Federal Circuits, 2nd Cir. (February 01, 1983)
Docket number: 82-4140
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U.S. Supreme Court - Richardson v. Perales, 402 U.S. 389 (1971)
U.S. Supreme Court - Consolidated Edison Co. v. NLRB, 305 U.S. 197 (1938)
James R. Moffatt, Mineola, N.Y., for petitioner Peter D. Borsari.
Richard A. Simpson, Asst. U.S. Atty., New York City (John S. Martin, Jr., U.S. Atty., Peter C. Salerno, Asst. U.S. Atty., New York City, of counsel), for respondent F.A.A.Mary M. Jennings, Atty., Merit Systems Protection Bd., Washington, D.C. (Evangeline W. Swift, Gen. Counsel, Rita S. Arendal, Washington, D.C., Atty., Merit Systems Protection Bd., of counsel), for intervenor Merit Systems Protection Bd.Before FEINBERG, Chief Judge, and KAUFMAN and CARDAMONE, Circuit Judges.IRVING R. KAUFMAN, Circuit Judge:The merit system lies at the heart of the American civil service. The Civil Service Reform Act of 1978 guarantees that federal employment decisions will not be based on extraneous factors such as race, color, religion, sex, or national origin. That statute also protects federal employees from being penalized for certain types of off-duty misconduct. Federal agencies, however, were never intended to be restrained from taking steps necessary to safeguard the public. Because we find the dismissal of air traffic controller Peter D. Borsari resulted not from invidious discrimination, but rather from the Federal Aviation Administration's ("FAA" or "Agency") legitimate concern for public safety, we hold that the Merit Systems Protection Board ("MSPB" or "Board") did not ignore the merit principles of the Civil Service Reform Act when it upheld the FAA's decision. The FAA acted within its discretion when it discharged Borsari for his involvement with illegal drugs.* After having served seven years as an air traffic controller at La Guardia Airport, Borsari was notified, on December 14, 1979, of his proposed removal and transferred to other duties. His supervisor, Frank J. Bombace, informed Borsari of four reasons for the contemplated discharge. Petitioner was charged with sale and possession of marijuana, possession of cocaine, having been convicted of unlawful possession of marijuana, N.Y. Penal Law Sec. 221.05 (McKinney 1980), and falsification of official government records.1 Bombace's suggestion that Borsari be dismissed was reviewed and approved by the FAA official assigned to interview Borsari and his lawyer, and, subsequently, by an FAA deciding official, Norbert A. Owens, who also determined Borsari should be dismissed. Although Borsari had received outstanding ratings for job performance, he was discharged effective March 21, 1980.Borsari appealed his removal to the Merit Systems Protection Board, pursuant to 5 U.S.C. Secs . 7513, 7701, and a hearing was held before presiding official Joan Dolan on June 17 and 18, 1980. After receiving testimony, Dolan found the FAA had sustained its burden of proving by a preponderance of the evidence that Borsari was guilty of each of the three drug charges which were the subject of the proceeding. Specifically, she accepted the testimony of Officers Anderson and Giglio that on the evening of September 28, 1978, Borsari sold them two ounces of marijuana for $80. The officers recounted that they entered Ye Old Barn, a bar in Hempstead, New York, at approximately 7:30 p.m. and arranged with the barmaid, Patricia Hope, to purchase the marijuana which Hope's "main man Pete" would deliver. Upon their return, they observed Borsari, whom Hope introduced as Pete, hand Hope a brown paper bag containing the marijuana which the officers subsequently purchased from her. Dolan further credited Officer Anderson's testimony that on the night of October 7, 1978, also at Ye Old Barn, he observed Borsari take out a small vial of white powder, sniff some, offer some to Ms. Hope, and comment that the substance was cocaine. Finally, Dolan rejected Borsari's contention that he believed he was pleading guilty to a charge of disorderly conduct on May 9, 1979 in the Nassau County District Court when petitioner in fact had pled guilty and been convicted of unlawful possession of marijuana in violation of N.Y. Penal Law Sec. 221.05 in connection with the September 28, 1978 incident.Despite finding Borsari guilty of each drug charge, Dolan, on August 5, 1980, ordered him reinstated. Relying on Bombace's testimony and affidavits from Borsari's team supervisors indicating that Borsari was a superb air traffic controller, Dolan determined the FAA had not established a sufficient "nexus" between Borsari's off-duty misconduct and his ability to perform his job. More precisely, she concluded the FAA had failed to demonstrate that Borsari's removal would "promote the efficiency of service" as required by 5 U.S.C. Sec . 7513 or that Borsari's involvement with drugs would "adversely affect [his] performance or the performance of others" as 5 U.S.C. Sec . 