RD Instruction 2045-GG

PART 2045 - GENERAL

Subpart GG -- Disciplinary and Adverse Actions, Performance-Based
Actions, and Probationary Terminations

## [Table of Contents]{.underline}

[Sec]{.underline}. [Page]{.underline}

2045.1601 General Provisions. 1

2045.1602 Definitions. 2

2045.1603 Policy. 3

2045.1604 Types of Actions and Processing Procedures. 4

> \(a\) Disciplinary Actions. 4
>
> \(b\) Adverse Actions. 7

(c) Performance-Based Actions (5 CFR Part 432). 10

> \(d\) Probationary Terminations. 11

2045.1605 Determining the Appropriate Action. 12

2045.1606 Delegations of Authority. 12

2045.1607 Delegation Exceptions. 16

2045.1608 Delivery of Proposal and Decision Letters. 16

2045.1609 File Maintenance. 16

Exhibits A - Title 5, Parts 432 & 752 Requirements

B -- Title 5, Part 315 Requirements

C -- Sample Disciplinary and Adverse Action Letters

D -- Douglas Factors

E -- Table of Disciplinary Penalties of

DPM Chapter 751 - Discipline

F -- National Office Delegations Chart

G - State Office Delegations Chart

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RD Instruction 2045-GG

PART 2045 -- GENERAL PROVISIONS

Subpart GG -- Disciplinary and Adverse Actions, Performance-Based
Actions, and Probationary Terminations

§ 2045.1601 [General Provisions]{.underline}.

\(a\) This establishes the principal Rural Development directive for (1)
taking disciplinary and adverse actions; (2) taking performance-based
actions; and (3) terminating probationary employees. Additional
requirements may be provided for in collective bargaining agreements
(CBA). Refer to this Instruction in conjunction with any governing CBA
prior to taking any of the actions specified above. CBA requirements may
be more specialized than those reflected below; when this occurs, CBA
provisions supersede this Instruction. For the purpose of this
Instruction, the term disciplinary action refers to less severe actions
used to correct generally minor inappropriate behavior and conduct. The
term adverse action refers to more severe actions used to address
serious infractions or performance-related actions taken under Title 5,
part 752, of the Code of Federal Regulations.

\(b\) Part 752 requirements are contained in Section § 2045.1604 and

Exhibit A of this Instruction, and in Title 5, Parts 432 and 752
Requirements.

\(c\) Performance-based actions may be taken using either the procedures
set forth in 5 CFR Part 432 or 5 CFR Part 752. These requirements are
contained in Section §2045.1604 and Exhibit A of this Instruction.

\(d\) Probationary terminations can only be taken using the procedures
established in 5 CFR Part 315, Subpart H. These requirements are also
contained in Exhibit B of this Instruction.

\(e\) The purpose of disciplinary and adverse actions (misconduct or
performance-based) is to maintain efficiency, morale, and productivity.
These measures will only be imposed when Agency management establishes
that employees have violated governing laws, instructions, rules, and
other applicable guidance, as well as when an employee is performing at
an unacceptable level. Disciplinary and adverse actions must be
administered fairly; all employees must be provided an opportunity to
provide their account of any incident which may subject them to
disciplinary and/or adverse action. Penalties must be reasonable and
consistent with what has been done in the same or similar cases.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

DISTRIBUTION: WSAL Personnel

General

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RD Instruction 2045-GG

§ 2045.1601 (Con.)

\(f\) A list of positions delegated authority to administer disciplinary
and adverse actions is contained in Section §2045.1606 and Exhibits F
and G of this Instruction.

\(g\) Progressive disciplinary and performance measures should be used,
whenever feasible, prior to taking formal disciplinary or adverse
actions to ensure that disciplinary and adverse actions are
proportionate to the offense or unacceptable performance.

\(h\) Disciplinary and adverse actions may be taken for misconduct or
unacceptable job performance.

§ 2045.1602 [Definitions.]{.underline}

\(a\) Day means a calendar day.

\(b\) Furlough means the placing of an employee in a temporary status
without duties and pay because of lack of work, funds, or other
nondisciplinary reasons.

\(c\) Reduction in grade and pay means a change to a lower grade and a
decrease in pay as a result of misconduct and/or unacceptable
performance.

\(d\) Disciplinary action means less severe actions used to correct
generally minor inappropriate behavior and conduct.

\(e\) Adverse action means more severe actions taken under Title 5, Part
752, of the Code of Federal Regulations.

\(f\) Removal means a permanent involuntary separation of an employee
from the Agency for misconduct and/or unacceptable performance.

\(g\) Reprimand is a formal written warning notice which may or may not
become a permanent part of an employee's disciplinary or adverse action
file.

\(h\) Suspension means the placing of an employee, for misconduct
reasons, in a temporary status without duties and pay.

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RD Instruction 2045-GG

§ 2045.1602 (Con.)

