Boss v. Dep't of Homeland SEC.
Opinion
Mr. Leonard Boss, a U.S. Border Patrol Agent, challenges a 15-day suspension imposed by his employing agency, Customs and Border Patrol ("CBP"). The suspension was based on three charges. The arbitrator vacated Charge One after finding that the deciding official violated Mr. Boss's procedural due process rights, and he then reduced the suspension to ten days. Mr. Boss admits that Charges Two and Three, which the arbitrator did not vacate, are unrelated to the alleged due process violation. Nevertheless, he argues on appeal that Charges Two and Three should fall with Charge One. We do not agree. We hold that the arbitrator properly treated the three charges separately and independently. Accordingly, we affirm.
BACKGROUND
In December 2011, the CBP Discipline Review Board sent Mr. Boss a proposed 30-day suspension based on three disciplinary infraction charges: (1) failure to follow policy related to overtime sheets, (2) failure to follow supervisory instructions, and (3) conduct unbecoming a U.S. Border Patrol Agent. Mr. Boss protested the proposed 30-day suspension. Accordingly, the deciding official began an investigation. The deciding official interviewed witnesses and received argument from both the agency and Mr. Boss. On October 26, 2012, the deciding official sent Mr. Boss a decision letter, concluding that Mr. Boss should be disciplined on all three charges, but reducing the suspension to 15 days.
Mr. Boss contested the deciding official's decision by requesting arbitration. During the arbitration hearing, the deciding official admitted that he had considered three documents that had not been provided to Mr. Boss or his union. All three documents were various agencies' policies regarding administratively uncontrollable overtime pay.
It is undisputed that the deciding official considered the documents without disclosing *1280 them to Mr. Boss or his union. Indeed, the government did not give the documents to Mr. Boss or his union until the arbitration proceeding. During arbitration, Mr. Boss protested that the agency therefore violated his constitutional and contractual due process rights. The arbitrator agreed that the agency violated the contractual due process provision, and vacated Charge One without reaching the constitutional due process objection as it related to Charge One.
The arbitrator found, and Mr. Boss agrees, that all three undisclosed documents "solely relate to" Charge One. J.A. 12; Oral Arg. at 3:06-3:21, http://oralarguments.cafc.uscourts.gov/default.aspx?fl=2017-2231.mp3; see also id. at 3:41-3:55. Accordingly, the arbitrator analyzed Charges Two and Three on their merits, apparently concluding that he need not address Mr. Boss's contractual and constitutional due process arguments. Ultimately, the arbitrator concluded that the agency carried its burden of proof for Charges Two and Three.
Having resolved Charges Two and Three on the merits, the arbitrator turned to the proposed 15-day suspension. The agency bore the burden of showing the propriety of the 15-day suspension, which the arbitrator reviewed under the applicable
Douglas
factors.
See
Douglas v. Veterans Admin.
,
Mr. Boss appealed to this court. He argues that the arbitrator should have completely set aside the discipline until the agency conducted "a new constitutionally-correct disciplinary or adverse action procedure." Appellant Br. 2. We have jurisdiction pursuant to
DISCUSSION
I
We review an arbitrator's award pursuant to
II
Although Mr. Boss agrees that Charges Two and Three were untainted by any procedural error, Mr. Boss asserts that because the deciding official violated his constitutional right to procedural due process as to Charge One, the Board should entirely set aside his discipline until the agency conducts a new, constitutionally correct disciplinary procedure. We disagree.
A
We begin with a review of the law proscribing
ex parte
communications in
*1281
employment discipline. In
Cleveland Board of Education v. Loudermill
,
The tenured public employee is entitled to oral or written notice of the charges against him, an explanation of the employer's evidence , and an opportunity to present his side of the story. ... To require more than this prior to termination would intrude to an unwarranted extent on the government's interest in quickly removing an unsatisfactory employee.
Loudermill
,
In
Stone v. F.D.I.C.
,
B
The parties dispute whether the contractual due process violation as to vacated Charge One
1
mandates a full, new disciplinary review based on Charges Two and Three. Mr. Boss relies on our holding in
Stone
that, if there is a constitutional due process violation, "the former employee is entitled to a new constitutionally correct removal procedure."
