Topsham and Local S/89 District Lodge #4 IAMAW, affirming 02-UC-01.
Affirmed by Superior Court AP-02-68. STATE OF MAINE MAINE LABOR RELATIONS BOARD Case No. 02-UCA-01 Issued: August 29, 2002 ___________________________________ ) Town of Topsham, ) ) Appellant, ) ) and ) DECISION AND ORDER ON ) UNIT CLARIFICATION Local S/89 District Lodge #4, ) APPEAL International Association of ) Machinists and Aerospace Workers, ) ) Appellee. ) ___________________________________) This unit clarification appeal was filed by the Town of Topsham (Town) on May 24, 2002, pursuant to 26 M.R.S.A. 968(4) and Chapter 11, 30 of the Rules and Procedures of the Maine Labor Relations Board (Board). The unit clarification report which is the subject of this appeal was issued on May 9, 2002. In that proceeding, the Town sought a determination that the positions of fire chief, town clerk, tax collector and planning director were department heads within the meaning of 26 M.R.S.A. 962(6)(D) and therefore should be removed from the Town's supervisory unit. The hearing examiner concluded that as the position of fire chief met the requirements of the department head exclusion, it should be removed from the supervisory unit. On the other hand, the hearing examiner determined that the positions of town clerk, tax collector and planning director were not department heads and should therefore remain in the supervisory unit. The Town appeals the latter determination. After providing the parties the opportunity to submit written briefs, the Board met July 17, 2002, to hear oral argument. Linda McGill, Esq., represented the Town of Topsham, and Mr. Brian Bryant attended representing Local S/89 District Lodge #4, International Association of Machinists and Aerospace [-1-] _______________________________________________________________________________ Workers. After reviewing the decision below and the record of evidence before the hearing examiner, we affirm the ultimate conclusion that the positions of town clerk, tax collector and planning director are not department heads as defined by section 962(6)(D). Our analysis differs somewhat from the analysis presented by the hearing examiner and will be explained below. JURISDICTION The Town of Topsham is an aggrieved party within the meaning of 26 M.R.S.A. 968(4), and is a public employer within the meaning of 26 M.R.S.A. 962(7). Local S/89 District Lodge #4, International Association of Machinists and Aerospace Workers, is the bargaining agent within the meaning of 26 M.R.S.A. 962(2) for a unit of supervisory employees in the Town of Topsham. The jurisdiction of the Maine Labor Relations Board to hear this appeal and to render a decision herein lies in 26 M.R.S.A. 968(4). DISCUSSION The standard of review for bargaining unit determinations by a hearing examiner is well established: We will overturn a hearing examiner's rulings and determinations if they are 'unlawful, unreasonable, or lacking in any rational factual basis.'" Council 74, AFSCME and Teamsters Local 48, MLRB No. 84-A-04 at 10 (Apr. 25, 1984), quoting Teamsters Local 48 and City of Portland, MLRB Report of Appellate Review at 6 [78-A-10] (Feb. 20, 1979). It thus is not proper for us to substitute our judgment for the hearing examiner's; our function is to review the facts to determine whether the hearing examiner's decisions are logical and are rationally supported by the evidence. MSAD #43 and SAD #43 Teachers Assoc., 84-A-05, at 3 (May 30, 1984), affirming No. 84-UC-05. It is also important to emphasize that an appeal on a unit matter is not a de novo hearing. Chapter 11, 30(1) of our rules -2- _______________________________________________________________________________ states very clearly that "the Board reviews the decision of the hearing examiner on the basis of the evidence presented to the examiner."[fn]1 We therefore deny the Town's request, stated in footnote 3 of the Town's brief to the Board, to consider evidence submitted after the hearing and after the issuance of the hearing examiner's unit clarification report. The Town of Topsham appeals the hearing examiner's conclusion that the town clerk, the tax collector and the planning director are not department heads within the meaning of 26 M.R.S.A. 962(6)(D). Section 962(6)(D) excludes from the protections of the Act any person: D. Who is a department head or division head appointed to office pursuant to statute, ordinance or resolution for an unspecified term by the executive head or body of the public employer; The hearing examiner correctly stated that in order for a person to be excluded under this paragraph, an individual must a) be appointed to office pursuant to statute, ordinance or resolution, b) for an unspecified term, c) by the executive head or body of the employer and d) the primary function of the position must be managerial or administrative, rather than merely supervisory. The hearing examiner concluded that the evidence did not support the Town's assertion that the positions were appointed by the executive head or body