Iaccarino v. Duke
Iaccarino v. Duke
Opinion of the Court
Plaintiff Derek Iaccarino, a former Federal Protective Service employee, brings this action against Elaine Duke, Acting Secretary of the Department of Homeland Security ("DHS"), and two employees of the Federal Law Enforcement Training Center ("FLETC") under the Administrative Procedure Act,
I. Background
This dispute arises out of an altercation that occurred while Mr. Iaccarino was a trainee at FLETC's Physical Security Training Program ("training program"). Compl., ECF No. 1 ¶ 13. At that time, Mr. Iaccarino was employed as a Law Enforcement Specialist within the Federal Protective Service of the National Protection and Programs Directorate, Department of Homeland Security ("DHS") and enrolled in the training program at FLETC as part of his employment.
A. The Incident
In the early morning hours of January 21, 2017, Mr. Iaccarino, and three other trainees, Heather Chaney, Carlos Castillo, and Joshua Wood, were on the balcony of one of FLETC's buildings drinking, smoking cigarettes, and listening to music playing from a nearby room. Administrative Record ("AR") at 57.
Approximately 30 minutes later, Officer Jordan received a noise complaint and was dispatched back to the building. AR at 59. Upon arriving, Officer Jordan saw Officers Shelton Fuller and Mark Ruis approaching the same group he spoke to earlier.
*169Mr. Wood "began getting loud" with Officer Fuller while refusing to hand over his identification, to the point where the other trainees began telling him to calm down.
The saga continued when Lt. Wiley arrived. Lt. Wiley repeatedly asked for the trainees' identifications, and the trainees refused and continued to drink. AR at 60. Mr. Wood stated he "did not have to give up his f*ing ID card" and then walked away saying "this is bullsh*t." AR at 67. Ms. Chaney responded by using her phone to film Lt. Wiley; and by stating he did not have the authority to request her identification.
During the wait for SEM Meidt, Mr. Castillo had an unpleasant conversation with Officer Ruis. AR at 63-64. Mr. Castillo approached Officer Ruis and stated, "Hey, 'mustache' ... you're thinking your life sucks right now.... 'Mustache,' you're gonna welcome me back to FLETC every day at the gate, you're gonna say ... 'welcome to FLETC, Sir' I'm gonna get you fired for this, I hate you. I hate you, I've got more experience than you. I know I do!" AR at 63. Mr. Castillo followed up this monologue with an "aggressive look by furrowing his eyebrows intensely." AR at 64. Officer Ruis maintained his composure and the situation did not escalate.
By all accounts, Mr. Iaccarino and SEM Meidt did not get along. See, e.g. , AR at 49. Mr. Iaccarino "confronted SEM Meidt immediately" and wanted to know why he needed to produce his identification. AR at 50. After SEM Meidt explained who he was and asked for the trainees' identifications, Mr. Iaccarino "blatantly refused," AR at 68, was "very belligerent," AR at 49, and began filming SEM Meidt, AR at 68. Mr. Iaccarino stopped filming when instructed to do so by the Officers, but continued to argue about producing his identification. AR at 64, 68. SEM Meidt instructed Mr. Iaccarino that he would be detained if he did not produce his identification. AR at 50. Mr. Iaccarino did not comply and was put in handcuffs.
The group arrived at Building 93; Ms. Chaney joined them shortly of her own volition. AR at 71. Mr. Castillo continued to verbalize his distaste for Officer Ruis and his goal to get him fired. AR at 65. Mr. Iaccarino was compliant with all orders from that point on. AR at 64. The local police were contacted, and two trainees submitted to breathalyzer tests: Mr. Wood's results showed a blood-alcohol content of .061 and Mr. Iaccarino's results showed a blood-alcohol content of .108. AR at 60-61. Ms. Chaney and Mr. Castillo refused the test.
B. The Investigation/Inquiry Procedure
Because many of the issues in this case relate to the procedures required whenever FLETC conducts an investigation or inquiry into alleged misconduct, a brief summary of those procedures is provided before addressing the investigation conducted into the circumstances of the January 21 incident.