\(i\) Misconduct means failure to comply with a law, rule, regulation,
instruction, order, or requirement.

\(j\) Progressive discipline means administering the minimum action
thought necessary to correct the misconduct, and with each subsequent
infraction the corrective action may be enhanced. For example, if the
employee was previously issued a letter of reprimand and engaged in
additional misconduct, it may be necessary to impose more severe action,
such as a suspension, for the second offense.

\(k\) Acceptable performance means performance that meets an employee's
performance requirement(s) or standard(s) at a level of performance
above "unacceptable" or "does not meet" in the critical element(s) at
issue.

\(l\) Unacceptable performance means performance that does not meet one
or more of the critical element(s) contained within the Performance Work
Plan. For example, the employee has not met time constraints,
quantities, and/or quality requirements.

\(m\) Critical element means a work assignment of such importance that
unacceptable performance on the element would result in a determination
that an employee's overall performance is unacceptable. All elements in
the pass/fail rating system are critical.

§ 2045.1603 [Policy.]{.underline}

Supervisors are responsible for ensuring that Rural Development
employees comply with laws, regulations, instructions, policies, and
other guidance governing Rural Development. They must ensure that
employees' conduct is acceptable for the workplace, and that they are
performing at an acceptable level. When an employee's conduct warrants
corrective measures, they must be administered in accordance with the
provisions set forth in this Instruction. Disciplinary actions will be
taken against employees for sufficient cause. Adverse actions will be
taken only for such cause as will promote the efficiency of the service.
Rural Development\'s policy is to administer progressive discipline,
whenever possible. Informal measures will be used at a minimum for minor
infractions, particularly for first offenders. More serious or
repetitive misconduct or performance problems may require more severe
action. In some instances, progressive discipline will not be feasible.
First offenders who engage in egregious misconduct may be subject to
removal for first offenses. Supervisors will administer the provisions
of this

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RD Instruction 2045-GG

§ 2045.1603 (Con.)

Instruction in a fair and consistent manner; like penalties will
generally be imposed for like or similar offenses. Performance-based
adverse actions will be equitable and consistent, and based upon
unacceptable performance in the position.

§ 2045.1604 [Types of Actions and Processing Procedures]{.underline}.

\(a\) [Disciplinary Actions]{.underline}. The objective of discipline is
to correct inappropriate behavior or conduct, motivate employees to
conform to acceptable standards of conduct, and preclude future
infractions. Disciplinary actions are divided into two categories: (1)
informal and (2) formal. Informal discipline consists of oral and
written counseling. Written reprimands are categorized as formal
discipline.

\(1\) Informal discipline includes:

\(i\) Oral counseling - Verbal exchange between the supervisor and
employee, generally initiated for first-time offenders. Prior to the
discussion, the supervisor may prepare a talking paper listing the main
points to be shared during the counseling. Immediately following the
session, the supervisor should prepare and keep a brief summary of the
discussion points. A copy does not have to be given to the employee. A
verbal exchange between the employee and the supervisor will probably be
perceived as less threatening than a written document.

\(ii\) Written counseling - Normally begins with a verbal exchange
between the supervisor and employee. This is not a requirement, but a
recommended idea. It is generally initiated after an oral counseling has
failed to induce the appropriate behavior or conduct. However, it may be
initiated the first time an employee commits an infraction. The
supervisor may also want to prepare a talking paper. The difference is
that the supervisor will prepare a written document and provide it to
the employee. The document may be provided to the employee before or
after the counseling session, but it usually is preferable to prepare
the document after the session, because the supervisor then can include
relevant employee input.

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RD Instruction 2045-GG

§ 2045.1604(a)(1)(ii) (Con.)

\(A\) Oral or written counseling should at a minimum include a:

([1]{.underline}) clear definition of the specific infraction or
inappropriate behavior or conduct displayed. For example: **"An employee
that is not on approved leave, does not report to work, and does not
call the supervisor to request leave, is considered Absent Without Leave
(AWOL)."**

([2]{.underline}) description of the circumstances in detail providing:
nature of the violation; date; time; witnesses; location; any applicable
rules, regulations, policies, procedures, or CBAs that were violated;
and the consequences associated with the current infraction. For
example: **"On Wednesday, January 2, 2002, you did not report to duty or
call to request leave for your absence. Your absence was in violation of
Article II, Section 8 of the Labor Management Agreement (LMA) between
Rural Development and Local 12AB. The LMA requires employees to request
leave from their supervisors or someone in their management chain within
2 hours of their scheduled reporting time. Your scheduled arrival time
is 7:00 a.m.; therefore, you should have called in by 9:00 a.m. However,
you did not contact me or leave a message for me. I arrived at work at
6:30 a.m., the earliest authorized reporting time. I also questioned
other managers within your management chain (*state their names and
titles)* as to whether you had contacted them. They all stated that they
had not spoken with you, or received any messages. Since your absence
was in violation of established leave procedures and, therefore,
unauthorized, I charged you AWOL for your absence."**

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§ 2045.1604(a)(1)(ii)(A) (Con.)