of the Town and, even if they were, none of the positions were functionally department heads within the meaning of the statute. The Town has appealed both of these conclusions. The hearing examiner made numerous findings regarding the appointment process of the positions in question and the management structure of the Town. We agree with all of these _______________ 1 For a full explanation of the policies underlying this rule see, e.g., MSAD 14 and East Grand Teachers Assoc., No. 83-A-09, at 4-6 (Aug. 24, 1983); and Teamsters Local Union No. 48 and City of Portland, No. 78-A-10, at 5-6 (Feb. 20, 1979). -3- _______________________________________________________________________________ factual findings with the exception of the finding that the "executive head or body" of the Town is the five-person board of selectmen. On the contrary, we conclude that the town manager is the executive head of the municipality. This Board has never directly addressed the question of whether appointments by a town manager alone can be considered appointments to office by the "executive head or body" as required in 962(6)(D). For that matter, this Board has never directly been asked to determine whether a town manager can be considered the "executive head" of a municipality. We have had occasion, however, to look at a city charter for clarification of the executive authority or specific appointment authority of a city manager, a mayor or the city council. See, Teamsters Union Local 340 and City of Presque Isle, No. 92-UD-10 (Aug. 18, 1992); and AFSCME, Council 93 and Town of Sanford, No. 92-UD-03 (Feb. 21, 1992), aff'd, No. 92-UDA-03 (May 9, 1992). See also, Page v. Stewart, No. CV-86-663, York Cty. Sup. Ct. (Apr. 22, 1988) (concluding that Saco's city charter shows that the mayor is the executive head, the city council executive body). If the city charter requires an appointment to be made by or confirmed by the city council, we require evidence of such an action. See, Teamsters Local Union No. 48 and City of Saco, No. 80-UD-34 (June 20, 1980). After all, it is the city charter that establishes the executive authority within that city and compliance with the charter is a necessity. See, e.g., Presque Isle, No. 92-UD-10, at 19 (hearing examiner refused to accept city's argument that it could choose to ignore the requirements of its own charter). Similarly, if a municipality is organized under Maine's statutory provisions referred to as the "Town Manager Plan," the provisions of that statute control the exec- utive structure of the Town. The statute itself says that the Town Manager Plan, "together with general law not inconsistent, shall govern any town in which the voters have adopted [the -4- _______________________________________________________________________________ plan]." 30-A M.R.S.A. 2631(1). The hearing examiner concluded that the board of selectmen was the "executive head or body" (and that the town manager was not). This conclusion was based on consideration of certain sections of the Town Manager Plan, the testimony of the town manager, those portions of the town code introduced as evidence, and other decisions of this Board and hearing examiners applying the "executive head or body" language. We think the plain language of the Town Manager Plan compels a conclusion that the town manager is the executive head and the selectmen the executive body of the town. The Town Manager Plan provided in Title 30-A governs any town in which the voters have adopted the plan at an annual town meeting, as Topsham did in 1991. Of the eight substantive sections in the Town Manager Plan, we consider two particularly helpful in determining the executive authority of the town manager.[fn]2 The first is the section generally describing the authority of the board of selectmen: Section 2635. Board of selectmen to act as a body; administrative service to be performed through town manager; committees It is the intention of this subchapter that the board of selectmen as a body shall exercise all administrative and executive powers of the town except _______________ 2 Section 2631, which permits towns to adopt the Town Manager Plan, includes a general description of the plan in subsection 2. 2. Government. The government of each town under this subchapter shall consist of a town meeting, an elected board of selectmen, an elected school committee, an appointed town manager and any other officials and employees that may be appointed under this subchapter, general law or ordinance. Other town officials may be elected by ballot, including, but not limited to, moderator, assessors, overseers of the poor, clerk and treasurer. The election of officials at the last annual town meeting shall require that those town offices continue to be filled by election until the town designates otherwise. -5- _______________________________________________________________________________ as provided in this subchapter. The board of selectmen shall deal with the administrative services solely through the town manager and shall not give orders to any subordinates of the manager, either publicly or privately. This section does not prevent the board of selectmen from appointing committees or commissions of its own members or of citizens to conduct investiga- tions into the conduct of any official or department, or any matter relating to the welfare of the town. (Emphasis added) In addition, 30-A M.R.S.A. 2636 sets out the powers and duties of the town manager in fourteen subsections.