FLETC's Student Misconduct Manual ("misconduct manual") "establishes procedures for inquiries and investigations of student ... misconduct as well as procedures for imposing discipline on students who commit ... misconduct while in training status." AR at 83. The misconduct manual defines two types of investigatory procedures into misconduct. The first is an "inquiry," defined as an "administrative fact-finding procedure.... used to determine the facts when a student is alleged to have committed an infraction[ ] and/or misconduct but is not suspected of committing criminal activity or organized misconduct." AR at 85. The second, an "investigation," is also a "fact-finding procedure" but is "used whenever a student is suspected of having committed a criminal act or misconduct."
The misconduct manual sets the minimum requirements for the manner in which an inquiry or investigation is conducted. AR at 91-95. "When conducting an inquiry or an investigation, at minimum, the [investigative officer] shall" notify the student and "allow the student an opportunity to address the allegations and to submit relevant rebuttal material." AR at 91. The investigative officer is required to "summarize the subject student interview in a [memorandum of investigation]," which the investigative officer is required to provide to the "witness for review and signature."
When reviewing the investigative file, the DAA, "at a minimum, ... shall utilize" certain factors "to determine what, if any, discipline is appropriate." AR at 94. The factors include:
(a) The seriousness of the alleged misconduct;
(b) The likelihood of the recurrence of the alleged misconduct;
(c) The likelihood that the presence of the student will have a disruptive or undesirable effect on the class and/or upon the training environment if the student remains in training;
(d) The likelihood that the student will [or] will not repeat the alleged misconduct;
(e) The student's record prior to the alleged misconduct;
*171(f) The student's response to the allegations of misconduct;
(g) Whether the student made any admission of responsibility, regret, and/or remorse;
(h) The type of discipline recommended by the [investigative officer] and the TMD Chief;
(i) Any other relevant information.
AR at 94. Upon consideration of these factors, the DAA has the option of approving, modifying, or denying the action recommended by the TMD Chief.
The misconduct manual outlines the procedure for such an appeal. AR at 95-96. The Enterprise Program Manager ("EPM") reviews expulsion appeals.
The misconduct manual lays out a two-step process for the EPM's ultimate resolution of the appeal. AR at 96. After review of the information submitted, the EPM "shall first determine, based on any new evidence whether the infraction(s) and/or misconduct occurred."
C. The Inquiry
Pursuant to the procedures set forth in the misconduct manual, on January 24, 2017, Senior Advisor Steve Bialousz contacted OPR and requested that it open an investigation into the events of the morning of January 21. AR at 26. OPR informed Senior Advisor Bialousz that the matter was "primarily administrative in nature" and that OPR "would not open an official investigation."
That same day, PS King recommended that the training program expel Mr. Iaccarino.
PS King presented this recommendation to the TMD Chief, who in turn presented the same findings to the Deputy Assistant Director. AR at 17, 24. Mr. Iaccarino received notice of his expulsion on January 31, 2017. AR at 21-23. He would later find out that Mr. Castillo was also expelled, but *172that Mr. Wood and Ms. Chaney were not.
After considering Mr. Iaccarino's oral and written statements, the EPM affirmed Mr. Iaccarino's expulsion. AR at 1. The EPM found that, based on all the information provided, "the alleged misconduct occurred[,] and the discipline imposed-expulsion--was appropriate."
I am satisfied that the allegations of your misconduct have been substantiated by a preponderance of evidence. The facts I found persuasive in reaching this determination are: your failure to comply with repeated FLETC Security personnel demands to produce your identification. You finally produced your identification after FLETC Security placed you in handcuffs. In your oral response, you disputed that you displayed aggressive behavior towards FLETC [S]ecurity personnel and looked to resolve the situation earlier and did not refuse to produce your identification when asked. I do not find these arguments you raised to be persuasive or compelling.
Mr. Iaccarino sought judicial review of his expulsion under the APA,
II. Legal Standard
Summary judgment should be granted only if the moving party has shown that there are no genuine issues of material fact and that the moving party is entitled to judgment as a matter of law. Fed. R. Civ. P. 56 ; Celotex Corp. v. Catrett ,
When reviewing agency action pursuant to the APA, the Court must determine whether the challenged decision is, inter alia , "arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law,"
Although this scope of review is deferential, "courts retain a role, and an important one, in ensuring that agencies have engaged in reasoned decision making." Judulang v. Holder ,
III. Discussion
As the parties both note, in reviewing the agency's decision the Court is not free "to substitute its judgment for that of the agency." See State Farm ,
Mr. Iaccarino makes three principal arguments as to why DHS's decision to expel him from the training program cannot stand: (1) DHS's decision to give him a harsher punishment than other trainees who acted in the same manner was arbitrary and capricious, Pl.s' Cross-Mot., ECF No. 19-1 at 16-17; (2) DHS's conclusion that he engaged in misconduct was not supported by the record, id. at 14-16; and (3) DHS failed to provide a reasoned explanation for why expulsion was the appropriate punishment in his case. Id. at 17-19. This Court addresses each issue in turn.
