final administrative action."
Foy
,
On March 6, 2018, we issued a writ of certiorari,
Baltimore City Det. Ctr. v. Foy
,
III.
Standard of Review
The crux of the issue before us is not whether the merits of Commissioner Wolfe's termination order are supported by substantial evidence, but rather whether the penalty-increase process denoted in the COBR is obligatory, and, if so, whether the failure to satisfy one of its steps can be cured retrospectively given the statute's time-restrictive language. These are "purely legal question[s]" involving statutory construction, which we review
de novo
.
Coleman v. Anne Arundel Cty. Police Dep't
,
The parameters of statutory construction are well defined. Our ultimate objective is to ascertain "the real intention of the Legislature."
Fisher v. E. Corr. Inst.
,
If, however, the statute's words are ambiguous, then we utilize additional sources to aid our analysis, including "legislative history, prior case law, statutory purpose and statutory structure."
Fisher
,
IV.
Discussion
While we concur with much of the well-written and thorough Majority opinion of the Court of Special Appeals-specifically regarding the trigger event for initiating the thirty-day timeframe under § 10-910(b)(1) and the obligatory nature of the procedural steps enumerated in § 10-910(b)(6)-we ultimately agree with the dissent that the proper outcome here is to remand this case to Commissioner Wolfe to hold another penalty-increase meeting with Foy.
A. Trigger for the Thirty-Day Deadline
We start by addressing a matter no longer in dispute, that is, when the thirty-day deadline set forth in § 10-910(b)(1) begins. We agree with our colleagues on the Court of Special Appeals that the clock for the Commissioner's issuance of a final order begins to run when the Commissioner receives the
hearing board's recommendations.
6
One need only look to subsections
(a) and (b) of § 10-910 to reach this conclusion. Section 10-910(a)(9) states, in relevant part, "[a] copy of the [hearing board's] decision ... shall be
delivered
... promptly to ... the [Commissioner]." (Emphasis added). The ensuing subsection, § 10-910(b)(1), states, in pertinent part, "[w]ithin 30 days after
receipt
" of the hearing board's recommendations, the Commissioner "shall ... issue a final order." (Emphasis added);
see also
Black's Law Dictionary
1459 (10th ed. 2014) (defining "receipt" as "taking physical possession" of an object). When reading these provisions together, as we must, it is clear that "receipt" in § 10-910(b)(1) refers to the Commissioner's receipt of the hearing board's decision under § 10-910(a)(9).
See
In re J.C.N.
,
This conclusion is further supported by the fact that only the Commissioner can issue a final order, § 10-910(b)(2), and to do so, he or she must first satisfy various procedural requirements.
See
§ 10-910(b). We agree with the Court of Special Appeals that if the clock for the thirty-day deadline began to run when the hearing board issued its decision, "[i]t would result in a diminished 30-day window" for the Commissioner to satisfy these obligations, as there is an inevitable
delay between when the hearing board issues its recommendations and when the appointing authority receives those recommendations.
Foy
,
B. Obligatory Nature of the Penalty-Increase Process
BCDC and Foy disagree about whether the procedural steps in § 10-910(b)(6) are obligatory. Foy argues that every pre-condition is mandatory-"[e]very step must be taken" before a penalty is increased. Foy cites to the Court of Special Appeal's decision in
Hird
to support his assertion.
BCDC takes a different approach. It highlights the contrast between the language describing the LEOBR's penalty-increase process and the COBR's analogous provision. The LEOBR states that the head of the law enforcement agency ("the chief") "may increase the recommended penalty of the hearing board only if the chief personally " satisfies four requirements. Md. Code, (2003, 2011 Repl. Vol), § 3-108(d)(5) of the Public Safety ("Pub. Safety") Article (emphasis added). The corresponding COBR section is phrased identically, except that the words "only" and "personally" are omitted. See § 10-910(b)(6). This exclusion, BCDC contends, is "consequential" because it demonstrates the legislature's "rejection of LEOBR's strict, restrictive language." BCDC concludes that, unlike the LEOBR, the COBR does not mandate strict compliance with the penalty-increase process.