[fn]3 Four of the subsections are particularly telling in this matter. They provide that the town manager: 1. Executive and administrative officer. Is the chief executive and administrative official of the town; 2. Administer offices. Is responsible to the selectmen for the administration of all departments and offices over which the selectmen have control; . . . 5. Appoint department heads. Shall appoint, subject to confirmation by the selectmen, supervise and control the heads of departments under the control of the selectmen when the department is not headed by the town manager under subsection 4; 6. Appoint town officials. Unless otherwise provided by town ordinance, shall appoint, supervise and control all town officials whom the municipal officers are required by law to appoint, except members of boards, commissions, committees and single _______________ 3 These subsections provide that the town manager: is the chief executive and administrative official of the town; is responsible for the administration of all departments; executes the town's laws and ordinances; serves as the department head when directed by the selectmen; appoints, subject to confirmation by the selectmen, and supervises department heads; appoints and supervises all other town officials and subordinates; acts as purchasing agent; attends all selectmen meetings; makes recommendations to the selectmen on the operation of the town; attends all town meetings; keeps the selectmen informed on town's financial condition; collects budget data; assists residents and taxpayers in discovering their lawful remedies in various complaints; and has exclusive authority to remove for cause persons whom the manager is authorized to appoint and report all removals to the board of selectmen. -6- _______________________________________________________________________________ assessors; and appoint, supervise and control all other officials, subordinates and assistants, except that the town manager may delegate this authority to a department head and report all appointments to the board of selectmen; . . . . The provisions of the Town Manager Plan cited above indicate that municipalities organized under that plan have an executive body (the board of selectmen) which shares its executive authority with the executive head (the town manager). Accord, Portland Administrative Employees Assoc. v. Portland Superin- tending School Committee, No. 86-UD-14, at 23 (Oct. 27, 1986) (superintendent is executive head and school committee is executive body); Page v. Stewart, CV-86-662 (Apr. 22, 1988) (mayor is executive head and city council is executive body). The respective authorities of the executive head and the executive body are both established by and limited by the plain language of the Town Manager Plan. Given this statutory framework, we find no special significance in the fact that Topsham's town manager does not have exclusive authority in all matters nor in the fact that the board of selectmen is "above" the town manager and may remove the town manager for cause. In presenting her analysis, the hearing examiner reviewed a number of unit decisions and found that appointment by or at least confirmation by the selectmen was required to satisfy the appointment requirement of the Municipal Public Employees Labor Relations Law (Act). Upon close examination, the cases indicate that the involvement of the selectmen was not relied upon to conclude that the appointment was made by the executive head or body,[fn]4 but, rather, confirmation by the selectmen served to satisfy the requirement that the appointment be "pursuant to _______________ 4 An exception to this statement is Teamsters Union Local #340 and Town of Boothbay Harbor, Nos. 99-UD-03 & 99-UD-05 (Jan. 20, 1999), in which the hearing examiner incorrectly stated that involvement of the selectmen was necessary to meet the requirement that the appointment was made by the executive head or body of the municipality. -7- _______________________________________________________________________________ statute, ordinance or resolution." See, Teamsters and City of Saco, No. 80-UD-34, at 5 (June 20, 1980) (confirmation by city council, "whether by 'resolution' or act of other terminology," satisfies the required degree of importance and formality associated with the phrase); AFSCME and Town of Paris, No. 97-UD-14, at 11 (Oct. 1, 1997) (although no specific statute governs appointment of road foreman, the fact that two selectmen were involved in interview and the appointment was confirmed by board satisfies the "degree