A. Disparate treatment
Mr. Iaccarino argues that his behavior was "nearly identical" to that of Mr. Wood and that, because Mr. Wood only received probation, the agency acted in an arbitrary and capricious manner when it failed to explain why it imposed a different punishment for the same behavior. Pl.'s Cross-Mot., ECF No. 19-1 at 16-17. The defendants argue that Mr. Iaccarino received a different punishment because his actions were different, and therefore the agency's decision was not arbitrary and capricious. Defs.' Reply, ECF No. 21 at 7-8.
The Court of Appeals for the District of Columbia Circuit's (D.C. Circuit) "long line of precedent has established that an agency *174action is arbitrary when the agency offer[s] insufficient reasons for treating similar situations differently." Kort v. Burwell ,
In determining whether an agency's action is arbitrary and capricious in treating like cases differently, the court first determines whether the agency treated "similarly situated" parties in a different manner. See Anna Jaques Hosp. v. Sebelius ,
The administrative record shows that Mr. Iaccarino and Mr. Wood were not similarly situated because their actions were materially different.
B. DHS's decision that Mr. Iaccarino engaged in misconduct
Mr. Iaccarino next argues that the evidence in the record did not support DHS's *175conclusion that he engaged in misconduct. Pl.s' Cross-Mot., ECF No. 19-1 at 14-16. He contends that the administrative record does not contain factual support for many of the findings upon which his expulsion was based.
Defendants contend that the decision was supported by sufficient evidence. First, defendants argue that it is undisputed that FLETC had the authority to expel Mr. Iaccarino. Defs.' Mot., ECF No. 18-1 at 13. Next, the defendants argue that the record in this case is "replete with evidence supporting Iaccarino's expulsion."
When review of an agency's action is "bound up with a record-based factual conclusion," the reviewing court must determine whether that conclusion "is supported by substantial evidence." Dickinson v. Zurko ,
It is undisputed that PS King's report provided the findings for the agency's determination of misconduct. See Defs.' Mot., ECF. No. 18-1 at 16; Pl.s' Cross-Mot., ECF No. 19-1 at 14. Mr. Iaccarino's arguments that the record does not support the agency's findings that he assumed an aggressive posture, was placed in handcuffs because of his aggressive actions, and that he demonstrated threatening behaviors, are easily dismissed. There is sufficient evidence in the record to support these findings: for example, Officer Fuller explicitly stated "Mr. Derek Iaccarino became very belligerent towards Mr. Meidt," AR at 49; and Officer Ruis stated "Derek Iaccarino become so argumentative with Mr. Meidt, at that point, that Mr. Meidt instructed me ... to place [Mr. Iaccarino] in handcuffs," AR at 64.
That said, the administrative record does not support the other two findings in the report--that Mr. Iaccarino *176called an officer a derogatory name and threatened to have that officer fired. See AR at 26. It is clear from the record that another student referred to Officer Ruis by a derogatory name, "Mustache." AR at 63 ("Hey, Mustache ... you're thinking your life sucks right now? ... Mustache, you're gonna welcome me back to FLETC every day at the gate."). And that this same student repeatedly threatened to get Officer Ruis fired. See, e.g.,
Mr. Iaccarino did not contest these deficiencies in the report; nor in his expulsion letter in his appeal to DHS. Furthermore, there is no indication that the EPM relied on these erroneous findings in determining that Mr. Iaccarino engaged in misconduct. In Mr. Iaccarino's appeal, he brought to the EPM's attention several discrepancies in the Officers' statements and "several examples of the lack of quality of evidence." AR at 8-12. The EPM stated the "matters ... raised in [Mr. Iaccarino's] written appeal and oral response" were "carefully considered." AR at 1. Critically, the EPM did not rely on the findings related to the derogatory name-calling or threats of firing an officer in its decision finding that the misconduct occurred.
