Court Opinion

ID: 9820199
Source: CourtListenerOpinion
Date Created: 2023-09-01 07:00:25.672669+00
Date Added: 2024-06-11T11:31:29.727377
License: Public Domain

UNITED STATES OF AMERICA
                        MERIT SYSTEMS PROTECTION BOARD

     SOCORRO THOME,                                  DOCKET NUMBER
                 Appellant,                          DA-0752-12-0339-X-1

                  v.

     DEPARTMENT OF HOMELAND                          DATE: August 31, 2023
       SECURITY,
                 Agency.

             THIS FINAL ORDER IS NONPRECEDENTIAL 1

           Kevin L. Owen, Esquire, and Christopher H. Bonk, Esquire, Silver Spring,
             Maryland, for the appellant.

           Mark W. Hannig, Esquire, El Paso, Texas, for the agency.

                                           BEFORE

                               Cathy A. Harris, Vice Chairman
                                Raymond A. Limon, Member

                                       FINAL ORDER

¶1         This case is before the Board pursuant to a compliance initial decision of
     the administrative judge, finding the agency in partial noncompliance with a
     settlement agreement.      Thome v. Department of Homeland Security, MSPB

     1
        A nonprecedential order is one that the Board has determined does not add
     significantly to the body of MSPB case law. Parties may cite nonprecedential orders,
     but such orders have no precedential value; the Board and administrative judges are not
     required to follow or distinguish them in any future decisions. In contrast, a
     precedential decision issued as an Opinion and Order has been identified by the Board
     as significantly contributing to the Board’s case law. See 5 C.F.R. § 1201.117(c).
                                                                                       2

     Docket No. DA-0752-12-0339-C-1, Compliance File (CF), Tab 13, Compliance
     Initial Decision (CID); Thome v. Department of Homeland Security, MSPB
     Docket No. DA-0752-12-0339-I-1, Initial Appeal File (IAF), Tab 107, Initial
     Decision (ID).      For the reasons discussed below, we find the agency in
     compliance and DISMISS the petition for enforcement.

        DISCUSSION OF ARGUMENTS AND EVIDENCE ON COMPLIANCE
¶2        On April 9, 2012, the appellant filed an appeal of her removal. IAF, Tab 1.
     On March 22, 2013, the administrative judge issued an initial decision reversing
     the removal but finding that the appellant had failed to establish her
     discrimination and reprisal affirmative defenses. ID at 20-27. The agency and
     the appellant filed petitions for review, and the agency additionally filed a cross
     petition for review. Thome v. Department of Homeland Security, MSPB Docket
     No. DA-0752-12-0339-I-1, Petition for Review (PFR) File, Tabs 7, 8, 13. On
     February 27, 2015, the Board issued an Opinion and Order directing the agency to
     cancel the removal and retroactively restore the appellant effec tive April 3, 2012,
     and pay the appellant the correct amount of back pay, interest on back pay, and
     other benefits. Thome v. Department of Homeland Security, 122 M.S.P.R. 315,
     ¶¶ 31-33 (2015); PFR File, Tab 29, Opinion and Order. The Board vacated the
     administrative judge’s determination that the appellant failed to prove her sex
     discrimination affirmative defense and        remanded that claim for further
     adjudication. Id.
¶3        On remand, the parties reached a settlement agreement, which “adopted” the
     Board’s February 27, 2015 Opinion and Order and the relief granted therein.
     Thome v. Department of Homeland Security, MSPB Docket No. DA-0752-12-
     0339-B-1, Remand File (RF), Tab 27. On December 31, 2015, the administrative
     judge issued an initial decision entering the settlement agreement into the record
     for enforcement purposes and dismissing the remand appeal.            RF, Tab 28,
     Remand Initial Decision.
                                                                                             3

