United States of America Merit Systems Protection Board 2010 MSPB 105
United States of America Merit Systems Protection Board 2010 MSPB 105
United States of America Merit Systems Protection Board 2010 MSPB 105
Special Counsel,
Petitioner,
v.
Pattie Ware,
Respondent.
June 9, 2010
BEFORE
law judge’s finding that a 60-day suspension is the appropriate penalty. The
Board ORDERS the respondent’s removal from her position.
BACKGROUND
¶2 The respondent is a Program Analyst and Contracting Officer Technical
Representative (COTR) with the Department of the Treasury’s Bureau of
Engraving and Printing (BEP). She is the COTR for the staffing contract that
BEP has with, inter alia, STG International (STG), which staffs BEP’s Health
Unit. She ensures that the facility is properly staffed with STG employees; if any
staffing problem exists, she asks STG to solve it; solutions can include, among
other things, STG replacing employees; and she monitors, documents and
evaluates the contractor’s overall performance. At all relevant times, Leila
Warren, Denise Prentiss, and Tiffany Barnes were STG employees. Complaint
File (CF), Tab 6, List of Stipulated Facts at 1-2.
¶3 The petitioner filed a complaint charging the respondent with five counts of
violating the Hatch Act and related regulations as follows:
¶4 Count One: The respondent violated 5 U.S.C. § 7323(a)(2) and 5 C.F.R.
§ 734.303 by knowingly soliciting political contributions when she invited 16
people to a political fundraiser for then-Presidential candidate Barack Obama.
Specifically, on or around September 18, 2008, the respondent sent an e-mail to
16 people entitled “FW: Michele Obama Speaking in Clinton, MD on Sunday
9/21” (the fundraiser e-mail). The e-mail read in pertinent part: "I don't know
your political persuasions but thought you might be interested in the following.
Michele Obama will be a speaker at an Obama fundraiser . . . . The event costs
$75 for the dinner, show and speaker or $35 for the speaker part Only. . . . Please
see the link below to sign up and pass on." The e-mail contained a link to
Obama's campaign website to find details about the fundraiser. CF, Tab 1 at 2-3,
Ex. A.
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employees, and that the content of the e-mails was as set forth in the petitioner’s
complaint. The respondent also stipulated that: - she receives Annual Ethics
Training; in 2007, the training was a 1-hour live class given by BEP's ethics
counsel and covered the Hatch Act; the training materials delineated the Hatch
Act's political activity restrictions including, for example, engaging in political
activity while on duty, using a position to influence or interfere with an election
and soliciting, accepting or receiving political contributions; and BEP records
indicated that the respondent attended the training on October 16, 2007. CF, Tab
6, List of Stipulated Facts at 1-6.
¶12 The respondent further stipulated that, although she did not recall reading
it, BEP distributed an internal communication to all employees on August 15,
2008, about the Hatch Act. That 5-page document contained Hatch Act related
questions and answers, explained the restrictions and the penalty for a violation,
and defined political activity. It gave several examples of prohibited political
activities in the workplace, including, in pertinent part, sending partisan political
e-mails or engaging in political blogs. It notified BEP employees that they could
get additional information on the Hatch Act from BEP's Office of the Chief
Counsel or OSC's website. The respondent also stipulated that BEP distributed
such internal communications to all BEP offices and an internal communication is
saved and archived on BEP’s intranet website. CF, Tab 6, List of Stipulated
Facts at 6. The petitioner filed a motion for partial summary adjudication. Id.,
Tab 6.
¶13 On January 11, 2010, the administrative law judge issued an order granting
the petitioner’s motion for partial summary adjudication regarding the merits of
the complaint. He reviewed the background, including the stipulated facts. CF,
Tab 11, Order at 1-7. He found that, in September 2008, the respondent
disseminated the six e-mails at issue from her government e-mail account, while
she was on duty and in the federal workplace: (1) the fundraiser e-mail; (2) the
Obama insight e-mail; (3) the Vote in November e-mail; (4) the Obama in Oregon
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e-mail; (5) The Obama shuffle e-mail; and (6) “FW:” “Here she is . . . the
(P.W.T.) Gov.” (Palin e-mail). 1 Id. at 3-4.
