796 F. Supp. 2d 145
D.D.C.2011Background
- HHS debarred Brodie for seven years after ORI found 15 instances of research misconduct.
- Brodie challenged the debarment under the Administrative Procedures Act and the U.S. Constitution.
- From 1999–2002 Brodie worked at UW as Research Assistant Professor and Director of labs; UW investigation found falsified or fabricated images.
- ORI charged Brodie on September 17, 2008; he requested a hearing before an ALJ.
- ALJ conducted hearing; January 12, 2010 recommended summary disposition for ORI and seven-year debarment.
- March 18, 2010 debarment final notice issued; Brodie sued in April 2010; motions for summary judgment filed and argued.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Culpability standard applied | Brodie argues recklessness used to imply misconduct; seeks higher standard. | ALJ correctly applied knowingly and intentionally (or recklessly) standard under regulation. | ALJ's standard reasonable; recklessness equates to willful misconduct under authority. |
| Standard of care / scope of misconduct | No required scientific standard; argues falsification/fabrication not established. | Misconduct includes fabrication, falsification, or publishing false information; publication of false images qualifies. | ALJ reasonably interpreted falsification/fabrication to include publishing false material. |
| Notice | Alleged lack of notice about recklessness standard prejudiced him. | ORI charged 15 instances of knowingly and intentionally publishing false images; notice adequate. | Notice reasonably calculated to apprise and allow objections; no due process violation. |
| Sufficiency of the evidence | Material facts disputed; untimely evidence should be considered. | Court reviews only evidence before decision; untimely evidence not considered; findings supported by record. | ALJ's findings supported by record; summary disposition proper. |
| Present responsibility | ALJ failed to consider mitigating factors; focused on past misconduct. | ALJ considered aggravating/mitigating factors per 42 C.F.R. § 93.408; found seven-year debarment in public interest. | Debarment for seven years upheld; present responsibility properly considered. |
Key Cases Cited
- State Farm Mut. Auto. Ins. Co. v. State Farm, 463 U.S. 29 (U.S. Supreme Court 1983) (arbitrary and capricious standard; requires reasoned agency decision)
- A.E. Staley Mfg. Co. v. Secretary of Labor, 295 F.3d 1341 (D.C. Cir. 2002) (reckless indifference treated as willful misconduct)
- Saba v. Compagnie Nationale Air France, 78 F.3d 664 (D.C. Cir. 1996) (reckless disregard equivalent to willful misconduct)
- Anthony Crane Rental, Inc. v. Reich, 70 F.3d 1298 (D.C. Cir. 1995) (state-of-mind considerations in agency interpretations)
- Textor v. Cheney, 757 F. Supp. 51 (D.D.C. 1991) (preponderance of the evidence standard in debarment proceedings)