2302(b)(10) apparently demands.On October 23, 1980, the Merit Systems Protection Board, on its own motion, reopened Borsari's case.2 The Board then held Borsari's case in abeyance pending its decision in Merritt v. Department of Justice, MSPB Docket No. PH075209058 (June 8, 1981), the Board's first examination of the provisions of the Civil Service Reform Act as applied to off-duty misconduct. On August 20, 1981, the MSPB remanded Borsari's case for a second initial determination requesting further consideration of several issues. The Board sought rulings on whether petitioner's off-duty conduct created a presumption of adverse effect on the efficiency of service as defined in Merritt, supra, whether petitioner's evidence concerning his superior job performance was sufficient to rebut any such presumption, and whether the evidence on the record supported a finding that Borsari had used or possessed cocaine. The Board also asked for clarification of whether Borsari's off-duty use of marijuana could be inferred from his off-duty possession of the drug, and if so, whether on-duty use could also be inferred.On September 17 and 24, 1981 evidence was taken by Chief Administrative Law Judge John J. McCarthy. McCarthy, unconvinced by the testimony of FAA experts, Harold M. Ginzburg, M.D. and James A. Inciardi, Ph.D., concerning the likelihood that an individual possessing drugs would also use them, found it impermissible to infer from Borsari's possession and sale of marijuana that petitioner had actually used the drug either on or off duty. The MSPB accepts this conclusion, and it is not at issue here.McCarthy also determined that Officer Anderson's testimony before presiding official Dolan was insufficient to support a finding that Borsari used or possessed cocaine. The ALJ relied on Borsari's and Hope's denials that the cocaine incident took place, and on the fact that Officer Giglio, present in Ye Old Barn at the time of Borsari's alleged involvement with cocaine, failed to testify to corroborate Anderson's statements. In light of the evidence concerning Borsari's outstanding work record, including testimony before the ALJ by Borsari's former supervisor, Benedict Sliney, the ALJ concluded that an isolated incident entailing only possession and sale of marijuana was insufficiently connected to Borsari's job performance to justify his removal. The ALJ, therefore, ordered Borsari reinstated.The FAA appealed the ALJ's ruling to the full Merit Systems Protection Board which vacated McCarthy's decision. Exercising the deference traditionally afforded to the determinations of presiding officials when questions of credibility are involved, the Board accepted Dolan's finding that Officer Anderson's testimony was sufficient to establish Borsari's possession of cocaine on October 7, 1978.3 The MSPB then concluded that petitioner's "criminal conviction, viewed in the context of his drug-related misconduct on more than one occasion and the nature of his federal employment, permits a presumption that his reinstatement would impair the efficiency of service." The Board further found Borsari's evidence concerning his superior work record "not germane in determining whether the agency can rely on [petitioner's] judgment in the future," and therefore insufficient to rebut the presumption of nexus. Accordingly, the Board affirmed the FAA's decision to discharge him. Pursuant to 5 U.S.C. Sec . 7703, Borsari petitions this court for review of the Board's order.IIConfronted with the task of reviewing agency action dismissing an employee as a result of off-duty misconduct, courts face a difficult dilemma. On one hand, a smooth functioning government requires that public officials be afforded broad discretion to make employment decisions based on their view of the agency's best interest. At the same time, the judiciary must defend federal employees against arbitrary dismissal. Recognizing this fundamental tension "between protections established to insure [sic] that employees are hired and fired solely on the basis of their ability, and the need of managers and policymakers to have flexibility to perform their jobs," S.Rep. No. 969, 95th Cong.2d Sess. 4, reprinted in [1978] U.S.Code Cong. & Ad.News, 2723, 2726 (1978), Congress set forth specific guidelines enumerating both the criteria by which federal employment actions are to be evaluated and the standard of judicial review. The Civil Service Reform Act of 1978, and specifically 5 U.S.C. Sec . 7703(c)(3), strengthens employee safeguards and requires courts to set aside actions of the Merit Systems Protection Board "unsupported by substantial evidence."4 We are also called upon to determine whether an action of the Board is "in accordance with law," 5 U.S.C. Sec . 7703(c)(1), which in this case entails deciding whether Borsari's dismissal was shown to "promote the efficiency of the service" as required by 5 U.S.C. Sec . 7513(a) and not to "discriminate [against him] on the basis of conduct which does not adversely affect [his] performance or the performance of others," 5 U.S.C. Sec . 2302(b)(10). We will consider these questions seriatim.