¶4         On January 27, 2016, the appellant filed a petition for enforcement . CF,
     Tab 1.   On November 23, 2016, the administrative judge issued a compliance
     initial decision finding that the agency was not in compliance with the Board’s
     February 27, 2015 Opinion and Order, which had been incorporated into the
     parties’ December 2015 settlement agreement. The administrative judge ordered
     the agency to:
           (1) submit evidence to show that the appellant’s Official Personnel
           Record has been corrected with regard to within-grade increases;
           (2) submit evidence to show that the appellant has received the
           proper amount of back pay, interest on back pay, and other benefits
           under the Back Pay Act (such evidence must clearly set forth the
           amounts of overtime and premium pay due and how those amounts
           were calculated, including evidence that the calculations accounted
           for within-grade increases); and (3) submit to the Board the name(s)
           and address(es) of the person(s) responsible for the agency’s
           decision even if the agency believes it is in full compliance.
     CID at 9. 2
¶5         In response to the compliance initial decision, on December 22, 2016, the
     agency provided documents demonstrating that it had corrected the appellant’s
     Standard Form 50s to reflect step increases; corrected her regular back pay
     incorporating the step increases; corrected her overtime back pay by analyzing
     the overtime that the appellant would have received but for the removal using two
     time periods prior to her removal (July 19, 2009, to March 3, 2010; and July 18,
     2010, to March 11, 2011), averaging the overtime hours worked during those two
     time periods, and applying that amount to calculate appropriate overtime during

     2
       The compliance initial decision informed the agency that, if it decided to take the
     actions required by the decision, it must submit to the Clerk of the Board, within the
     time limit for filing a petition for review under 5 C.F.R. § 1201.114(e), a statement that
     it has taken the actions identified in the compliance initial decision, along with
     evidence establishing that it has taken those actions. CID at 9-10; see 5 C.F.R.
     § 1201.183(a)(6)(i). The compliance initial decision also informed the parties that they
     could file a petition for review if they disagreed with the compliance initial decision.
     CID at 11; see 5 C.F.R. §§ 1201.114(e), 1201.183(a)(6)(ii). Neither party petitioned for
     review of the compliance initial decision.
                                                                                       4

     the back pay period; and provided the names of officials responsible for the
     corrections.   Thome v. Department of Homeland Security, MSPB Docket No.
     DA-0752-12-0339-X-1, Compliance Referral File (CRF), Tab 1 at 4-5. 3
     Following the agency’s submission, the Office of the Clerk of the Board issued an
     Acknowledgement Order notifying the parties that a new docket number had been
     assigned (reflecting the referral of the matter to the Board for a final compliance
     determination) and notifying the appellant of her right to respond to the agency’s
     submission within 20 days. CRF, Tab 2 at 1-2.
¶6         On January 11, 2017, the appellant challenged the agency’s method of
     computing the overtime back pay amount, stating that the agency incorrectly
     included in its evaluation a period of five months during which the appellant was
     pregnant with her son, and as a result, began light duty. CRF, Tab 3 at 5. The
     appellant also asserted that the agency failed to provide information regarding
     interest payments on the appellant’s back pay, and did not provide an accounting
     of its payments to the appellant. Id. at 5-6.
¶7         On August 16, 2017, the Board issued an order directing the agency to
     submit evidence and briefing regarding the time periods used to calculate the
     appellant’s overtime back pay; detailed explanations of both the payments made
     to the appellant’s Thrift Savings Plan (TSP) account and the interest included
     with the back pay payment; evidence of all back pay payments made to the
     appellant; and an explanation of what amount of back pay was still owed to the
     appellant, along with a statement regarding the reasons for not yet paying this
     amount to the appellant. CRF, Tab 4 at 4. In a response on October 16, 2017, the
     agency summarized payments already made to the appellant , including a base
     back pay amount of $71,955.84; overtime pay of $3,219.75; interest on the back
     pay of $5,784.49; apparently separate payments for retroactive within-grade

     3
       The exact amounts of the appellant’s payments were still being processed by the
     Department of Agriculture at the time of the agency’s submission on December 22,
     2016. CRF, Tab 1 at 5.
                                                                                             5

      increases    (WIGIs)   totaling    $16,886.72;   and   TSP    contributions      totaling
      $14,874.41, and stated: “The only type of payment the Agency believes it could
      still owe the Appellant would be back pay for overtime, and interest.”             CRF,
      Tab 7 at 4, 7.
¶8          On May 31, 2022, the Board issued an order directing the agency to address
      whether it had:
            (1) paid the appellant, or will pay the appellant by a date certain, all
            back pay, with interest, owed; (2) ensured that any necessary
            adjustments to the appellant’s TSP contributions have been, or will
            be, made; and (3) computed the overtime and pay differentials in the
            appellant’s back pay award in accordance with the [] requirements
            for computing this type of back pay.
      CRF, Tab 8 at 5.