We agree with Foy. The canons of statutory construction lead to the same result under both statutes: the appointing authority must satisfy all the procedural steps before issuing a penalty increase.
The omission in § 10-910(b)(6) of the word "personally" is insignificant. The statute provides that only the appointing authority has the power to increase a correctional officer's penalty, § 10-910(b)(2), and only the Commissioner of the Division of Pretrial Detention Services is designated as the appointing authority for BCDC, § 5-202(c)(4). Because there is only one Commissioner, it follows that only he or she can "personally" increase a penalty under the COBR. § 5-202(a) (stating that the "Secretary shall appoint a Commissioner of Pretrial Detention Services") (emphasis added).
We are similarly unconvinced that exclusion of the word "only" has any significance. What matters in statutory construction is not the uniformity of similarly-worded statutes, but rather the plain language of the statute before us.
See
Fisher
,
[T]he appointing authority may increase the recommended penalty of the hearing board if the appointing authority :
(i) reviews the entire record of the proceedings of the hearing board;
(ii) meets with the correctional officer and allows the correctional officer to be heard on the record;
(iii) at least 10 days before the meeting, discloses and provides in writing to the correctional officer any oral or written communication not included in the record of the hearing board on which the decision to consider increasing the penalty is wholly or partly based; and
(iv) states on the record the substantial evidence on which the appointing authority relied to support the increase of the recommended penalty.
(Emphasis added).
Three aspects of this provision illustrate its obligatory nature. First, the legislature's use of the word "if" restricts the Commissioner's ability to issue a penalty increase until certain conditions have occurred.
See If
, OXFORD ENGLISH DICTIONARY ,
http://www.oed.com/view/Entry/91152
[https://perma.cc/7LWU-7KLT] (last visited Nov. 19, 2018) (defining "if" as "[i]ntroducing a clause of condition"). Second, that restriction is followed by a colon, which introduces a list, meaning the list specifies the preconditions for increasing a penalty.
See
THE CHICAGO MANUAL OF STYLE ¶ 6.63 (15th ed. 2003). Finally, that list is connected by an "and," signifying that the Commissioner must satisfy each item in the list to issue a penalty increase.
See
MARYLAND STYLE MANUAL FOR STATUTORY LAW , Department of Legislative Services (July 2008) at 19.
7
The items in the list therefore together constitute a condition precedent for increasing the hearing board's recommended penalty, and only when that condition precedent is satisfied, does the Commissioner possess the authority to increase the penalty.
See
Fraternal Order of Police, Montgomery Cty. Lodge No. 35 v. Mehrling
,
C. Relationship Between the Obligatory Penalty-Increase Process and the Thirty-Day Deadline
BCDC and Foy additionally dispute whether the thirty-day deadline and the penalty-increase process are interrelated. BCDC asserts that the thirty-day limit for issuing a final order and the penalty-increase process are separate and should not be read together as requiring the Commissioner to complete the penalty-increase process within thirty days. To support this claim, BCDC notes that "[t]he 30-day limit appears in a separate subparagraph ... § 10-910(b)(1), which precedes the penalty-increase process and pertains exclusively to the issuance of the final [order]." The relevant subsection, § 10-910(b)(6), pertaining to penalty increases does not include any time constraints for completing that process.
Foy counters that all aspects of the penalty-increase process must be satisfied within thirty days. Foy directs us to the statute's structure. He notes that § 10-910(b) specifies what the appointing authority must do before issuing a final order, which includes satisfying the penalty-increase prerequisites, if the Commissioner elects to increase the hearing board's recommend penalty. It would be peculiar, Foy claims, to read these provisions separately, as it would result in the Commissioner issuing a final order that he can then change, at his discretion, through the penalty-increase process.
We again agree with Foy. When reading the COBR, the story it seeks to tell speaks for itself. Its sections flow naturally together. There is no disconnect. Interpreting it requires nothing more than a careful reading.