¶14 The administrative law judge found that the stipulated facts showed that the
respondent was covered under the Hatch Act and its political restrictions. He
sustained Counts One and Two, finding that, by sending the fundraiser and
Obama insight e-mails, the respondent knowingly solicited political
contributions. He sustained Counts Three and Four, finding that the respondent
sent the e-mails while on duty and in her BEP office; that the first two e-mails
clearly constituted political activity because soliciting donations for a candidate
is viewed as activity directed toward a candidate’s success; and that the three
other e-mails, excluding the Palin e-mail, constituted political activity because
they urged the support of a candidate in the 2008 Presidential election. He
sustained Count Five, finding that three STG contract employees received the
Obama insight e-mail and one received the Obama shuffle e-mail; and that, since
the insight e-mail solicited campaign contributions, the respondent used her
official authority or influence to interfere with or affect the result of the 2008
Presidential election in violation of the Hatch Act by soliciting contributions
from contract employees under her authority and influence. Order at 8-12.
¶15 On January 26, 2010, the administrative law judge issued his RD, which
adopted his January 11, 2010 order, found that the respondent violated the Hatch
Act, 2 acknowledged that the presumptive penalty for violation of the Hatch Act is
1
Although the administrative law judge initially stated that the respondent disseminated
six “partisan political e-mails,” Order at 3, he later found that the Palin e-mail did not
amount to political activity, id. at 10 n.5.
2
The administrative law judge stated that, in his Order, he found that “[s]ome of the
e-mails, including the two that sought contributions, were sent to employees of two
government contractors, over whom [the respondent] had authority as the [COTR].”
RD at 2. The Order actually found, as the petitioner charged, that only one of the
e-mails that sought contributions, the Obama insight e-mail, was sent to employees of
one government contractor. It found that the other e-mail that was sent to one of the
same employees was the Obama shuffle e-mail. Order at 11.
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¶17 The petitioner has filed exceptions to the RD in which it asserts that the
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respondent’s Hatch Act violations warrant removal. CF, Tab 14. The
respondent has neither filed exceptions nor replied to the petitioner’s exceptions.
ANALYSIS
¶18 Because the respondent has not challenged the administrative law judge’s
factual findings and we perceive no error in that regard, we ADOPT those
findings and AFFIRM his conclusions that she violated 5 U.S.C. §§ 7323(a)(1)-
(2) and 7324(a)(1)-(2) of the Hatch Act. Accordingly, we proceed directly to a
discussion of the appropriate penalty for the violations. See Special Counsel v.
Acconcia, 107 M.S.P.R. 60, ¶ 4 (2007).
¶19 In asserting that the Board should order the respondent’s removal, the
petitioner contends that the administrative law judge’s reasoning as to mitigation
is supported by neither the record nor the case law. CF, Tab 14 at 2. It notes that
the administrative law judge found that the respondent’s multiple violations were
serious and constituted an aggravating factor; that there was political coloring as
to her e-mails; that she attended a BEP ethics training session on the Hatch Act;
and that BEP made readily available to her additional information on the Act,
which discussed sending political e-mails in the workplace; and, thus, that her
knowledge about the Hatch Act was not a mitigating factor. It further notes that,
indeed, he found that “the aggravating factors outweigh the mitigating factors.”
Id. at 10. It argues that he therefore erred in finding that the aggravating factors
do not warrant termination. In that regard, it asserts that he erred in finding that
the respondent’s remorse and employment history and the counterbalancing
circumstances he cited outweighed the seriousness of her violations. Id. at 10-11.