                                           ANALYSIS
¶9          A settlement agreement is a contract and, as such, will be enforced in
      accordance with contract law.         Burke v. Department of Veterans Affairs,
      121 M.S.P.R. 299, ¶ 8 (2014). The Board will enforce a settlement agreement
      that has been entered into the record in the same manner as a final Board decision
      or order.    Id.   In a proceeding to enforce a settlement agreement, the party
      alleging    noncompliance   with    the   agreement    has   the   burden   of    proof.
      Modrowski v. Department of Veterans Affairs, 97 M.S.P.R. 224, ¶ 7 (2004).
      However, when an appellant makes specific allegations of noncompliance, it is
      the agency’s burden to produce relevant evidence within its control showing
      compliance with its agreement or showing good cause for its failure to comply.
      Id.
¶10         Two outstanding issues remain in this compliance matter: the amount of the
      appellant’s back pay and interest, including overtime back pay; and the
      appellant’s TSP contributions. On August 31, 2022, in response to the Board’s
      May 31, 2022 Order, the agency submitted argument and evidence asserting that
      it had initiated a process to pay the appellant an additional $32,967 in gross pay
                                                                                            6

      for overtime, resulting in the appellant “earning the highest amount for the
      relevant year during which she was removed when compared to her other relevant
      years of employment. . . .” CRF, Tab 14 at 4. The agency stated that to calculate
      this amount, it had averaged the amount of overtime which the appellant had
      earned in the year before her removal and the year after she was reinstated , which
      resulted in an amount of $32,967. Id. at 4-5. The agency further asserted that it
      would withhold 6.86% of the appellant’s earnings for each of the 25 pay periods
      during her removal for her TSP account, and TSP managers would determine the
      historical gains and losses of the appellant’s funds during her removal . Id. at 6.
¶11         On September 20, 2022, the appellant responded to the agency’s August 31,
      2022 submission, noting that the agency’s total in overtime back pay did not
      include a calculation for interest on the back pay, contrary to the Board’s order.
      CRF, Tab 15 at 4-5.       The appellant also asserted that in the course of her
      employment with the agency she had consistently withheld 15% of her gross pay
      for her TSP contributions, and thus, the agency’s calculations of the appellant’s
      TSP withholdings, which assumed that the appellant withheld 6.86% of her pay,
      were incorrect. Id. at 6-7, 9. The appellant requested sanctions based on the
      agency’s noncompliance. Id. at 8.
¶12         On September 30, 2022, the agency replied to the appellant’s response,
      stating that it had deposited $14,905.86 of interest into the appellant’s bank
      account, which was calculated in accordance with the Office of Personnel
      Management’s calculation methods. CRF, Tab 16 at 4. 4 The agency also asserted
      that it would process the desired 15% withholding from the appellant’s pay for
      her TSP account and adjust her TSP account accordingly. Id. at 5.
¶13         On November 30, 2022, the agency submitted an update regarding the
      appellant’s TSP adjustments, stating that the agency had communicated with the

      4
        The agency referred to an attached document to demonstrate its computations, but the
      attachment appears to have been inadvertently omitted from the agency’s submissions.
      CRF, Tab 16 at 4.
                                                                                      7

      appellant regarding her preferences about the withholdings, and attached the
      emails between the parties. CRF, Tab 17 at 4. On February 14, 2023, the agency
      filed another update regarding the appellant’s TSP withholdings, asserting that
      they had been completed in the amount of 15% of her pay and had been applied to
      the appellant’s account, including matching contributions.    CRF, Tab 19 at 4.
      The appellant has not responded to the September 30, 2022; November 30, 2022;
      or February 14, 2023 submissions from the agency.
¶14         The agency’s submissions detail its efforts to pay all back pay owed to the
      appellant, including the correct amount of overtime pay and interest on the
      overtime pay, and provide a narrative explanation and evidence in support of its
      assertions. CRF, Tab 14 at 4-5, Tab 16 at 4. The appellant has not responded to
      or otherwise rebutted this evidence. We therefore find the agency in compliance
      with respect to its back pay obligations.
¶15         With respect to the TSP contributions, the agency provided two reports
      detailing the funds that were applied to the appellant’s account in the TSP, and
      the adjustment of her TSP account to include matching contributions.        CRF,
      Tab 19 at 7-46.    Because the agency has demonstrated that it completed the
      contributions to the appellant’s TSP, and the appellant has not produced evidence
      to the contrary, we find the agency is in compliance with respect to the
      contributions to the appellant’s TSP account.
¶16         Finally, regarding the appellant’s September 20, 2022 request for sanctions,
      we deny the request. The Board’s sanction authority is limited to the sanctions
      necessary to obtain compliance with a Board order.         Mercado v. Office of
      Personnel Management, 115 M.S.P.R. 65. ¶ 8 (2010) (stating that the Board’s
      ability to award sanctions is a means to enforce compliance, a nd once compliance
      has been demonstrated, it would be inappropriate to impose sanctions ). Because
      the agency has complied with the Board’s orders, we are without authority to
      impose sanctions in this matter.
                                                                                            8