It is these findings that the EPM "found persuasive in reaching" its determination that "the allegations of [Mr. Iaccarino's] misconduct [were] substantiated by a preponderance of evidence."
C. DHS's explanation for Mr. Iaccarino's expulsion
Mr. Iaccarino next argues that DHS's decision to expel him, rather than suspend or terminate him, was arbitrary and capricious for two reasons. First, Mr. Iaccarino argues that DHS relied on facts that did not exist to support its conclusions. Pl.'s Cross-Mot., ECF No. 19-1 at 17-18. Second, Mr. Iaccarino contends that DHS acted in an arbitrary and capricious manner when it failed to consider or explain important relevant factors. Id. at 18-19. The defendants argue that Mr. Iaccarino violated a host of FLETC rules and point to the statements of witnesses as support for his expulsion. Defs.' Reply, ECF No. 21 at 4-6. Defendants disagree that DHS failed to consider the relevant factors because the factors were considered during Mr. Iaccarino's appeal. Id. at 9-11.
*177"The requirement that agency action not be arbitrary and capricious includes a requirement that the agency adequately explain its result." Public Citizen, Inc. v. F.A.A. ,
This does not mean that an agency's ultimate conclusion needs to be impeccably reasoned to survive a challenge under the APA. A reviewing court will "uphold a decision of less than ideal clarity if the agency's path may reasonably be discerned." Int'l Ladies' Garment Workers' Union v. Donovan ,
Mr. Iaccarino's first argument is that DHS relied on facts non-existent in the record. However, as explained above, the EPM explicitly relied on facts that were supported by the record in explaining its finding that misconduct occurred. See Supra at 176. The record also belies Mr. Iaccarino's second argument that DHS never consider several mitigating factors. The record contains Mr. Iaccarino's written submissions for his appeal, which analyzes each of the factors he contends were not considered. AR at 10. The letter notifying Mr. Iaccarino of the result of his appeal references his written submissions, and the submissions were considered in connection to his appeal. AR at 1. The EPM reviewed these factors as part of "the matters [Mr. Iaccarino] raised in his written appeal" which the EPM "carefully considered." Id. The APA does not require more. Crooks v. Mabus ,
What the APA does require, however, is an explanation as to why DHS determined that expulsion was an appropriate remedy for Mr. Iaccarino's misconduct. See Dickson v. Sec'y of Defense ,
This omission is even more glaring because FLETC's own rules require such an explanation. As the misconduct manual explains, the EPM must make two determinations when reviewing a decision to expel a trainee. AR at 96. First, the EPM must determine whether the misconduct was found by a preponderance of the evidence.
No such explanation was given in this case. The letter issued to Mr. Iaccarino contains no reason for why his punishment, expulsion, was the appropriate sanction. There is only one sentence in the letter that is related to the discipline imposed in this case: "I have determined that I believe the alleged misconduct occurred and the discipline imposed--expulsion--was appropriate." AR at 1. This statement that "the discipline imposed--expulsion--was appropriate" is the kind of conclusory statement that this Court has repeatedly held is insufficient to explain an agency's action. See e.g. , Tourus Records ,
The defendants make two arguments in an attempt to salvage this deficient explanation. First, the defendants argue that PS King's Inquiry Report adequately explained the expulsion. Defs.' Mot., ECF No. 18-1 at 16-18. This argument fails because, as explained above, the Inquiry Report clearly relied on erroneous facts. See Supra at 175-76. The decision on appeal did not consider those facts; rather it based its finding of misconduct on facts borne out by the administrative record in explaining why the misconduct occurred. AR at 1 (explaining the facts it found persuasive in reaching its finding of misconduct).