([3]{.underline}) description of the required improvement. For example:
**"In the future, if you desire to use unscheduled leave, on the morning
of the projected absence, you should contact me or (***your designee***)
to request leave immediately, but no later than 9:00 a.m. If you are
unable to make the call, someone acting on your behalf should make the
call. Whenever possible, you must personally call in. If someone else
makes the call, you must have a valid reason for not making it
yourself."**

\(4\) Statement(s) regarding the consequences of future infractions. For
example: **"I encourage you to follow established leave procedures. Any
future AWOL charges may lead to formal disciplinary action, which may
include reprimand, suspension, or removal."**

\(2\) Formal discipline (official letters of reprimand.) Reprimands are
more severe than counseling in that they are maintained in the Official
Personnel Folder and can be used to enhance penalties if future
misconduct should occur. Reprimands are generally issued after informal
disciplinary measures have been exhausted; however, they may be issued
for a first offense depending upon the misconduct. An employee to whom
an official reprimand is being issued is entitled to:

\(i\) written notice stating the specific reasons for the reprimand and
containing sufficient details for the employee to understand what
misconduct or deficiency underlies the reprimand, and why the misconduct
or performance deficiency is unacceptable;

\(ii\) notice that more severe disciplinary action may be taken for
future misconduct or performance deficiencies;

\(iii\) a copy of any supporting documentation or evidence relied upon
for the reprimand or information about where the employee may review the
evidence;

\(iv\) a right to have the reprimand reviewed under the applicable
grievance or complaint procedures, including the relevant time limit and
official to contact;

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RD Instruction 2045-GG

§ 2045.1604(a)(2) (Con.)

\(v\) a statement that the reprimand will be maintained in the
employee's Official Personnel Folder (OPF) for a specified period of
time, not to exceed 2 years. (A shorter period is allowable.)

\(b\) [Adverse Actions]{.underline}. Adverse actions are more severe
disciplinary measures and are taken for such cause as will promote the
efficiency of the service. They are divided into two categories: 1)
Suspensions for 14 days or less taken under Title 5, Part 752, Subparts
A and B; and 2) Suspensions for more than 14 days, removal, reduction in
grade or pay, or furlough for 30 days or less taken under Title 5, Part
752, Subparts C and D.

\(1\) An employee against whom a suspension for 14 days or less is
proposed is entitled to:

\(i\) a written proposal containing the following:

\(1\) specific reasons for the proposed suspension, with sufficient
details for the employee to understand what misconduct or deficiency
Rural Development relied upon to support the reasons for the action;

\(2\) an explanation as to why the misconduct or performance deficiency
is unacceptable; and

\(3\) the employee's right to respond orally and in writing within days
of receiving the proposal. The employee shall be given a reasonable
length of time to answer, but not less than 24 hours;

\(4\) the right to furnish affidavits and other documentary evidence in
support of the reply;

\(5\) the right to be represented by an attorney or other
representative. Rural Development may disallow as an employee's
representative an individual whose activities as a representative would
cause a conflict of interest or position, or an employee of the agency
whose release from his or her official position would give rise to
unreasonable costs or whose priority work assignments preclude his or
her release; and

\(6\) the right to review the material relied on to support the reasons
for the action;

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§ 2045.1604(b)(1) (Con.)

\(ii\) a written decision. The deciding official will consider only the
reasons specified in the proposal notice, supporting evidence, prior
discipline, and the employee and representative's responses when
rendering a decision. The Agency cannot consider any reasons for the
action that were not included in the proposal. The decision shall be
delivered on or before the effective date of the action;

\(iii\) grievance rights. Employees may file grievances through the
administrative or negotiated grievance systems, whichever is applicable.
An employee in an exclusive bargaining unit may file a grievance only
under the negotiated system; and

\(iv\) agency records. The employing office shall maintain copies of the
action and furnish them upon request by the employee and/or his
representative. The employee must designate the representative in
writing, including the individual's name, address, and phone number, to
the deciding official.

\(2\) An employee against whom a suspension for more than 14 days,
removal, reduction in grade or pay, or furlough of 30 days or less, is
proposed is entitled to:

\(i\) 30 days advance written notice (proposal) containing the following
(If the Agency has reasonable cause to believe that the employee has
committed a crime for which a sentence of imprisonment may be imposed,
the notice period may be curtailed to not less than 7 days):

\(1\) specific reasons for the proposed suspension, with sufficient
details for the employee to understand what misconduct or deficiency
Rural Development relied upon to support the reasons for the action;

\(2\) an explanation as to why the misconduct or performance deficiency
is unacceptable;

\(3\) the employee's right to respond orally and in writing. The
employee shall be given a reasonable length of time to answer but not
less than 7 days;

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RD Instruction 2045-GG

§ 2045.1604(b) (Con.)