¶17         Accordingly, in light of the agency’s evidence of compliance, the Board
      finds the agency in compliance and dismisses the petition for enforcement. This
      is the final decision of the Merit Systems Protection Board in this compliance
      proceeding. Title 5 of the Code of Federal Regulations, section 1201. 183(c)(1)
      (5 C.F.R. § 1201.183(c)(1)).

                        NOTICE TO THE APPELLANT REGARDING
                              YOUR RIGHT TO REQUEST
                             ATTORNEY FEES AND COSTS
            You may be entitled to be paid by the agency for your reasonable at torney
      fees and costs. To be paid, you must meet the requirements set out at Title 5 of
      the United States Code (5 U.S.C.), sections 7701(g), 1221(g), or 1214(g). The
      regulations may be found at 5 C.F.R. §§ 1201.201, 1201.202, and 1201.203. If
      you believe you meet these requirements, you must file a motion for attorney fees
      WITHIN 60 CALENDAR DAYS OF THE DATE OF THIS DECISION.                              You
      must file your attorney fees motion with the office that issued the initial decision
      on your appeal.

                               NOTICE OF APPEAL RIGHTS 5
            You may obtain review of this final decision. 5 U.S.C. § 7703(a)(1). By
      statute, the nature of your claims determines the time limit for seeking such
      review and the appropriate forum with which to file.              5 U.S.C. § 7703(b).
      Although we offer the following summary of available appeal rights, the Merit
      Systems Protection Board does not provide legal advice on which option is most
      appropriate for your situation and the rights described below do not represent a
      statement of how courts will rule regarding which cases fall within their
      jurisdiction.   If you wish to seek review of this final decision, you should
      immediately review the law applicable to your claims and carefully follow all

      5
        Since the issuance of the initial decision in this matter, the Board may have updated
      the notice of review rights included in final decisions. As indicated in the notice, the
      Board cannot advise which option is most appropriate in any matter.
                                                                                        9

filing time limits and requirements. Failure to file within the applicable time
limit may result in the dismissal of your case by your chosen forum.
      Please read carefully each of the three main possible choices of review
below to decide which one applies to your particular case. If you have questions
about whether a particular forum is the appropriate one to review your case, you
should contact that forum for more information.

      (1) Judicial review in general. As a general rule, an appellant seeking
judicial review of a final Board order must file a petition for review with the U.S.
Court of Appeals for the Federal Circuit, which must be received by the court
within 60 calendar days of the date of issuance of this decision.               5 U.S.C.
§ 7703(b)(1)(A).
      If you submit a petition for review to the U.S. Court of Appeals for the
Federal   Circuit,   you   must   submit   your   petition   to   the   court    at   the
following address:
                              U.S. Court of Appeals
                              for the Federal Circuit
                             717 Madison Place, N.W.
                             Washington, D.C. 20439

      Additional information about the U.S. Court of Appeals for the Federal
Circuit 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, 10, and 11.
      If you are interested in securing pro bono representation for an appeal to
the U.S. Court of Appeals for the Federal Circuit, you may visit our website at
http://www.mspb.gov/probono for information regarding pro bono representation
for Merit Systems Protection Board appellants before the Federal Circuit. The
Board neither endorses the services provided by any attorney nor warrants that
any attorney will accept representation in a given case.
                                                                                  10

