table of penalties douglas factors

If an employee is unwilling to even take responsibility for their actions, how can a manager be confident they will be rehabilitated after they are disciplined? Explanation, if relevant: (11) Mitigating circumstances surrounding the offense such as unusual job tensions, personality problems, mental impairment, harassment, or bad faith, malice or provocation on the part of others involved in the matter.Relevant? (See Attachment 1 -Your statement of (DATE) and Attachment 2- Statement of your immediate supervisor of (DATE)). The Douglas factors come from a seminal employment case titled,Douglas v. VeteransAdministration, 5 MSPR 280 (1981). If an offense results in a loss of trust or an employee isnt willing to be accountable for their actions, managers may not be willing to take the chance. Those in positions of higher levels of trust and authority, such as supervisors, are held to a greater level of accountability than those in non-supervisory positions. Misconduct and Discipline | U.S. Department of the Interior Specification #2. However, an employee with no prior disciplinary record, good prior performance and job dedication would probably have good potential for rehabilitation. Explanation, if relevant: 9.Employee Assistance Program Paragraph: All Federal Agencies have EAP programs. what extent, the "Douglas" factors come into play or how egregious the act was. Can an employee take responsibility, correct their behavior and come back to the job? Factor 7: Consistency of the penalty with any applicable agency table of penalties. PDF DOI Department Manual Table of Offenses and Penalties %PDF-1.5 % For this Douglas factor there are a number of ways in which to argue that a reduced penalty would serve the same purpose as something more serious (e.g. Press Briefing by Press Secretary Karine Jean-Pierre Private sector cases are drastically different. Did the employee have access to a handbook that detailed proper procedure and policy? PDF The Douglas Factors - Energy The .gov means its official. ELLU attorneys assist managers and human resource personnel in analyzing misconduct andconsideringappropriate discipline and adverse actions, in reviewing related proposals and decision letters, and defending the agency in appeals challenging adverse actions. Douglas Factors - Postal Reporter If an employee was experiencing stressful situations such as a mental health issue, divorce or a death in the family that contributed to the offense, they may present those and ask for leniency. consistency of the penalty with any applicable agency table of penalties; (8) the notoriety of the offense or its impact upon the . 280, 302 (1981). Additionally, this factor looks at intent. PDF Nasa Desk Guide for Table of Disciplinary Offenses and Penalties Such cases call into question an employees ability to perform their specific job duties with integrity. Factor 9: The clarity with which the employee was on notice of any rules that were violated in committing the offense, or had been warned about the conduct in question. 2 It cannot be doubted, and no one disputes, that the Civil Service Commission was vested with and exercised authority to mitigate penalties imposed by employing agencies. The national media picked the story up, and it was very detrimental to the agency. Yes___ No____The notoriety of an offense or its impact on the reputation on the Agency is usually directly related to the seriousness of the misconduct and/or prominence of the employee's position. If you are a federal manager reading this article, it will help you understand the kind of analysis you should be engaging inwhen you apply the 12 Douglas Factors to the specific facts of a discipline case. Did management send out a memo clarifying rules? Information provided is for educational purposes only, please consult with a licensed attorney before taking any action. For example, if an employee has no past disciplinary record, factor #3 doesnt hurt the employee, and can actually become a mitigating factor. What if I do not agree with managements analysisof a specific Douglas Factor? Important things to consider for this factor are how long you have been employed by the federal government generally, and your agency specifically (if you were previously in the armed forces or worked for another civilian agency). It is important to support this Douglas factor with significant documentary evidence (e.g., copies of performance records, letters of commendation, positive letters about performance by supervisors or members of the public, cash or performance awards, declarations or affidavits of supervisors). Guidelines for determining appropriate penalties 2 - 3, page 8 Additional considerations 2 - 4, page 8 Chapter 3 Table of Offenses and Penalties Guidance, page 9 General 3 - 1, page 9 Offense column 3 - 2, page 9 Penalty column 3 - 3, page 9 Appendixes A. References, page 18 B. 1999). In cases of federal employee misconduct, each of these factors