Specifically, it argues that he erred because he failed to give enough weight to the
3
The petitioner disagrees with the administrative law judge’s finding that the Palin
e-mail was not political activity, but does not take exception to that finding. CF, Tab
14 at 6 n.2.
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nature and extent of her violations, downplayed her authority and influence over
the contract employees, minimized her motive and intent, undervalued her status,
considered the lack of advice from counsel as lessening the seriousness of her
offense, failed to consider her knowledge of the Hatch Act as an aggravating
factor, found that cessation of activity lessened the seriousness of her violations,
found that remorse was a mitigating factor, and relied on her past record to
mitigate the presumptive penalty. Id. at 13-34.
¶20 In considering whether removal is warranted for a Hatch Act violation, the
Board looks to the seriousness of the violation, considering all aggravating and
mitigating factors that bear upon the seriousness of the violation. Those factors
include the following: (1) the nature of the offense and the extent of the
employee’s participation; (2) the employee’s motive and intent; (3) whether the
employee had received advice of counsel regarding the activity at issue; (4)
whether the employee ceased the activities; (5) the employee’s past employment
record; and (6) the political coloring of the employee’s activities. Special
Counsel v. DeWitt, 113 M.S.P.R. 458, ¶ 6; Acconcia, 107 M.S.P.R. 60, ¶ 4;
Special Counsel v. Purnell, 37 M.S.P.R. 184, 200 (1988), aff’d sub nom. Fela v.
Merit Systems Protection Board, 730 F. Supp. 779 (N.D. Ohio 1989). Removal
must be imposed for an employee’s violation of 5 U.S.C. § 7323 or § 7324 unless
the members of the Merit Systems Protection Board find “by unanimous vote”
that a lesser penalty is warranted, and the respondent has the burden of showing
why she should not be removed. 5 U.S.C. § 7326; Special Counsel v. Briggs,
110 M.S.P.R. 1, ¶ 12 (2008), aff’d, 322 F. App’x 983 (Fed. Cir. 2009).
¶21 After analyzing the relevant factors, we agree with the petitioner that the
respondent’s Hatch Act violations warrant her removal. In summary, we find
that, although the administrative law judge correctly analyzed some factors, he
incorrectly analyzed other factors, cited factors that are irrelevant in determining
the penalty in a Hatch Act case, and made findings in his penalty determination
that were inconsistent with his findings in his merits determination.
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The nature of the offense and the extent of the employee’s participation
¶22 The administrative law judge correctly found that the appellant’s multiple
Hatch Act violations, including sending the two e-mails that sought political
contributions, were serious. He found that “[t]hose e-mails, sent from
Respondent’s government computer, clearly solicited campaign contributions.
They asked readers to make a donation and gave them information to convince
them to give and to effectuate the gift.” Order at 9.
¶23 The Board has further found that solicitation of political contributions from
a subordinate employee warrants removal. Acconcia, 107 M.S.P.R. 60, ¶ 5.
Here, the administrative law judge found that the respondent solicited political
contributions from three contract employees over whom she had authority and
influence. Order at 11; RD at 2-3. In his RD, he downplayed the seriousness of
her violation by finding that her control over the three contract employees was
not as direct as would be that of a supervisor over an employee; for example, she
did not evaluate the employees and the record contained no evidence as to the
extent of her interactions with them. RD at 3.