      (2) Judicial   or   EEOC      review   of   cases   involving   a   claim   of
discrimination. This option applies to you only if you have claimed that you
were affected by an action that is appealable to the Board and that such action
was based, in whole or in part, on unlawful discrimination. If so, you may obtain
judicial review of this decision—including a disposition of your discrimination
claims—by filing a civil action with an appropriate U.S. district court ( not the
U.S. Court of Appeals for the Federal Circuit), within 30 calendar days after you
receive this decision. 5 U.S.C. § 7703(b)(2); see Perry v. Merit Systems Protection
Board, 582 U.S. 420 (2017 ).   If you have a representative in this case, and your
representative receives this decision before you do, then you must file with the
district court no later than 30 calendar days after your representative receives
this decision. If the action involves a claim of discrimination based on race,
color, religion, sex, national origin, or a disabling condition, you may be entitled
to representation by a court-appointed lawyer and to waiver of any requirement of
prepayment of fees, costs, or other security.     See 42 U.S.C. § 2000e-5(f) and
29 U.S.C. § 794a.
      Contact information for U.S. district courts can be found at their respective
websites, which can be accessed through the link below:
      http://www.uscourts.gov/Court_Locator/CourtWebsites.aspx.
      Alternatively, you may request review by the Equal Employment
Opportunity Commission (EEOC) of your discrimination claims only, excluding
all other issues. 5 U.S.C. § 7702(b)(1). You must file any such request with the
EEOC’s Office of Federal Operations within 30 calendar days after you receive
this decision. 5 U.S.C. § 7702(b)(1). If you have a representative in this case,
and your representative receives this decision before you do, then you must file
with the EEOC no later than 30 calendar days after your representative receives
this decision.
      If you submit a request for review to the EEOC by regular U.S. mail, the
address of the EEOC is:
                                                                                     11

                            Office of Federal Operations
                     Equal Employment Opportunity Commission
                                  P.O. Box 77960
                             Washington, D.C. 20013

      If you submit a request for review to the EEOC via commercial delivery or
by a method requiring a signature, it must be addressed to:
                            Office of Federal Operations
                     Equal Employment Opportunity Commission
                                 131 M Street, N.E.
                                   Suite 5SW12G
                             Washington, D.C. 20507

      (3) Judicial     review   pursuant     to   the    Whistleblower      Protection
Enhancement Act of 2012. This option applies to you only if you have raised
claims of reprisal for whistleblowing disclosures under 5 U.S.C. § 2302(b)(8) or
other protected activities listed in 5 U.S.C. § 2302(b)(9)(A)(i), (B), (C), or (D).
If so, and your judicial petition for review “raises no challenge to the Board’s
disposition of allegations of a prohibited personnel practice described in section
2302(b) other than practices described in section 2302(b)(8), or 2302(b)(9)(A)(i),
(B), (C), or (D),” then you may file a petition for judicial review either with the
U.S. Court of Appeals for the Federal Circuit or any court of appeals of
competent jurisdiction. 6   The court of appeals must receive your petition for
review within 60 days of the date of issuance of this decision.               5 U.S.C.
§ 7703(b)(1)(B).

6
   The original statutory provision that provided for judicial review of certain
whistleblower claims by any court of appeals of competent jurisdiction expired on
December 27, 2017. The All Circuit Review Act, signed into law by the President on
July 7, 2018, permanently allows appellants to file petitions for judicial review of
MSPB decisions in certain whistleblower reprisal cases with the U.S. Court of Appeals
for the Federal Circuit or any other circuit court of appeals of competent jurisdiction.
The All Circuit Review Act is retroactive to November 26, 2017. Pub. L. No. 115-195,
132 Stat. 1510.
                                                                                12

      If you submit a petition for judicial review to the U.S. Court of Appeals for
the Federal Circuit, you must submit your petition to the court at the
following address:
                             U.S. Court of Appeals
                             for the Federal Circuit
                            717 Madison Place, N.W.
                            Washington, D.C. 20439

      Additional information about the U.S. Court of Appeals for the Federal
Circuit 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, 10, and 11.
      If you are interested in securing pro bono representation for an appeal to
the U.S. Court of Appeals for the Federal Circuit, you may visit our website at
http://www.mspb.gov/probono for information regarding pro bono representation
for Merit Systems Protection Board appellants before the Federal Circuit. The
Board neither endorses the services provided by any attorney nor warrants that
any attorney will accept representation in a given case.
      Contact information for the courts of appeals can be found at their
respective websites, which can be accessed through the link below:
      http://www.uscourts.gov/Court_Locator/CourtWebsites.aspx.

FOR THE BOARD:                            /s/ for
                                          Jennifer Everling
                                          Acting Clerk of the Board
Washington, D.C.