“CITUS ET CERTUS” 435th Air Base Wing Discipline & Adverse Actions Kym Tran 435 MSS/DPCS-B DSN:...

“CITUS ET CERTUS”

435th Air Base Wing

Discipline & Adverse Actions

Kym Tran

435 MSS/DPCS-B

DSN: 480-2697

CPMC 2007

2“CITUS ET CERTUS”

Overview

• Regulatory Guidance

• Basic Principles

• Civilian Personnel

• Supervisors

• Non-Disciplinary Actions/Counseling

• Types of Actions

• Mistakes to Avoid

• Common Offenses


Regulatory Guidance

• 5 U.S.C., Chapter 75

• 5 C.F.R., Part 735

• AFI 36-704, Discipline & Adverse Actions (22 Jul 94)

• AFI 36-703, Civilian Conduct & Responsibility (1 Aug 99)

• Joint Ethics Regulation (JER), DoD 5500.7-R


• Appropriate when there has been an identifiable violation

• Rule• Regulation• Procedure

• That is, delinquency or misconduct personally attributable to the employee

Basic Principles


• Objective is to correct unacceptable work-related behavior

• Discipline is a tool used for correcting misconduct – not for improving inadequate performance

• Discipline is justified to correct misconduct that has an adverse effect upon the effectiveness or efficiency of the service

Basic Principles


• Minimum penalty necessary to correct the misconduct

• Discipline should be applied in a progressive manner

• Some misconduct falls outside the general parameters of progressive penalties

• REHABILITATIVE, not punitive

Basic Principles


• Ensure disciplinary action is:• For good cause

• Fair

• Timely

• Consistent with laws, regulations, policy, and past practice

NEVER suggest to the employee to resign orretire to avoid disciplinary action

Basic Principles


• Advise Management of disciplinary actions

• Assure procedural adequacy/merit of all disciplinary actions

• Draft/coordinate disciplinary actions

• Defend disciplinary actions before third party

Civilian Personnel


• Inform the employee of rules

• Document facts/circumstances of incident

• Conduct a pre-action investigation• Gather the facts

• Interview employees & witnesses in private

• Ask for written statements• Include specific details, date, and signature

• Use exact wording and quotes rather than vague statements such as “used offensive language”

Supervisor’s Responsibilities


• Allow employee facing potential discipline opportunity to present his/her version

• Document all information discovered during investigation/fact-finding

• Privacy Act Information



• Q #1: Am I satisfied that the facts clearly indicate the employee knowingly (or carelessly) violated a rule, regulation, law, or order — or committed an offense so obviously wrong that a rule is not necessary?

• Q #2: Have other employees been disciplined for similar infractions in the past?

• Q #3: Is disciplinary action likely to help correct and discourage the misconduct?



• Decide on type of discipline necessary to correct behavior• Rehabilitative – minimum penalty necessary to

correct behavior

• AFI 36-704, Attachment 3• Avoid rigid implementation

• No minimum penalty, except when specified by law or E.O.

• Progressive in Nature• Penalties for subsequent offenses



• Ensure all actions are fair and equitable

• Bear the burden of proof• Preponderance of evidence• Just cause• Appropriateness of penalty

• Coordinate action with Employee Relations Specialist

• Sign/Issue notices of discipline to employee



Non-Disciplinary Actions

• Letters of Counseling, Letters of Warning, or MFRs• Documents employee’s work & conduct deficiencies

• Be specific about problems or weaknesses

• Convey expectations and desired conduct

• Provide assistance or training if available

• Conduct the counseling in a private office (may have management witness present)



• May be used to substantiate disciplinary action if unacceptable conduct continues

• Document on AF Form 971

• Parties initial 971 annotation

• What if employee refuses?

• Counseling before formal discipline is not always required• When should supervisor counsel?