¶24 The administrative law judge’s findings concerning the respondent’s
control over the contract employees, however, contradict his previous findings in
his Order. There, he found that, although the respondent apparently did not
prepare performance appraisals of the employees, Order at 3 n.2, she evaluated
the contractor’s performance, a negative evaluation from her could result in non-
renewal of the contract, and she had authority to ask STG to replace a contract
employee if there was a staffing issue, id. at 11. He therefore found that,
although the respondent was not the employees’ supervisor, she had sufficient
authority over them “so that the same evils that obtain when a supervisor asks a
subordinate to contribute to a political cause or support a political candidate
apply here.” Id. Further, he found that the contract employees “would naturally
feel that Respondent had the ability to replace them and indeed affect any
contract renewal if they did not follow her requests or invitations,” and that “the
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relationship itself implies coercion.” Id. Moreover, that the respondent’s e-mails
reached “only a small number of contract employees,” RD at 3, is of little
relevance. In Acconcia, 107 M.S.P.R. 60, the Board found removal appropriate
where the employee solicited contributions from one subordinate employee by
inviting her to a fundraiser. Id., ¶¶ 4-5, 11. In addition, the Board has found that
soliciting contributions from persons doing business with an agency is a serious
violation of the Hatch Act because of the threat of coercion and the appearance
that government contracts are awarded based on political patronage rather than
competitive bidding. See Special Counsel v. Malone, 84 M.S.P.R. 342, ¶ 42
(1999).
¶25 Similarly, the administrative law judge’s finding that the respondent’s
simply forwarding e-mails she did not compose without adding anything to them
constituted a mitigating factor is contrary to his previous findings and
inconsistent with the law. In his Order, the administrative law judge
acknowledged the respondent’s argument that she did not author the text of the
e-mails, but only forwarded messages prepared by others. He found, however,
that her conduct was “little different than distributing campaign literature
prepared by others, a clear violation of the Hatch Act.” Order at 9 n.4. Likewise,
he found that forwarding the e-mail solicitations was “in substance the same as
handing out leaflets seeking contributions, an activity that has long been found to
violate the Hatch Act.” Id. at 9. The administrative law judge’s findings in his
Order, as opposed to his RD, were consistent with Board law. See, e.g.,
Acconcia, 107 M.S.P.R. 60, ¶¶ 2, 5.
access to information about the Hatch Act, she is charged with ordinary care in
availing herself of that information. He found that the respondent conceded that
she attended the BEP ethics training session that included material on the Hatch
Act and that BEP made readily available to her additional information about the
Act, which discussed sending political e-mails in the workplace. RD at 4-5.
¶27 The administrative law judge correctly found that, whether the respondent
actually knew about the Hatch Act’s restrictions or not, the knowledge was
imputed to her. Claims that she did not know that she was committing a violation
do not support a penalty less than removal. See, e.g., Purnell, 37 M.S.P.R. at
203-04. Further, the circumstances need not demonstrate that she acted
knowingly in disregard of the law to warrant removal. See Special Counsel v.
Blackburne, 58 M.S.P.R. 279, 283 (1993).
¶28 The administrative law judge failed to explain his subsequent finding that
the respondent’s motive or intent did not “amount to an aggravating
circumstance.” RD at 4. As previously noted, he stated that he “perceived no
overall intent or motive to benefit politically from her activities”; he “believe[d]
respondent was simply caught up in the intensity of the Presidential election”; she
did not “compose the e-mails she forwarded or add anything of her own”; and she
did not “follow up the e-mails or urge the recipients to contribute or otherwise
engage in political activities.” The administrative law judge has not explained
the relevance of his first finding. In any event, the respondent presumably did
intend to benefit politically by helping to obtain the election of her desired
candidates. Further, a federal employee engaging in inappropriate activities
because she is “caught up in the intensity of the Presidential election,” far from
being a mitigating factor in determining the penalty for a Hatch Act violation, is
one of the very reasons for the Hatch Act’s prohibitions against those activities.
See, e.g., Special Counsel v. Dominguez, 55 M.S.P.R. 652, 656 (1992) (stating
that, “[w]ithout doubt, this mandated penalty provision [of the Hatch Act] is a
clear exposition of the congressional desire to keep separate government
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employment and partisan politics”). Also, as previously noted, the
administrative law judge’s findings concerning the respondent’s simply
forwarding the e-mails do not support mitigation. Moreover, that the respondent
did not engage in yet more Hatch Act violations by sending additional e-mails or
urging more contributions and political activities is not a mitigating factor to
consider in determining the penalty for the violations she did commit. See, e.g.,
Acconcia, 107 M.S.P.R. 60, ¶ 5.