\(4\) the right to furnish affidavits and other documentary evidence in
support of the reply;

\(5\) the right to be represented by an attorney or other
representative. Rural Development may disallow as an employee's
representative an individual whose activities as a representative would
cause a conflict of interest or position, or an employee of the agency
whose release from his or her official position would give rise to
unreasonable costs or whose priority work assignments preclude his or
her release; and

\(6\) the right to review the material relied on to support the reasons
for the action.

\(ii\) a written decision. The deciding official will consider prior
discipline, the reasons specified in the proposal notice, supporting
evidence, and the employee and representative's responses when rendering
a decision. The agency cannot consider any reasons for the action that
were not included in the proposal. The decision shall be delivered on or
before the effective date of the action.

\(iii\) appeal rights to the Merit Systems Protection Board (MSPB) or
grievance rights. Rural Development employees covered by labor
management agreements are bound by the terms of the agreement. The
agreement may require the employee to use the negotiated grievance
procedure, file an appeal with MSPB, or choose one forum or the other.
Employees cannot file a grievance and an appeal on the same issue.

\(iv\) agency records. The employing office shall maintain copies of the
action and furnish them upon request by the employee and/or his
representative. The employee must designate the representative in
writing, including the individual's name, address, and phone number, to
the deciding official.

\(3\) Sample adverse action letters are contained in Exhibit C.

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§ 2045.1604 (Con.)

\(c\) [Performance-Based Actions (5 CFR Part 432)]{.underline}. This
applies to the reduction in grade or removal of employees based solely
upon unacceptable performance.

\(1\) Employees must be provided a reasonable opportunity to demonstrate
acceptable performance for each critical element being performed at an
unacceptable level prior to initiating adverse action.

\(2\) A proposed action may only be based on unacceptable performance
occurring within a one-year period, commencing on the date of the
improvement period and ending on the date of the notice of proposed
action. An employee against whom a Part 432 adverse action is proposed
is entitled to:

\(i\) a 30-day advance notice (proposal) identifying the specific
instances of unacceptable performance (i.e. case names, type of report,
etc.) and the critical element(s) that the employee is performing
unacceptably;

\(ii\) reasonable time to answer the proposal notice orally and/or in
writing;

\(iii\) to be represented by an attorney or other representative;

\(iv\) the opportunity to present medical documentation, if an employee
believes that it contributed to the unacceptable performance;

\(v\) a final written decision no later than 30 days after expiration of
the advance notice period. The deciding official must be in a position
higher than that of the proposing official. The deciding official must
consider the employee and representative's responses in arriving at a
decision. The decision shall be provided to the employee on or before
the effective date, and shall inform the employee of the applicable
appeal, and/or grievance rights;

\(vi\) agency records. The employing office shall maintain copies of the
action and furnish them upon request by the employee and/or his
representative. The employee must designate the representative in
writing, including the individual's name, address, and phone number, to
the deciding official.

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RD Instruction 2045-GG

§ 2045.1604(c) (Con.)

\(3\) Sample performance-based actions are contained in Exhibit C.

\(d\) [Probationary Terminations]{.underline}. This applies to the
termination of probationary employees and employees serving trial
periods. These types of terminations are divided into two categories and
have different requirements. The categories are (1) terminations for
unsatisfactory performance and/or conduct and (2) terminations based
upon adverse conditions arising before the appointment.

\(1\) Employees terminated based upon unsatisfactory performance or
conduct are entitled to:

\(i\) written notice stating the reasons for the termination; and

\(ii\) the effective date of the termination. (Probation ends when the
employee completes the scheduled tour of duty on the day before the
anniversary date of the appointment. For example, when the last workday
is a Friday and the anniversary date is the following Monday, the
employee must be separated before the end of the tour on duty on Friday.
This is the last day the employee would have had to demonstrate fitness
for duty.)

\(2\) Employees terminated based in whole or in part upon conditions
arising before appointment are entitled to:

\(i\) advance written notice of the proposed termination action stating
the reasons in detail;

\(ii\) a reasonable time to file a written answer to the proposal and
for furnishing affidavits in support of the answer;

\(iii\) a written decision as soon as practical, but in all cases prior
to the effective date. The decision will include the consideration that
the supervisor gave to the employee's response, the reasons for the
action, and appeal rights to the MSPB.

\(3\) Sample probationary terminations are contained in Exhibit C.

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§ 2045.1605 [Determining the Appropriate Action]{.underline}.

Generally, third parties (e.g., EEOC, MSPB or arbitrators) do not view
removal as an appropriate penalty for offenders engaging in occasional
minor infractions or for first time offenders, unless the misconduct is
egregious. The information below should be considered prior to selecting
a penalty.