Defendants' second argument that the record contains ample evidence to support Mr. Iaccarino's expulsion similarly misses the point. The defendants point to several FLETC rules that Mr. Iaccarino allegedly violated as a rationale for the expulsion. Defs.' Reply, ECF No. 21 at 5-7. To be sure, the agency explained its reasoning as to why the misconduct alleged was substantiated by the preponderance of the evidence. AR at 1. However, after the agency explained the basis for the finding of misconduct, it provided no reason as to why the imposed sanction was warranted based on that finding of misconduct. To the extent the defendants seek to fill that void with references to other violations that Mr. Iaccarino may have committed, this "court[ ] may not accept [the defendants'] post hoc rationalizations" as a substitute for DHS's explanation, or lack thereof. See Remmie v. Mabus ,
*179The agency had several options at its disposal to discipline Mr. Iaccarino for the misconduct it found had occurred. It chose expulsion, effectively ending Mr. Iaccarino's career in federal law enforcement. The Court notes it is not passing judgment on the agency's methods or forms of discipline. This Court's limited role in the administrative scheme is to determine if the agency adequately explained its decision. To fulfill its obligation under that role, "this Court must be able to ascertain the [agency's] basis for the decision." Reeder v. James ,
Mr. Iaccarino requests this Court to "order the Defendants to rescind the expulsion actions from [his] records of employment with the Defendants and issue a new final agency decision consistent with the less severe penalties issued to the other trainees" involved in the January 21, 2017 incident. Compl., ECF No. 1 ¶ 63. However, "[w]hen an agency provides a statement of reasons insufficient to permit a court to discern its rationale, or states no reasons at all, the usual remedy is a remand to the agency for additional investigation or explanation." Tourus Records, Inc. ,
IV. CONCLUSION
Accordingly, the defendants' Motion for Summary Judgment is GRANTED IN PART because DHS's finding of misconduct was supported by substantial evidence and DENIED IN PART because DHS failed to explain why expulsion was the appropriate sanction for that misconduct. Furthermore, Mr. Iaccarino's Cross-Motion for Summary Judgment is GRANTED IN PART because of DHS's failure to explain its reasoning for the expulsion and DENIED IN PART because DHS's misconduct finding was supported by substantial evidence and because the appropriate remedy is a remand to the agency rather than the relief Mr. Iaccarino requests of the Court. The Court REMANDS the matter to DHS for further proceedings consistent with this Memorandum Opinion. An appropriate Order accompanies this Memorandum Opinion.
SO ORDERED.
The certified administrative record in this matter was submitted on May 31, 2018 and is docketed at ECF No. 25. When citing the AR throughout this opinion, the Court cites to the ECF header page number.
The misconduct manual states the Discipline Approval Authority is the "Site Director at the Field Training Directorate ... and the Deputy Assistant Director ("DAD")." AR at 84.
According to the misconduct manual, the EPM is the Assistant Director of the Centralized Training Management Directorate. AR at 84.
Mr. Castillo original joined Mr. Iaccarino in this lawsuit challenging his expulsion, but subsequently dropped his appearance. Compl., ECF No. 1 ¶ 53. Ms. Chaney was initially expelled, but she successfully appealed, and her expulsion was reversed. Id. ¶ 54. Mr. Wood was not expelled. Id. ¶ 55.
Mr. Iaccarino also argues that his behavior was identical to Ms. Chaney, whose expulsion was lowered to disciplinary probation. Pl.s' Cross-Mot., ECF No. 19-1 at 16. Ms. Chaney was the first trainee to surrender her identification, and she went back to her room before SEM Meidt arrived. AR 71. She was never placed under arrest and voluntarily reported to Building 93 for further investigation. Id. The record clearly shows that Mr. Iaccarino and Ms. Chaney were not similarly situated.
Mr. Iaccarino references another trainee who at some point was disciplined for drinking at a FLETC event, but was not expelled. Pl.s' Cross-Mot., ECF No. 19-1 at 17. According to Mr. Iaccarino, the other trainee was "drinking at a FLETC event" and "creating a security incident that took ... security officers one hour to resolve." Id. (citing AR at 11). Those are simply inadequate facts to determine that the circumstances of Mr. Iaccarino and this unnamed trainee were sufficiently alike such that the agency erred in not explaining why it treated Mr. Iaccarino's case differently.
It is troubling that in several places in the Inquiry Report Mr. Castillo is referred to as the subject of the misconduct inquiry--not Mr. Iaccarino. See, e.g. , AR at 24 ("This inquiry was conducted to determine if Mr. Castillo's actions were in violation of the above mentioned FLETC Directive.") (emphasis added).
Reference
- Full Case Name
- Derek IACCARINO v. Elaine DUKE, Acting Secretary, U.S. Department of Homeland Security
- Cited By
- 12 cases
- Status
- Published