* We need pause only briefly to determine that substantial evidence supports the Board's decision finding Borsari guilty of each of the three drug charges. Petitioner's conviction for unlawful possession of marijuana, N.Y. Penal Law Sec. 221.05 (McKinney 1980), is a matter of public record which, in presiding official Dolan's view, was not refuted by Borsari's incredible claim that he was unaware of the charge to which he pled guilty. Similarly, the presiding official found the testimony of Officers Anderson and Giglio conclusive proof that Borsari sold them $80 worth of marijuana. This testimony clearly constitutes "such relevant evidence as a reasonable mind might accept as adequate to support a conclusion." Richardson v. Perales, 402 U.S. 389, 401, 91 S.Ct. 1420, 1427, 28 L.Ed.2d 842 (1971) (quoting Consolidated Edison Co. v. NLRB, 305 U.S. 197, 59 S.Ct. 206, 83 L.Ed. 126 (1938)) (defining substantial evidence on the record); see also Hoska v. United States Department of the Army, 677 F.2d 131 (D.C.Cir.1982) (applying this definition to 5 U.S.C. Sec . 7703(c)(3)).Although somewhat less convincing, the FAA's position that petitioner possessed cocaine is also supported by substantial evidence and was properly upheld by the Board. Officer Anderson testified that on October 7, 1978, he saw Borsari display a small glass vial, remove a white powder, comment that the substance was cocaine, and inhale some.5 Presiding official Dolan heard this testimony and found it credible, and disbelieved Borsari's and Hope's denials. Given the presiding official's ability to observe the witnesses' demeanor, her credibility determinations deserve great weight, and are particularly more reliable than the contrary decision of the ALJ who reviewed the same paper record as the Board. Moreover, Officer Anderson's failure to describe Borsari's actual use of cocaine in a written report concerning the incident, and Officer Giglio's failure to testify concerning the events, cannot wholly refute the testimony of the only witness deemed credible by the presiding official. The Board's decision to sustain the Agency's charge of possession of cocaine, based on the record as a whole, is supported by "such relevant evidence as a reasonable mind might accept as adequate to support a conclusion." Richardson v. Perales, supra. Accordingly, we find the MSPB properly found Borsari guilty of two drug-related violations within a ten-day period in 1978.BThe remaining question is whether the MSPB correctly found Borsari's involvement with drugs sufficiently related to his duties as an air traffic controller to justify his removal. 5 U.S.C. Sec . 7513 makes clear that dismissal is proper only if it can be shown "to promote the efficiency of the service." Although petitioner correctly points to the considerable evidence indicating his superior job performance, we are not convinced this is the only relevant factor. Rather, we are persuaded by the FAA's simple but seemingly uncontrovertible reliance on the incompatibility of drugs with successful air traffic control.The phrase "promote the efficiency of service" cannot be so limited as to require the Agency to wait for an on-the-job violation before dismissing an offending employee. Indeed, it has repeatedly been held that where an employee's misconduct is in conflict with the mission of the agency, dismissal without proof of a direct effect on the individual's job performance is permissible under the "efficiency of the service" standard. In Masino v. United States, 589 F.2d 1048 (Ct.Cl.1978), for example, the court upheld the discharge of a customs officer following his off-duty use of marijuana, one of the substances he was assigned to exclude from the country. See also Giles v. United States, 553 F.2d 647 (Ct.Cl.1977) (IRS agent dismissed for failing to file timely tax returns); Wroblaski v. Hampton, 528 F.2d 852 (7th Cir.1976) (Immigration and Naturalization Service employee removed for employing illegal aliens in his home). While the contradiction between petitioner's involvement with drugs and the goals of the FAA is of a somewhat different nature, the inherent dangers of Borsari's conduct are no less significant.Air traffic controllers are responsible for the lives and safety of thousands of people. The position entails awesome pressures and requires split-second decisions. Few, if any, positions demand more alertness of mind and soundness of judgment and the stresses and strains on the controller are incalculable. Moreover, the confidence of the flying public depends upon absolute trust in the integrity of the air system. For these reasons, it is clear that any connection with illegal mind-altering substances is anathema to proper control over air traffic. As pilot Eugene Conway testified, "Drugs are just a taboo ... and our responsibilities to the public in just keeping a high confidence level, not to mention the high safety level, would make dealing with drugs just totally unthinkable." Courts considering the relationship between air traffic control and drugs have reached similar conclusions. See McDowell v. Goldschmidt, 498 F.Supp. 598 (D.Conn.1980) (upholding dismissal of air traffic controller based on conviction of possession of marijuana and three instances of being absent without leave); Dew v. Halaby, 317 F.2d 582 (D.C.Cir.1963), cert. denied,Try vLex for FREE for 3 days
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