of importance and formality needed to satisfy the Act's [appointment] require-ment"), quoting Teamsters and City of Saco, No. 80-UD-34, at 5; Teamsters Local Union No. 48 and Town of Lebanon, No. 86-UD-02, at 9 (Oct. 17, 1985) (appointment by "resolve" of the board satisfies requirement that appointment be pursuant to statute, ordinance or resolution), appealed on other grounds, No. 86-A-01 (Dec. 5, 1985), aff'd Inhabitants of the Town of Lebanon v. Maine Labor Relations Board and Teamsters Local Union No. 48, No. CV-85-656, Fra. Cty. Super. Ct. (Feb. 3, 1987). Other cases that the hearing examiner cited for the proposition that at least confirmation by the board is required to be an appointment by the executive head or body are in reality decisions requiring confirmation when the cited statute or ordinance requires confirmation. See, Town of Thomaston and Teamsters Local Union 340, 90-UC-03, at 16 (Feb. 22, 1990) (town ordinance requires selectmen to appoint town clerk); Teamsters Union Local 340 and City of Presque Isle, No. 92-UD-10 (Aug. 18, 1992) (city charter required confirmation of city manager's appointments); Page v. Stewart, No. CV-86-663, at 7, York Cty. Sup. Ct. (Apr. 22, 1988) (confirmation of department heads by city council was required by city charter). Concluding that the town manager is the executive head of Topsham does not, however, end the inquiry in this case. As the Town Manager Plan is the source of the town manager's -8- _______________________________________________________________________________ authority, the limitations on that authority specified in that statute must also be controlling. The Town Manager Plan is unambiguous regarding the appointment of department heads. Section 2636, subsection 5 states: "[The town manager] shall appoint, subject to confirmation by the selectmen, supervise and control the heads of departments . . . ." Confirmation by the selectmen is not presented as an option. When read in conjunc- tion with 26 M.R.S.A. 962(6)(D), which excludes a department head "appointed to office pursuant to statute, ordinance or resolution," it is clear that in order to be appointed to office pursuant to statute, the statute must be followed. Furthermore, the confirmation step in the appointment process is what distinguishes the appointment of department heads from ordinary hires under the Town Manager Plan. Our case law has identified the "appointed to office pursuant to statute, ordinance or resolution" phrase as a requirement intended to distinguish those who are deprived of the protections of the Act under 962(6)(D)[fn]5 from public employees covered by the Act. In a decision issued over twenty years ago, the hearing examiner held that police captains were not divisions heads under 962(6)(D) because they were not "appointed to office pursuant to statute, ordinance or resolution." The hearing examiner explained the rationale underlying the decision: . . . The only record evidence is that according to statute (the City Charter) the City Administrator has the unrestricted authority to appoint all employees except for department heads. Clearly, every legally hired municipal employee in the state is appointed pursuant to some legal authority. That legal authority must invariably stem from a statute, ordinance or resolution. Yet if that is all that the phrase means, then it is a meaningless redundancy. _______________ 5 This also applies to 962(6)(B), which excludes persons "Appointed to office pursuant to statute, ordinance or resolution for a specified term of office by the executive head or body of the public employer . . . ." -9- _______________________________________________________________________________ In contrast, there is a relatively strong case to be made for the proposition that the phrase means specifically appointed to office pursuant to statute, ordinance or resolution. A good example of this is the Chief of Police, clearly a department head in the City organization, who is appointed by the City Administra- tor and, significantly, confirmed by the City Council. This confirmation by the City Council, whether by "resolution" or act of other terminology, satisfies that degree of importance and formality that would seem to be required to satisfy this phrase. Such specific appointment authority does not apply in the case of the captains, however, and thus they would not be excepted even if considered division heads. Teamsters and City of Saco, No. 80-UD-34, at 5 (June 20, 1980). In the decades since that hearing examiner's decision was issued, its basic proposition that an individual must be specifically appointed to an office under some form of statute, ordinance or resolution beyond a general grant of hiring authority has held strong. See City of Presque Isle, No. 92-UD-10, at 21 (Aug. 18, 1992) (legislature did not intend to give municipalities free rein to exclude employees from the protections of the Act under 962(6)(B) by simply passing ordinances authorizing appointments for fixed terms); Bangor Education Association