must be considered by those who are tasked with determining an appropriate penalty. Explanation, if relevant: (10) Potential for the employee's rehabilitation.Relevant? For example, a federal agency may attempt to use the particular position that a federal employee holds (e.g., high-level supervisorsuch as Senior Executive Service [SES]) or type of position (e.g., law enforcement) as an aggravating factor. Consistency of the penalty is shorthand for: is the action we are taking in your case the same or similar to other cases with similar facts. Yes___ No____If the particular offense at issue is not in the guide, you should review the guide for similar, related offenses. PDF Douglas Factors * in deciding disciplinary punishment of federal - AELE You will be notified in writing of the final decision. endobj % Tables of Penalties are guidelines that work in conjunction with the criteria supervisors use to determine appropriate penalties for misconduct, called the Douglas Factors.1 They do not specify mandatory discipline.2 Tables of Penalties also do not apply to contractors, and each agency has discretion as to which employees the Table will apply. To some extent, this is a subjective question. These factors are the following: 1. . This factor is generally an afterthought for both management and employees. Explanation, if relevant: (5) The effect of the offense upon the employee's ability to perform at a satisfactory level and its effect upon supervisors' confidence in the employee's ability to perform assigned duties. For example, an allegation of dishonesty would be treated . In some instances this may mean pointing out points of analysis or facts to management if they are unaware. Note. In contrast, an employee with multiple priorcases of discipline is likely to face a much greater amount of discipline owing to that factor alone. As these factors play a key role in disciplinary cases, understanding how they work can help implement fair and effective penalties. This factor is generally used for purposes of mitigation unless an employee has a past similar disciplinary action. 1 What every federal employee facing discipline should be familiar with: The Douglas Factors. The result will turn on the specifics of your case and the procedural posture as well. It is often the case that a federal employee has been charged with a violation of agency rules but has not been properly trained with respect to these rules or regulations. The first Douglas factor, nature and seriousness of the offense, generally refers to the connection between the seriousness of the allegation and the position that an individual federal employee holds. Factor 10: Potential for the employees rehabilitation. See, e.g., Semans v. Department of the Interior, 62 M.S.P.R. Relevant? 2015). 7 Douglas v. Veterans Administration, 5 M.S.P.R. Relevant? Your unauthorized absence cannot be tolerated because Agency supervisors, managers must be able to plan your work and rely on you to be available. Your absence delayed the submission of (Specify) report which was due on the date you failed to report to work. These 12 factors play a key role in the outcome of federal employee discipline cases. Explanation, if relevant: (3) The employee's past disciplinary record.Relevant? The range of penalties described in the Table is intended to serve as a guide to discipline, not a rigid standard, and deviations are allowable for a variety of reasons. But you know one of your colleagues has recently missed a deadline of similar importance and was only issued a letter of reprimand. Factor 1: The nature and seriousness of the offense, and its relation to the employees duties, position, and responsibilities, including whether the offense was intentional or technical or inadvertent, or was committed maliciously or for gain, or was frequently repeated. In theory, discipline should be both corrective and progressive. Generally, the ranges of penalties are fairly broad (e.g., Letter of Reprimand to Proposed Removal). Conversely, aggravating factors are those that suggest the discipline be sustained or even increased. MSPB decision. Lets sayyou are facing a long suspension for showing up late to work for a long period of time because you are a recovering alcoholic and fell off the wagon for a few months. -What kind of recovery can I get in my discrimination case? This has often been considered one of the most important Douglas factors by the MSPB. Suite 305 -Guide to discrimination law and the EEOC, -Federalemployee's guide discipline cases and the MSPB, -What every federal employee should know - The Douglas Factors. If you are looking for a representative, note that we are not taking on any cases at this time. Another example would be an employee who holds a position as a clerk where they regularly handle money deposited by the public and are responsible for balancing small accounts. The Federal Starr arms federal employees with the wisdom and insight to successfully navigate their