> \(a\) The 12 factors, referred to as the Douglas Factors, annotated in
> Amendment No. 230 of DPM Chapter 751, subject: Appendix A--USDA Guide
> for Disciplinary Penalties. A copy of the Douglas Factors is also
> contained in Exhibit D.

\(b\) The USDA Guide for Disciplinary Penalties should be used to
achieve a reasonable degree of uniformity in the imposition of adverse
action penalties. A copy of the Table is contained in Exhibit E.

\(c\) State and St. Louis supervisors must submit all disciplinary and
adverse actions to the Field Services Branch for review prior to issuing
them to employees. National Office supervisors in Washington, DC, must
contact the Headquarters Personnel Services Branch.

> []{.mark}

§ 2045.1606 [Delegations of Authority]{.underline}.

\(a\) Generally, the Under Secretary is delegated authority for
disciplinary actions (counseling and Letters of Reprimand), adverse
actions (suspensions, removals, reductions in pay or grade), and
probationary terminations within Rural Development. The Under Secretary
has redelegated much of this authority to: (1) Administrators (2) the
Deputy Administrator for Operations and Management (DAOM); (3) the
Assistant Administrator for Human Resources (AAHR); (4) State Directors
(SD) for employees within their chain of command; (5) the Chief
Financial Officer (CFO); (6) the Deputy Chief Financial Officer (DCFO);
(7) the Chief Information Officer (CIO); (8) the Deputy Chief
Information Officer; (9) the Director of Property and Supply Management
Division (DPSMD); and (10) the Director of the Centralized Servicing
Center (CSC) as reflected below. These individuals have further
redelegated much of their authority to supervisors within their chain of
command. See delegation charts in Exhibits F and G.

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> RD Instruction 2045--GG

§ 2045.1606(a) (Con.)

\(1\) The DAOM has been redelegated authority for:

\(i\) counseling employees;

\(ii\) issuing reprimands;

\(iii\) proposing and deciding suspensions of 14 days or less;

\(iv\) proposing and deciding suspensions of more than 14 days,
removals, and reductions in grade or pay;

\(v\) proposing and deciding terminations during the probationary or
trial period;

\(vi\) reviewing and analyzing employees' written and/or oral replies;
and

\(vii\) redelegating the foregoing responsibilities to supervisors
within his/her chain of command. The DAOM renders the decision for all
actions, except for suspensions of 14 days or less and terminations
during probation that require no proposal because they are based on
current performance or conduct.

\(2\) The AAHR has been redelegated authority for:

\(i\) counseling employees;

\(ii\) issuing reprimands;

\(iii\) proposing and/or deciding suspensions of 14 days or less;

\(iv\) proposing suspensions of more than 14 days, removals, and
reductions in grade or pay;

\(v\) proposing terminations during the probationary or trial period
when the reason is based in whole or in part on conditions arising
before the employee's appointment;

\(vi\) terminating employees during the probationary or trial period
when the termination is based on current conduct or performance;

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§ 2045.1606(a)(2) (Con.)

\(vii\) reviewing and analyzing employees' written and/or oral replies;
and

\(viii\) redelegating the foregoing responsibilities to supervisors
within his/her chain of command.

\(3\) SDs have been redelegated authority for:

\(i\) counseling employees;

\(ii\) issuing reprimands;

\(iii\) proposing and/or deciding suspensions of 14 days or less;

\(iv\) proposing suspensions of more than 14 days, removals, and
reductions in grade or pay;

\(v\) proposing terminations during the probationary or trial period
when the reason is based in whole or in part on conditions arising
before the employee's appointment;

\(vi\) terminating employees during the probationary or trial

period when the termination is based on current conduct or performance;

\(vii\) reviewing and analyzing employees' written and/or oral replies;
and

\(viii\) redelegating the foregoing responsibilities to supervisors
within their chain of command.

\(4\) The CFO, DCFO, CIO, DCIO, and DPSMD have been redelegated
authority for:

\(i\) counseling employees;

\(ii\) issuing reprimands;

\(iii\) proposing and/or deciding suspensions of 14 days or less;

## 14

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> RD Instruction 2045--GG

§ 2045.1606(a)(4) (Con.)

\(iv\) proposing suspensions of more than 14 days, removals, and
reductions in grade or pay;

\(v\) proposing terminations during the probationary or trial period
when the reason is based in whole or in part on conditions arising
before the employee's appointment;

\(vi\) terminating employees during the probationary or trial period
when the termination is based on current conduct or performance;

\(vii\) reviewing and analyzing employees' written and/or oral replies;
and

\(viii\) redelegating the foregoing responsibilities to supervisors
within their chain of command.