and Bangor School Committee, No. 80-UC-02, at 8-9 (Nov. 16, 1979) ("election" of Title I Director is same hiring process used for teachers and cannot be viewed as the more significant "appointment to office" required by Act); Teamsters Union Local 48 and Boothbay Harbor Water System, No. 92-UD-09, at 7, n. 4 (May 11, 1982) (appoint- ment must be formal and cannot merely be an informal hire); Teamsters and Town of Boothbay Harbor, Nos. 99-UD-03 & 99-UD-05, at 32 (Jan. 20, 1999) ("there must be some greater significance to the appointment than the general hiring process"). Comparing the provisions of the Town Manager Plan regarding appointments of department heads with the provision governing the appointment of other positions underscores the necessity of the confirmation element in the appointment process to distinguish -10- _______________________________________________________________________________ these positions sufficiently for exclusion to apply. While 30-A M.R.S.A. 2636, subsection 5 states that the town manager "shall appoint, subject to confirmation by the selectmen, supervise and control the heads of departments," the next subsection states that the town manager: . . . shall appoint, supervise and control all town officials whom the municipal officers are required by law to appoint, . . . and appoint, supervise and control all other officials, subordinates and assistants, except that the town manager may delegate this authority to a department head . . . ." 30-A M.R.S.A. 2636(6). If we were to ignore the confirmation requirement for department heads, their appointment process would be indistinguishable from the process for "appointing" employees generally. For these reasons, we conclude that in those towns operating under the Town Manager Plan, a department head is not "appointed to office" until and unless confirmation by the board of selectmen has occurred. As mentioned previously, the hearing examiner concluded that the board of selectmen was the "executive head or body" of the municipality and that appointment or at least confirmation by that board was required to meet the requirement of 962(6)(D). Consequently, the examiner's search for evidence of confirmations was made in an effort to show that the appointments were made by "the executive head or body." Under our analysis, evidence of confirmation is needed to show compliance with the requirement in 30-A M.R.S.A. 2636(5) that department heads be confirmed by the selectmen and to distinguish department head appointments from the process for ordinary hires. Thus, even though our analysis of the appointment authority is different, the factual conclu- sions of the hearing examiner on whether confirmation occurred apply equally well. The hearing examiner concluded that the tax collector and the planning director were appointed by the town manager but not -11- _______________________________________________________________________________ confirmed by the board of selectman. After reviewing the record, we find that the hearing examiner's conclusions in this regard were not unlawful, unreasonable, or lacking in any factual basis. There is simply no evidence in the record that either the plan- ning director or the tax collector were confirmed by the board. With respect to the town clerk, the hearing examiner noted that the evidence was unclear whether the town clerk was appointed by the town manager or the board of selectmen. The hearing examiner stated she "would be justified in finding that the town has not met its ' . . . responsibility of producing evidence to support its contentions'" that the town clerk should be excluded under 962(6)(D). The hearing examiner felt it was unnecessary to make such a finding because, in any event, the town clerk was not a department head under the primary function test. We agree with the hearing examiner's statement that the Town failed to produce evidence to support its contention that the town clerk was confirmed by the selectmen. The hearing examiner was correct in observing that the Town had not met its "responsibility of producing evidence to support its contentions" regarding the exclusion of the town clerk from the protections of the Act. We think it is essential to the proper enforcement of the Act for a party seeking to exclude a position from coverage to provide sufficient evidence to support that position. This requirement is the obvious corollary to the requirement that we narrowly construe exceptions in order to avoid defeating the purpose of the Act of granting public employees the right to bargain collectively. State of Maine and Maine State Employees Assoc., No. 82-A-02, at 6 (June 2, 1983). The Town argues that we should assume that the appointments were confirmed by the selectmen as required by statute because "the Town Manager did not testify that the select board did not confirm the appointments." The Town further explains its -12- _______________________________________________________________________________ position in footnote #3 of its brief