career, create stability for themselves and their family, and continue on their mission to serve the public. h[M+}LX,? In 1981, the Douglas vs. Veterans Administration (5 MSPR 280) case laid out 12 criteria now known as the Douglas Factors that the U.S. Postal Service v. Gregory, 534 U.S. 1, 5 (2001) (noting that the agency bears the burden of proving its charge by a preponderance of the evidence and that, [u]nder the Boards settled procedures, this requires proving not only that the misconduct actually occurred, but also that the penalty assessed was reasonable in relation to it); Lachance v. Devall, 178 F.3d 1246, 1256 (Fed. If you can present concrete and credible evidence of such mitigating factors, it will go a long way to helping your cause. Determining the Penalty - United States Merit Systems Protection Board Sometimes management may misapply factors, or misconstrue them. %PDF-1.6 % However, despite the importance of these criteria, many employees arent familiar with them. Under the sixth Factor, the workers should receive similar penalties, rather than one getting fired and one receiving a written warning. In some instances, however, an employees misconduct will be so severe its obvious they cant be rehabilitated and brought back on the job. Reston, VA 20190. Discipline can range from letters of reprimand to short suspensions. Nor can it be doubted that the federal courts have regarded that authority as properly within the Commissions power. Douglas v. Veterans Administration, 5 M.S.P.R. 4 Archuleta v. Hopper, 786 F.3d 1340, 1352 (Fed. A good example of negative notoriety are the recent cases involving Secret Service Agents that hiredescorts in South America. 2012) (internal citations and punctuation omitted). This factor is listed last because this consideration should occur after a thorough analysis of all the other Douglas Factors. 2 0 obj After reading this guide, if you want to read further on the topic of federal employee discipline, you mayfind our guide toMSPB and discipline cases helpful. Employees who can appeal an adverse action to the Board have constitutional due process rights. You should not list a factor unless it is relevant. Employees should have access to these tables, and managers should use these parameters as a guide when imposing discipline. Stewarding Conservation and Powering Our Future, Toggle Dyslexia-friendly black-on-creme color scheme. Yes___ No____How well informed an employee was of the rule that was violated is a factor that may have to be considered in determining the penalty. 13.Receipt Certification: If hand-delivered: Sample: Please sign the acknowledgement of receipt below. The notoriety of the offense or its impact upon the reputation of the Agency; 9 . Do not deny the existence of bad facts. Many agencies have tables of penalties and offenses that list common offenses and their typical discipline ranges. Reprimand Removal 14 days Removal Removal Alcohol and Drug Related 23. PDF The Douglas Factors - United States Office of Personnel Management 1X-dr{ydhJZ*5?wZ?k-pmM\*smd!4[36i7V|h@n If you want you can download and read the fullDouglas v. V.A. Whether you use two charges in this case will depend upon the evidence available. Explanation, if relevant: (6) Consistency of the penalty with those imposed upon other employees for the same or similar offenses. Cir. PDF Douglas Factors - AFGE A Table of Penalties is a list of . Just knowing the rules, however, cant fully protect you if a case should arise. We are all human, we all make mistakes, how you handle those mistakes speaks volumes about your character. Sample 2: You have the right to review the material relied on to support this proposed removal. This is because it puts you on notice of the penalties which is factor #9, below. The Table provides for more serious penalties for . While some federal agencies attempt to use this Douglas factor in an effort to attempt to increase a federal employees disciplinary penalty, we have found that this factor is extremely helpful for purposes of a reduction in the employees penalty. This Douglas factor tends to be a general mitigation factor that can incorporate many different types of arguments for mitigating a penalty. PDF Civilian Personnel Disciplinary and Adverse Actions - United States Army Do you need a table of penalties in OPM? Once you have a few key factors you should try to collect any supporting evidence that may be helpful, like doctors notes, proof of counseling sessions, etc. (Use sample 1). Managers must also consider the scope of the misconduct in the context of an employees position and job duties. This means that when evaluating the seriousness of an offense, a manager must consider whether the misconduct was intentional, inadvertent or the result of negligence. These factors are used to argue that disciplinary charges for federal employees, even if true, should still result in a lower penalty than the one proposed.

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