\(5\) The Director of CSC has been redelegated authority for:

\(i\) counseling employees;

\(ii\) issuing reprimands;

\(iii\) proposing and/or deciding suspensions of 14 days or less;

\(iv\) proposing suspensions of more than 14 days, removals, and
reductions in grade or pay;

\(v\) proposing terminations during the probationary or trial period
when the reason is based in whole or in part on conditions arising
before the employee's appointment;

\(vi\) terminating employees during the probationary or trial

period when the termination is based on current conduct or performance;

\(vii\) reviewing and analyzing employees' written and/or oral replies;
and

\(viii\) redelegating the foregoing responsibilities to supervisors
within their chain of command.

\(b\) Delegations of Authority Charts are contained in Exhibits F and G.

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§ 2045.1607 [Delegation Exceptions]{.underline}.

The officials listed in section §2045.1606 do not have the authority to
administer discipline or take adverse actions when the actions involve:

> \(a\) State Directors, Senior Executive Service employees, and
> Schedule C employees. The Director, Office of Human Resources
> Management (DOHRM), USDA, has been delegated authority to take action
> against these employees.
>
> \(b\) Also, the DOHRM will issue written concurrence on disciplinary
> or corrective action taken for cases where there is a finding of
> discrimination made in a Final Agency Decision, Administrative Law
> Judge and Administrative Judge decision, or court order.

[]{.mark}

§ 2045.1608 [Delivery of Proposals and Decision Letters]{.underline}.

\(a\) All information will be provided to the employee in person,
whenever possible. Employees will be requested to sign and date copies
of proposals and decision letters. This serves as an acknowledgment of
receipt, not agreement with the contents. If employees refuse to sign
the letters, the delivery person will sign and date documents,
acknowledging that delivery was successful and that the employee refused
to sign.

\(b\) When employees are unavailable for face-to-face delivery, the
letters should be forwarded to employees as follows: (1) certified
mail/return receipt or overnight delivery and (2) regular mail.

§ 2045.1609 [File Maintenance]{.underline}.

Copies of adverse actions, including supporting documentation (proposal,
employee's reply, summary of the oral conference, and the decision
letter), shall be maintained by the employing office. Copies of adverse
actions in the states shall be maintained by the Field Services Branch.
Copies shall be furnished to the employee and/or his/her representative
upon request.

Attachments: Exhibits A, B, C, D, E, F, G

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RD Instruction 2045-GG

Exhibit A

Page 1

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| **  | 1\. Removal. | 1\. Suspension.  | Suspension  | 1\. Removal.  |
| Act |              |                  | for 14 days |               |
| ion | 2\.          | 2\. Removal.     | or less.    | 2\.           |
| C   | Demotion.    |                  |             | Suspensions   |
| ove |              | 3\. Demotion.    |             | over 14 days. |
| rag |              |                  |             |               |
| e** |              |                  |             | 3\. Reduction |
|     |              |                  |             | in grade or   |
|     |              |                  |             | pay.          |
|     |              |                  |             |               |
|     |              |                  |             | 4\. Furlough  |
|     |              |                  |             | of 30 days or |
|     |              |                  |             | less.         |
+-----+--------------+------------------+-------------+---------------+
| *   | 1\. Action   | 1\. Action is    | Action is   | Action is     |
| *Ba | is taken for | taken for "such  | taken for   | taken for     |
| sis | performance  | cause as will    | "such cause | "such cause   |
| for | which fails  | promote the      | as will     | as will       |
| Ac  | to meet      | efficiency of    | promote the | promote the   |
| tio | (            | the service."    | efficiency  | efficiency of |
| n** | unacceptable |                  | of the      | the service." |
|     | performance) | NOTE: Adverse    | service."   | For example,  |
|     | performance  | action promotes  |             | if an agency  |
|     | standards    | the efficiency   |             | removes an    |
|     | for one or   | of the service   |             | employee for  |
|     | more         | when the grounds |             | notoriously   |
|     | established  | for it relate to |             | disgraceful   |
|     | critical     | either the       |             | conduct, the  |
|     | elements.    | employee's       |             | agency can    |
|     |              | ability to       |             | establish     |
|     | 2\. Actions  | accomplish       |             | that the      |
|     | can only be  | his/her job      |             | action        |
|     | based upon   | duties           |             | promotes the  |
|     | the          | satisfactorily   |             | efficiency of |
|     | employee's   | or to some other |             | the service   |
|     | established  | legitimate       |             | by showing    |
|     | formal       | government       |             | that the      |
|     | performance  | interest.        |             | agency lost   |
|     | standards    |                  |             | confidence in |
|     | that the     |                  |             | the           |
|     | supervisor   |                  |             | appellant's   |
|     | has          |                  |             | honesty and   |
|     | communicated |                  |             | integrity as  |
|     | to the       |                  |             | a result of   |
|     | employee.    |                  |             | the           |
|     |              |                  |             | misconduct.   |
|     | 3\. Employee |                  |             |               |
|     | must be      |                  |             |               |
|     | provided an  |                  |             |               |
|     | improvement  |                  |             |               |
|     | period.      |                  |             |               |
+-----+--------------+------------------+-------------+---------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit A