with the argument that, . . . the unrebutted testimony of the Town Manager that the positions are subject to appointment under the Town Manager Plan carries with it the logical inference that such appointments were made in compliance with the Plan. We find it problematic to assume that the mere existence of a statute is equivalent to proof that a municipality has complied with that statute. Drawing inferences of compliance, even if they were "logical," is not consistent with the requirement that we narrowly construe exceptions to the definition of public employee. Although the Town acknowledges the requirements of the Town Manager Plan as indicated above, the Town also relies on a provision of the town code to establish the town manager's appointment authority.[fn]6 Section 6-47 of its code states: 6-47 Appointment Effective at the Annual Town Meeting in 1991, the positions of Road Commissioner, Treasurer, Tax Collector and Town Clerk shall be appointed for an indefinite term by the Selectmen and, if the town adopts a Town Manager Plan, by the Town Manager. There are two problems with this proposition: Section 6-47 of the Town Code by its terms requires the appointment of the positions to be "by the Selectmen and . . . by the Town Manager."[fn]7 Clearly, as the Town has adopted the Town Manager Plan, the "and" requires both the selectmen and the town manager make the appointment. The Town seems to be reading the "and" as an "or." Thus, even if this were the statute or ordinance _______________ 6 The hearing examiner relied upon section 6-47 for the requirement that the appointment be "pursuant to statute, ordinance or resolution" and did not discuss the significance of 2636(6) of the Town Manager Plan. We conclude that the appointment process for department heads specified in the Town Manager Plan controls. 7 Furthermore, as the hearing examiner pointed out, there is no reference in this section or anywhere in the Town code authorizing the appointment of the planning director. -13- _______________________________________________________________________________ pursuant to which the appointments were made, we could not ignore the plain meaning of that authorizing statute. Another problem with relying on section 6-47 as the Town suggests is that reading it to give the town manager sole authority to appoint the listed positions would, when those positions serve as department heads, be inconsistent with the provisions of the Town Manager Plan in Title 30-A.[fn]8 As mentioned above, section 2636(5) requires that the town manager's appoint- ment of department heads be confirmed by the board of selectmen. To the extent that any position is a department head, the statute governing the appointment of department heads must apply regard- less of whether the job title fits within some other appointment process specified in a town code. In summary, we agree with the hearing examiner's conclusion that the town clerk, the tax collector and the planning director are not department heads excluded from the Act because they were not "appointed to office pursuant to statute, ordinance or resolution . . . by the executive head or body of the public employer." The hearing examiner's conclusions were not unreasonable, illegal, or lacking in any rational factual basis. Because we uphold the hearing examiner's decision on this basis, there is no need to address the question of whether these three positions would be considered department heads under the primary function test. ORDER On the basis of the foregoing findings of fact and discussion and pursuant to the powers granted to the Maine Labor Relations Board by the provisions of 26 M.R.S.A. 968(4), it is _______________ 8 Section 6-46(B) of the Town code (adopting the Town Manager Plan) states " . . . any provision in the Code, ordinances, rules or regulations of the town which is inconsistent with the Town Manager Plan is hereby repealed." (Exhibit E-1). -14- _______________________________________________________________________________ ORDERED: that the May 24, 2002, appeal of the Town of Topsham, filed with respect to the May 9, 2002, unit clarifica- tion report in Case No. 02-UC-01, is denied and the report is affirmed as set forth above. Dated at Augusta, Maine, this 29th day of August, 2002. The parties are hereby advised MAINE LABOR RELATIONS BOARD of their right, pursuant to 26 M.R.S.A. 968(4) (Supp. 2001) to seek review of this /s/___________________________ Decision and Order on Unit Peter T. Dawson Clarification Appeal by the Chair Superior Court. To initiate such a review an appealing party must file a complaint /s/___________________________ with the Superior Court within Nelson J. Megna fifteen (15) days of the date Employer Representative of issuance of this decision and order, and otherwise comply with the requirements /s/___________________________ of Rule 80C of the Maine Rules Carol B. Gilmore of Civil Procedure. Employee Representative -15- _______________________________________________________________________________