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“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
3“CITUS ET CERTUS”
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
4“CITUS ET CERTUS”
• Appropriate when there has been an identifiable violation
• Rule• Regulation• Procedure
• That is, delinquency or misconduct personally attributable to the employee
Basic Principles
5“CITUS ET CERTUS”
• 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
6“CITUS ET CERTUS”
• 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
7“CITUS ET CERTUS”
• 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
8“CITUS ET CERTUS”
• 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
9“CITUS ET CERTUS”
• 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
10“CITUS ET CERTUS”
• Allow employee facing potential discipline opportunity to present his/her version
• Document all information discovered during investigation/fact-finding
• Privacy Act Information
Supervisor’s Responsibilities
11“CITUS ET CERTUS”
• 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?
Supervisor’s Responsibilities
12“CITUS ET CERTUS”
• 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
Supervisor’s Responsibilities
13“CITUS ET CERTUS”
• 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
Supervisor’s Responsibilities
14“CITUS ET CERTUS”
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)
15“CITUS ET CERTUS”
Non-Disciplinary Actions
• 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?
16“CITUS ET CERTUS”
Non-Disciplinary Actions
RECOMMENDED COUNSELING APPROACH
• Remain calm / unemotional
• Focus on the behavior, not the individual
• Point out the desired behavior
• End on a positive note
18“CITUS ET CERTUS”
DUE PROCESS PROCEDURES
• Investigation & Documentation
• Proposal Letter• Specific charge(s)
• Reply period
• Representation, if desired
• Employee entitled to evidence
Types of Actions - Procedures
19“CITUS ET CERTUS”
DUE PROCESS PROCEDURES
• Decision Letter
• Employee may grieve or appeal the action depending on the action taken
Types of Actions - Procedures
20“CITUS ET CERTUS”
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
Types of Actions - Procedures
21“CITUS ET CERTUS”
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
22“CITUS ET CERTUS”
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
23“CITUS ET CERTUS”
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
24“CITUS ET CERTUS”
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
25“CITUS ET CERTUS”
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)
REF: AFI 36-704, paragraph 13
Types of Actions
26“CITUS ET CERTUS”
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
27“CITUS ET CERTUS”
REMOVALS (Excluding RIF)
• Conduct or Performance
• Permanent record in OPF
• Employee may grieve or *appeal (MSPB)
• Demotions for misconduct follow same procedures as removal
REF: AFI 36-704, paragraph 14
Types of Actions
28“CITUS ET CERTUS”
• 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
29“CITUS ET CERTUS”
• 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
30“CITUS ET CERTUS”
• Contact your Employee Relations Specialist
• Investigate, document
• Act in a timely fashion
• Observe procedural requirements
• Goal is to rehabilitate
Summary
31“CITUS ET CERTUS”
Q & A
CIVILIAN PERSONNEL FLIGHTKYM TRAN
435 MSS/DPCS-BDSN: 480-2697