Page 2

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| *   |              | 2\. Actions can  |             |               |
| *Ba |              | be based upon    |             |               |
| sis |              | the supervisor's |             |               |
| for |              | expectations for |             |               |
| Act |              | the employee in  |             |               |
| ion |              | the position or  |             |               |
| (c  |              | established      |             |               |
| on. |              | formal           |             |               |
| )** |              | performance      |             |               |
|     |              | standards.       |             |               |
|     |              |                  |             |               |
|     |              | 3\. No           |             |               |
|     |              | requirement for  |             |               |
|     |              | an improvement   |             |               |
|     |              | period. However, |             |               |
|     |              | it is encouraged |             |               |
|     |              | and the          |             |               |
|     |              | preferred        |             |               |
|     |              | method.          |             |               |
+-----+--------------+------------------+-------------+---------------+
| **  | 1\. The      | The agency shall | 1\. The     | 1\. The       |
| Not | agency shall | provide a 30-day | agency      | agency shall  |
| ice | provide a    | advance written  | shall       | provide a     |
| of  | 30-day       | notice           | provide an  | 30-day        |
| Pr  | advance      | (proposal).      | advance     | advance       |
| opo | written      |                  | written     | written       |
| sed | notice       |                  | notice      | notice        |
| Ac  | (proposal).  |                  | (proposal). | (proposal).   |
| tio |              |                  |             |               |
| n** | 2\. Normally |                  | 2\. No time | 2\. A shorter |
|     | an agency    |                  | limit for   | notice may be |
|     | may extend   |                  | including   | given for     |
|     | the notice   |                  | incide      | emergency     |
|     | period for a |                  | nt/charges. | suspensions.  |
|     | period not   |                  |             |               |
|     | to exceed 30 |                  |             | 3\. A shorter |
|     | days under   |                  |             | notice may be |
|     | its          |                  |             | given if the  |
|     | regulations. |                  |             | "crime        |
|     |              |                  |             | provision" is |
|     | \(a\) Any    |                  |             | invoked.      |
|     | additional   |                  |             |               |
|     | extensions   |                  |             |               |
|     | must be      |                  |             |               |
|     | approved in  |                  |             |               |
|     | advance by   |                  |             |               |
|     | the Office   |                  |             |               |
|     | of Personnel |                  |             |               |
|     | Management   |                  |             |               |
|     | (OPM).       |                  |             |               |
+-----+--------------+------------------+-------------+---------------+

RD Instruction 2045-GG

Exhibit A

Page 3

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| **  | \(b\) An     |                  |             |               |
| Not | agency may   |                  |             |               |
| ice | extend the   |                  |             |               |
| of  | notice       |                  |             |               |
| Pr  | period       |                  |             |               |
| opo | beyond 30    |                  |             |               |
| sed | days without |                  |             |               |
| Act | OPM approval |                  |             |               |
| ion | if the       |                  |             |               |
| (c  | following    |                  |             |               |
| on. | applies: 1)  |                  |             |               |
| )** | the employee |                  |             |               |
|     | is obtaining |                  |             |               |
|     | medical      |                  |             |               |
|     | information; |                  |             |               |
|     | 2) the       |                  |             |               |
|     | employee or  |                  |             |               |
|     | deciding     |                  |             |               |
|     | official     |                  |             |               |
|     | needs travel |                  |             |               |
|     | time to      |                  |             |               |
|     | attend the   |                  |             |               |
|     | oral         |                  |             |               |
|     | conference;  |                  |             |               |
|     | 3)           |                  |             |               |
|     | additional   |                  |             |               |
|     | time is      |                  |             |               |
|     | needed to    |                  |             |               |
|     | consider the |                  |             |               |
|     | employee's   |                  |             |               |
|     | reply; 4) to |                  |             |               |
|     | consider     |                  |             |               |
|     | reasonable   |                  |             |               |
|     | a            |                  |             |               |
|     | ccommodation |                  |             |               |
|     | of a         |                  |             |               |
|     | handicapping |                  |             |               |
|     | condition;   |                  |             |               |
|     | 5) to        |                  |             |               |
|     | consider     |                  |             |               |
|     | positions to |                  |             |               |
|     | reassign the |                  |             |               |
|     | employee to; |                  |             |               |
|     | 6) to comply |                  |             |               |
|     | with a stay  |                  |             |               |
|     | ordered by   |                  |             |               |
|     | the Merit    |                  |             |               |
|     | Systems      |                  |             |               |
|     | Protection   |                  |             |               |
|     | Board        |                  |             |               |
|     | (MSPB).      |                  |             |               |
+-----+--------------+------------------+-------------+---------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit A