Whether the employee had received advice of counsel regarding the activities at
issue
¶29 As a mitigating factor, the administrative law judge found that the
respondent did not have the advice of counsel when she forwarded the e-mails.
RD at 4. The Board usually considers it a mitigating factor in determining the
penalty for a Hatch Act violation when an employee’s violation results from the
erroneous advice of counsel, not when the employee acts without the advice of
counsel. See Malone, 84 M.S.P.R. 342, ¶ 40; Special Counsel v. Campbell, 58
M.S.P.R. 170, 182 (1993), aff’d, 27 F.3d 1560 (Fed. Cir. 1994). The
administrative law judge has not explained the relevance of his further statement
that “although she originally employed counsel at the outset of this case, she
stated that she could not afford counsel and went through most of these
proceedings on her own, without the assistance of counsel.” RD at 4. Whether or
not she had counsel after she committed the Hatch Act violations is irrelevant to
whether she relied on counsel’s advice before she committed the violations.
Thus, we find that, even if this is not an aggravating factor, it does not warrant
mitigation.
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Although this discussion is in the administrative law judge’s recommended decision,
the Board explicitly approved and adopted the recommended decision in its own
precedential decision. Dominguez, 55 M.S.P.R. at 653.
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¶30 Moreover, as discussed above and as the administrative law judge found,
the BEP provided legal advice concerning the Hatch Act. First, the respondent
attended a 1-hour annual ethics training session in October 2007, which included
material on the Hatch Act’s restrictions on political activity. CF, Tab 1, Exs. H-I;
Tab 6, Stipulations of Fact at 6. Second, on August 15, 2008, a mere 3 weeks
before the respondent repeatedly violated the Hatch Act, BEP distributed a
publication about the Hatch Act, which cited sending partisan political e-mails as
an example of prohibited political activity in the workplace. CF, Tab 1, Ex. J;
Tab 6, Stipulations of Fact at 6. Where the employee receives information about
the Hatch Act that would cause a reasonably prudent person to avoid partisan
political activity, the employee may not claim that violation of the Act was
unknowing and unintentional. See Special Counsel v. Murdock, 61 M.S.P.R. 403,
406 (1994).
respondent’s decision to cease her unlawful activity six weeks before the election
provides support for mitigation.
ORDER
¶38 The Board ORDERS the Bureau of Printing and Engraving to remove the
respondent from her position. The Board also ORDERS the Office of Special
Counsel to notify the Board within 30 days of the date of this Opinion and Order
whether the respondent has been removed as ordered. This is the final decision
of the Merit Systems Protection Board in this appeal. Title 5 of the Code of
Federal Regulations, section 1201.113(c) (5 C.F.R. § 1201.113(c)).
The court must receive your request for review no later than 60 calendar days
after your receipt of this order. If you have a representative in this case and your
representative receives this order before you do, then you must file with the court
no later than 60 calendar days after receipt by your representative. If you choose
to file, be very careful to file on time. The court has held that normally it does
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not have the authority to waive this statutory deadline and that filings that do not
comply with the deadline must be dismissed. See Pinat v. Office of Personnel
Management, 931 F.2d 1544 (Fed. Cir. 1991).
If you need further information about your right to appeal this decision to
court, you should refer to the federal law that gives you this right. It is found in
Title 5 of the United States Code, section 7703 (5 U.S.C. § 7703). You may read
this law, as well as review the Board’s regulations and other related material, at
our website, http://www.mspb.gov. Additional information is available at the
court's website, www.cafc.uscourts.gov. Of particular relevance is the court's
"Guide for Pro Se Petitioners and Appellants," which is contained within the
court's Rules of Practice, and Forms 5, 6, and 11.
______________________________
William D. Spencer
Clerk of the Board
Washington, D.C.