These principles run true for the sections at issue here. They cannot be read in isolation; they must be read together as part of the overall process for issuing a final order.
Emps.' Ret. Sys. v. Dorsey
,
Section 10-910(b)(6) fits naturally within this scheme. The increased penalty constitutes the final agency action.
See
Hird
,
The legislative history of the COBR further illustrates that the General Assembly intended for the thirty-day deadline to apply to the penalty-increase process.
See
Morris v. Prince George's County
,
In subsequent amendments, the General Assembly revamped the disciplinary process by adding § 10-910(b), as it exists today. See State Correctional Officers' Bill of Rights, S.B. 887 (2010) (as passed on April 5, 2010). These changes-allowing thirty days for a final order to be issued, not five, and including a penalty-increase process in the same section that lists all the tasks the appointing authority must complete before issuing a final order-demonstrate that the legislature intended to give the appointing authority time to contemplate the proper sanction, including whether an increase was warranted, although such time was not to exceed thirty days.
We hold, based on the plain language of the COBR and the supporting legislative history, that upon receipt of the hearing board's recommendations, the appointing authority has thirty days to render a final disciplinary decision. § 10-910(b)(1)(ii).
In rendering that decision, the appointing authority has discretion to adopt the hearing board's penalty recommendations or to deviate from them. § 10-910(b)(3). If the appointing authority decides to deviate by increasing the recommended penalty, then he or she must satisfy the procedural requirements enumerated in § 10-910(b)(6). All of those procedures must be completed within thirty days. Had the General Assembly sought to extend the timeline for issuing a final order when the Commissioner invokes his or her penalty-enhancement authority, it would have included such an exception in the statute.
See
Gomez v. Jackson Hewitt, Inc.
,
D. The Commissioner's Compliance with the Penalty-Increase Process
We now turn to whether Commissioner Wolfe complied with § 10-910(b)(6). BCDC argues that Commissioner Wolfe was in full compliance-he reviewed the hearing board's report, met with Foy and his counsel, allowed Foy to present his case, and memorialized Foy's statements in a memorandum that constitutes a written record of what occurred at the meeting. BCDC further contends that the malfunction of the recording equipment is inconsequential because the COBR does not require the penalty-increase meeting to be audio recorded. Foy responds that the COBR, in fact, requires the meeting to be audio recorded and that, either way, Commissioner Wolfe's memorandum does not constitute the "record" as prescribed in the COBR. Neither party is entirely correct.
"On the record" is not defined in the statute.
See
§ 10-901. When that is the case, and we are called upon to interpret a term, we may consult a dictionary and give words their ordinary meaning.
Montgomery County v. Deibler
,
Commissioner Wolfe's post hoc memorandum does not satisfy the requirement that the penalty-increase meeting be conducted "on the record." The purpose of necessitating a record in administrative proceedings is "not only to inform properly the interested parties of the grounds for the [agency's] decision, but also to provide a basis upon which judicial review may be rendered."
Md. Overpak Corp. v. Mayor and City Council of Baltimore
,
E. The Appropriate Remedy
Foy avers that the hearing board's recommended sanctions (transfer and demotion) must stand as his final punishment because the window of opportunity for curing the recording defect has now closed. He claims that Commissioner Wolfe acted in bad faith after discovering the defect and therefore forfeited any rights to redo the penalty-increase meeting. We disagree.
We apply administrative law principles when reviewing actions taken pursuant to the COBR.
See
§ 10-909(k) (stating that the Administrative Procedure Act is applicable in the COBR hearings);
see also
Montgomery County v. Stevens
,
Relief is only afforded after "prejudice ... [is] shown."
We have defined "prejudice" as "anything [that] places the person affected in a more unfavorable or disadvantageous
position than he would otherwise have occupied."