The government responds that Mr. Boss cites no authority for the contention that a notice violation pertaining to one charge would require that the arbitrator vacate other charges of misconduct that were separate and distinct. Appellee Br. 41-42. As the government explains, analysis of the
Stone
factors serves to ensure the employee's notice of the charges, explain the government's evidence, provide the employee an opportunity to respond, and protect the deciding official's objectivity.
The concept of procedural fairness is the ultimate focus of the
Stone
inquiry and is also our focus here. As this court recognized in
Stone
, "not every
ex parte
communication is a procedural defect so substantial and so likely to cause prejudice that it undermines the due process guarantee and entitles the claimant to an entirely new administrative proceeding."
We acknowledge our holding in
Stone
that "when a procedural due process violation has occurred because of
ex parte
communications, such a violation is not subject to the harmless error test."
Instead, the analysis we apply is that, by the admission of the parties, the challenged documents were not relevant, new, or material to the remaining charges. Oral Arg. at 3:41. Thus, they were unlikely to cause the kind of prejudice the court was concerned about in Stone . Indeed, in this case, the arbitrator simply determined how long of a suspension Charges Two and Three, standing alone, would merit. Furthermore, Stone is of limited applicability here because it only involved one charge, whereas this case involves multiple, distinct charges.
We note, too, that post- Stone , the Supreme Court in 2009 clarified how courts should apply harmless error:
The federal "harmless-error" statute, now codified at28 U.S.C. § 2111 , tells courts to review cases for errors of law "without regard to errors" that do not affect the parties' "substantial rights." That language seeks to prevent appellate courts from becoming " 'impregnable citadels of technicality,' " [ Kotteakos v. United States ,328 U.S. 750 , 759,66 S.Ct. 1239 ,90 L.Ed. 1557 (1946) ]. And we have read it as expressing a congressional preference for determining "harmless error" without the use of presumptions insofar as those presumptions may lead courts to find an error harmful, when, in fact, in the particular case before the court, it is not.
Shinseki v. Sanders
,
Our holding is further supported by analogous cases addressing constitutional due process errors in the criminal context. In
United States v. Job
, the Ninth Circuit held that evidence obtained from an unconstitutional search contributed only to the verdict on one count, so the verdict on the other count was allowed to stand.
This history of analyzing due process violations charge-by-charge in the criminal context and its acceptance in the Federal Judiciary supports our decision to take the same approach when analyzing alleged constitutional due process errors in the civil context.
Cf.
Global-Tech Appliances, Inc. v. SEB S.A.
,
Nonetheless, Mr. Boss asserts that the discipline should be entirely set aside. He posits that due process cannot be analyzed on a charge-by-charge basis because this court has never before considered or endorsed such an approach. Appellant Reply Br. 5-7. Mr. Boss relies on
Young
for his argument that he is entitled to an entirely new proceeding on Charges Two and Three because there was an alleged constitutional due process violation on Charge One.
See
Young
,
*1284 Mr. Boss also argues that the Merit Systems Protection Board has consistently held that, if the Administrative Judge finds lack of due process, the merits of the adverse action are wholly disregarded under Stone , and the Administrative Judge should not make alternate findings on the merits of the case. We acknowledge that the Board has so held in single-charge cases and in multi-charge cases where the error has infected all the charges. Although we are not bound by them, we address the specific Board decisions cited by Mr. Boss in turn.
First, Mr. Boss's reliance on the Board's decision in
Giannantonio v. United States Postal Service
,
Nor is Mr. Boss's reliance on
Camero v. United States
,
Sullivan
, and
Ryder
persuasive. In those cases, the "taint of
ex parte
communications from an adversary vitiated the entire removal proceeding."
Ryder
,
CONCLUSION
We see no error in the arbitrator's application of due process on a charge-by-charge basis in this case. We conclude that there is no legal basis to vacate Charges Two and Three as a remedy for an alleged notice violation that was only relevant to Charge One. We do not find Mr. Boss's remaining arguments persuasive. Accordingly, we affirm.
AFFIRMED
COSTS
No costs.
Here, neither party disputes that the arbitrator properly vacated Charge One based on the contractual due process claim. Having vacated Charge One, there was no need for the arbitrator to reach the constitutional due process claim relating to the vacated charge.
Reference
- Full Case Name
- Leonard BOSS, Petitioner v. DEPARTMENT OF HOMELAND SECURITY, Respondent
- Cited By
- 13 cases
- Status
- Published