In many cases, managers act as deciding officials in discipline cases. The final Douglas Factor asks both manager and employee to consider alternative penalties. hmo0 U6S!)Mh~wP`B|)ZAp!= xCKno:Phj-bXJbAw,,M]KO2]fka8c iGusuOIt XG.2o*XYa&5'0>lw,Utr;(}s]6rqGp_g5>G7eucOL_>& The Douglas Factors: Disciplining employees is a fact of life. removal). It is important that you really highlightthefactors that are in your favor. 10 Ward v. U.S. The Federal Starr is a publication by Starr Wright USA. Relevant? The site is secure. All other penalty determinations should undergo thorough reasoning under the Douglas Factors. After waiting at least 30 days from the issuance of the proposal notice, a deciding official will issue a decision letter either sustaining the charges and penalty, or reducing the penalty. The thrust of this factor is that the more prominent the position, or more trust and power you hold in the position, the more seriously the agency is going to view any misconduct you engage in. Alcohol-related: (1) Unauthorized possession of alcoholic beverages while on VA premises. 72 0 obj <>stream Don't force misconduct into a listed offense unless it accurately fits. Please designate your representative, if any, by name, address, position, and employer in a signed statement, and forward that statement to (Deciding Official's Name) at the above stated address, before the expiration of the reply period. Factor 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. Factor: Notoriety and impact 3. Usually, the root cause of different treatment in terms of disciplinary penalties tends to be favoritism by the Agency between different federal employees. Managers must take an employees propensity for rehabilitation into account. { v v _ lv lv lv Y Y S{ d lv lv lv 9w 9w 9w 9w d= BB 1 BB Proposed Disciplinary/Adverse Action Worksheet 1.DATE: (OF PROPOSAL MEMORANDUM) TO: (NAME), (POSITION) FROM: (NAME), (ORGANIZATIONAL TITLE) Must be signed by Proposing Official2.SUBJECT: Notice of Proposed (SUSPENSION OF (#) DAYS, CHANGE TO LOWER GRADE, REMOVAL)3.Paragraph Purpose of the Memorandum Sample: This is notice that I propose that you be (suspended for XX days, changed to lower grade, removed from your position and from Federal service) no earlier than 30 days from your receipt of this notice. Sample: If you need assistance in dealing with any personal matters, the Employee Assistance Program (EAP) is available to provide confidential counseling services. 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). Factor 10: Potential for the employees rehabilitation. Factor 7: "Consistency of the penalty with any applicable agency table of penalties" . Did the employee have access to a handbook that detailed proper procedure and policy? Explanation, if relevant: (2) The employee's job level and type of employment, including supervisory or fiduciary role, contacts with the public, and prominence of the position. . . As these factors play a key role in disciplinary cases, understanding how they work can help implement fair and effective penalties. Other times, when there are medical issues related to the offense we can use this argument to attempt to mitigate the proposed penalty. This factor lends itself most to employees arguing for leniency in their case. [_S>,o)ZyfL_{*4^BOoss%U'jYM^>Ydw%>=z+l'?@_+S]6EO+<=_)^;/ycCwhiE[qsA[]~w_}xxwo~y3boK&rVkOk [6#e|:. However, an employee with no prior disciplinary record, good prior performance and job dedication would probably have good potential for rehabilitation. Spending the money upfront on representation at your oral-reply,could save you from spending thousands of dollars fighting your case at the Merit Systems Protection Board. When our firm prepares an appeal to the MSPB for a client or in a case before a deciding official at the proposal stage it is important to set forth any and all mitigating factors that might be applicable to a federal employees case. 4.Charge: (Alleged misconduct - the reason the action is being proposed) Samples: Charge: Unauthorized Absence(Number of offense if applicable) or Charge: Unauthorized Absence Third Offense 5.Specification(s): The facts and evidence that establish the misconduct charged took place. If you can present concrete and credible evidence of such mitigating factors, it will go a long way to helping your cause. 7513, the agency must notify the employee of the factors it will consider regarding the penalty and provide the employee with the opportunity to respond.9 As explained in our article, Agency Officials Substantive and Procedural Errors and How to Fix Them, because this is a matter of constitutional due process rights, an agencys failure to provide notice and a meaningful opportunity to respond regarding the penalty is a violation of the employees substantive rights. 5 Douglas v. Veterans Administration, 5 M.S.P.R. 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. 13.Receipt Certification: If hand-delivered: Sample: Please sign the acknowledgement of receipt below. This article covers the Douglas Factors. 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 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. Generally, however, this Douglas factor is argued for the purposes of arguing for a less severe penalty. hb```f``2c`a`,c`@ r, ^Ma Additionally, you have the right to pick a representative of your choosing should you not have union assistance available to you, or you wish to hire a different a representative. And even if the circumstances surrounding the misconduct incident may be substantially similar, the penalty imposed may be different based upon an independent evaluation of the other Douglas Factors. The national media picked the story up, and it was very detrimental to the agency. The first Douglas Factor examines how the level of misconduct relates to an employees particular duties, as well as if the offense was committed intentionally. Did management send out a memo clarifying rules? Knowing what managers are looking for will aid your oral reply presentation, and could be what saves you your job with the federal government. This factor is one of the least significant of the Douglas Factors and is usually considered as aggravating. Additionally statements from managers or co-workers as to your ability and integrity will be helpful. While not used that often by federal agencies in their final decisions, this Douglas factor can and should be argued in significant disciplinary cases (e.g., proposed removals or significant suspension cases). NOTE: Penalty depends on such factors as provocation, extent of any injuries, and whether actions were defensive or offensive in nature. It reduces maximum penalties for offenses like murders and other homicides; armed armed home invasion burglaries; armed armed carjackings, as I mentioned; armed robberies; unlawful gun . Postal Service, 634 F.3d 1274, 1279 (Fed. Factor 5: The effect of the offense upon the employees ability to perform at a satisfactory level and its effect upon supervisors confidence in the employees ability to perform assigned duties. There are certain standards of behavior and conduct expected of employees by our external and internal customers. The Douglas factors are also referred to as mitigating factors. 280 (1981). ?Y9"0t@_, l 3bNC+ sj2 *+2UjBu^sW6\ r However, despite the importance of these criteria, many employees arent familiar with them. Or in another case, if an employee has continued to work in their position over the course of a long period of time after the allegations are under investigation, this shows that the Agency continues to have trust in the employee and that the employee has continued to perform well despite the initial allegation. Do they have a positive track record? 280, 302 (1981). Your unauthorized absence cannot be tolerated because Agency supervisors, managers must be able to plan your work and rely on you to be available. A supervisor cannot just say it; he/she has to prove it. Managers should also take into account past service in the armed forces or other government employment, as well as positive reviews from past supervisors or co-workers. 14.CC:s CCs always include the deciding official and may include a human resources office official and/or legal counsel in accordance with your Agencys practice.CC: PAGE PAGE 9 / 0 1 2 3 ? If you wish to explore legal representation, please call our office or use this form to inquire about our consultation process. The notoriety of the offense or its impact upon the reputation of the Agency; 9 . !%7K81E8zi. By contrast, the Douglas Factors are well known by managers becausethey have to reference and articulate how those factors interplay with the specifics of every disciplinarycase they preside over. Consideration may be given to extending this time limit if you submit a written request stating your reasons for needing more time. The reason(s) for this action is (are) specified below. Additionally, the Board cannot review the reasonableness of a penalty that is set by law.

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