Motor Vehicle Admin. v. Shrader
,
Moreover, unlike the Sheriff in
VanDevander
, who essentially ignored each of the mandatory steps for increasing the hearing board's recommended penalty,
Foy
,
Commissioner Wolfe's failure to obtain a waiver from Foy and his unexplained cancellation of the rescheduled meeting were not, as Foy contends, actions taken in bad faith. Foy theorizes that, upon discovering the recording defect, Commissioner Wolfe proceeded with the blatant intent to disregard the COBR's mandates. That is not what the record indicates. In the absence of any indication to the contrary, we are satisfied that Commissioner Wolfe reasonably believed, especially given the lack of a clear definition for "on the record," that his memorandum satisfied § 10-910(b)(6)(ii) and, accordingly, he did not seek a waiver. Similarly, although Commissioner Wolfe should have provided Foy with an explanation for cancelling the rescheduled
meeting, his failure to do so does not suggest bad faith, on this record.
See
Rite Aid Corp. v. Hagley
,
In sum, when all the smoke is cleared, Foy's claim rests on "a single, technical failure ... that can easily be cured" with a remand that allows the "Commissioner to hold another meeting with Foy with a properly operating tape recorder."
See
Foy
,
V.
Conclusion
In closing, our holding should not be read to stand for the proposition that the appointing authority has discretion to decide which procedures to abide by when engaging in the penalty-increase process. On the contrary, the statute's purpose makes clear that the appointing authority must protect the due process rights of a charged correctional officer by adhering to all the enumerated procedures. Nor should this case be construed by the appointing authority as license to disregard intentionally one or more of the required procedures, as doing so could be grounds for precluding a remand to cure a defect outside the thirty-day timeframe, but that is not before us in this case. Here, we hold, based on the record before us, that the proper remedy for the unforeseen technological glitch, which occurred at the initial penalty-increase meeting and resulted in no prejudice to Foy, is that the parties must reconvene for another meeting to be held on the record.
JUDGMENT OF THE COURT OF SPECIAL APPEALS REVERSED, WITH THE INSTRUCTION THAT THE JUDGMENT OF THE CIRCUIT COURT FOR BALTIMORE CITY BE AFFIRMED. COSTS TO BE PAID BY RESPONDENT.
Unless otherwise indicated, all statutory references herein are to the Correctional Services Article of the Maryland Code (1999, 2017 Repl. Vol.).
The Law Enforcement Officers' Bill of Rights (referred to as "LEOBR" throughout) is a law enforcement officer's "exclusive remedy in matters of departmental discipline."
Coleman v. Anne Arundel Cty. Police Dep't
,
Section 10-901(b) relies on the definition of "appointing authority" as provided in SPP § 1-101(b).
The hearing board's decision is dated Friday, November 13, 2015, but the Court of Special Appeals found that the "disciplinary action would not take effect ... until 16 November 2015, the following business day."
Foy
,
The Court of Special Appeals also rejected BCDC's motion to dismiss, holding that the circuit court's remand order was an appealable final judgment.
Foy
,
Until the Court of Special Appeals issued its decision, the parties misunderstood when the timeframe for issuing a final order began to run, assuming, incorrectly, as the circuit court did, that the clock started running upon the issuance of the hearing board's decision, rather than when the appointing authority receives that decision. The uncertainty likely arose from the language in
VanDevander
, which suggested that the trigger date for commencing the thirty-day timeline was the date that the hearing board issued its decision.
See
VanDevander
,
We note that, in certain contexts, the word "and" and "or" can be used interchangeably within a statute.
SVF Riva Annapolis LLC v. Gilroy
,
This concept is formally known as the "
Accardi
doctrine," which the Supreme Court articulated in
United States ex rel. Accardi v. Shaughnessy
,
At oral argument, counsel for Foy asserted that Foy need not contest the accuracy of the Commissioner's memorandum because the Commissioner's failure to comply with the COBR's procedural mandates
per se
warrants vacating the Commissioner's final order. Such a holding-that a procedural defect alone entitles an aggrieved party to relief-contradicts our well-established precedent on such issues, and so we reject its application to the COBR disciplinary process.
See
Kelly v. State
,
Reference
- Full Case Name
- BALTIMORE CITY DETENTION CENTER v. Michael FOY
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- Published