RECOMMENDED COUNSELING APPROACH

• Remain calm / unemotional

• Focus on the behavior, not the individual

• Point out the desired behavior

• End on a positive note


• Oral Admonishment

• Reprimand

• Suspension

• Removal

Types of Actions


DUE PROCESS PROCEDURES

• Investigation & Documentation

• Proposal Letter• Specific charge(s)

• Reply period

• Representation, if desired

• Employee entitled to evidence

Types of Actions - Procedures


DUE PROCESS PROCEDURES

• Decision Letter

• Employee may grieve or appeal the action depending on the action taken



DOUGLAS FACTORS

• 12 decision factors that must be considered prior to taking a disciplinary action

• Must be written for all Reprimands, Suspensions, & Removals

• Must be completed by both the proposing official & again by the deciding official (if they are different individuals) after receiving the employee’s response to the proposed action



ORAL ADMONISHMENT (not listed in AFI 36-704, Attch 3)

• Lowest form of discipline (conduct only)

• Informal (*RAB no specific format) – recommend DPC coordination

• Annotated on AF Form 971

• May be used to substantiate future discipline

• Retain up to 2 years

• May grieveREF: AFI 36-704, paragraph 11

Types of Actions


REPRIMAND

• Significant misconduct, delinquency, or repeated lesser offenses

• Formal, requires DPC coordination

• Proposal may be oral (*RAB)

• Decision must be in writing

• Proposing and Deciding Official are same at *RAB and is usually the first-level supervisor

• Due Process rights

Types of Actions


REPRIMAND

• Annotate 971 Folder

• Decision Letter (& Proposal Letter, if applicable) are placed in 971 Folder

• Placed in OPF (201 File) for 2 years

• Employee may grieve

REF: AFI 36-704, paragraph 12

Types of Actions


SUSPENSION

• Proposal & Decision Letters are required• Douglas Factors

• Due process rights

• Formal, requires DPC & JA coordination

• Results in loss of pay• Adverse Action, regardless of duration

• Employee does not report for work

• Cannot be imposed for indebtedness or performance

Types of Actions


SUSPENSION

• Conduct Only

• Not usually greater than 30 days

• Permanent record in OPF

• Relied upon for 3 years for future action

• 14 Days or Less: Employee may grieve

• More than 14 days: Grieve or *appeal (MSPB)


Types of Actions


REMOVALS (Excluding RIF)

• Most severe disciplinary action

• Due process rights (differs from Probationers)

• 30-day advance notice period

• Minimum 7-day reply period (check local union guidance)

• Proposing Official: 1st-Level Supervisor

• Deciding Official: 2nd-Level Supervisor

• Formal, requires DPC & JA coordination

Types of Actions


REMOVALS (Excluding RIF)

• Conduct or Performance

• Permanent record in OPF

• Employee may grieve or *appeal (MSPB)

• Demotions for misconduct follow same procedures as removal


Types of Actions


• Ignoring unacceptable behavior in hopes that:• No one else will notice

• It will correct itself

• The employee will eventually just go away

• “Saving up” laundry list of occurrences

• Applying rules inconsistently

• Applying penalties inconsistently

Mistakes to Avoid


• Misuse of Government resources (computer)

• GTC abuse / misuse

• Leave-related (tardiness, AWOL, failure to properly request leave, etc.)

• Disregarding directive / failure to comply

• Offensive conduct / language

• Miscellaneous (debt, falsification, safety/security violation, negligence, unauthorized removal, etc.)

• Non-disciplinary Adverse Actions

Common Offenses


• Contact your Employee Relations Specialist

• Investigate, document

• Act in a timely fashion

• Observe procedural requirements

• Goal is to rehabilitate

Summary


Q & A

CIVILIAN PERSONNEL FLIGHTKYM TRAN

435 MSS/DPCS-BDSN: 480-2697

[email protected]

“CITUS ET CERTUS” 435th Air Base Wing Discipline & Adverse Actions Kym Tran 435 MSS/DPCS-B DSN:...

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