Page 4

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| **C | The proposal | The proposal     | The         | The proposal  |
| ont | must         | must state:      | proposal    | must state:   |
| ent | identify:    |                  | must state: |               |
| of  |              | 1\. The specific |             | 1\. The       |
| P   | 1\. The      | reasons          | 1\. The     | specific      |
| rop | specific     | (instances of    | specific    | reasons for   |
| osa | instances of | unacceptable     | reasons for | the proposed  |
| l** | unacceptable | performance) for | the         | action.       |
|     | performance. | the proposed     | proposed    |               |
|     |              | action.          | action.     | 2\. The       |
|     | 2\. Critical |                  |             | employee's    |
|     | elements of  | 2\. Critical     | 2\. The     | right to      |
|     | the          | elements of the  | employee's  | respond       |
|     | employee's   | employee's       | right to    | orally and/or |
|     | position     | position         | respond     | in writing.   |
|     | involved in  | involved in each | orally      |               |
|     | each         | instance of      | and/or in   | 3\. The       |
|     | instance of  | unacceptable     | writing.    | employee's    |
|     | unacceptable | performance.     |             | right to      |
|     | performance. |                  | 3\. The     | review the    |
|     |              | 3\. The          | employee's  | material on   |
|     | 3\.          | employee's right | right to    | which the     |
|     | Unacceptable | to respond       | review the  | proposal was  |
|     | performance  | orally and/or in | material on | based.        |
|     | that         | writing.         | which the   |               |
|     | occurred     |                  | proposal    |               |
|     | within a     | 4\. The          | was based.  |               |
|     | 1-year       | employee's right |             |               |
|     | period       | to review the    |             |               |
|     | ending on    | material on      |             |               |
|     | the date of  | which the        |             |               |
|     | the notice   | proposal was     |             |               |
|     | of proposed  | based.           |             |               |
|     | action.      |                  |             |               |
|     |              |                  |             |               |
|     | 4\. The      |                  |             |               |
|     | employee's   |                  |             |               |
|     | right to     |                  |             |               |
|     | respond      |                  |             |               |
|     | orally       |                  |             |               |
|     | and/or in    |                  |             |               |
|     | writing.     |                  |             |               |
|     |              |                  |             |               |
|     | 5\. The      |                  |             |               |
|     | employee's   |                  |             |               |
|     | right to     |                  |             |               |
|     | review the   |                  |             |               |
|     | material on  |                  |             |               |
|     | which the    |                  |             |               |
|     | proposal was |                  |             |               |
|     | based.       |                  |             |               |
+-----+--------------+------------------+-------------+---------------+

RD Instruction 2045-GG

Exhibit A

Page 5

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| *   | 1\. The      | 1\. The employee | 1\. The     | 1\. The       |
| *Em | employee is  | is entitled to   | employee is | employee is   |
| plo | entitled to  | be represented   | entitled to | entitled to   |
| yee | be           | by an attorney   | be          | be            |
| Re  | represented  | or other         | represented | represented   |
| pre | by an        | representative.  | by an       | by an         |
| sen | attorney or  |                  | attorney or | attorney or   |
| -ta | other        | 2\. The agency   | other       | other         |
| tio | rep          | may disallow the | repr        | re            |
| n** | resentative. | employee's       | esentative. | presentative. |
|     |              | choice on basis  |             |               |
|     | 2\. The      | of:              | 2\. The     | 2\. The       |
|     | agency may   |                  | agency may  | agency may    |
|     | disallow the | \(a\) conflict   | disallow    | disallow the  |
|     | employee's   | of interest or   | the         | employee's    |
|     | choice on    | position.        | employee's  | choice on     |
|     | basis of:    |                  | choice on   | basis of:     |
|     |              | \(b\) priority   | basis of:   |               |
|     | \(a\)        | needs of the     |             | \(a\)         |
|     | conflict of  | Government.      | \(a\)       | conflict of   |
|     | interest or  |                  | conflict of | interest or   |
|     | position.    | \(c\)            | interest or | position.     |
|     |              | unreasonable     | position.   |               |
|     | \(b\)        | costs to the     |             | \(b\)         |
|     | priority     | Government.      | \(b\)       | priority      |
|     | needs of the |                  | priority    | needs of the  |
|     | Government.  |                  | needs of    | Government.   |
|     |              |                  | the         |               |
|     | \(c\)        |                  | Government. | \(c\)         |
|     | unreasonable |                  |             | unreasonable  |
|     | costs to the |                  | \(c\)       | costs to the  |
|     | Government.  |                  | u           | Government.   |
|     |              |                  | nreasonable |               |
|     |              |                  | costs to    |               |
|     |              |                  | the         |               |
|     |              |                  | Government. |               |
+-----+--------------+------------------+-------------+---------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit A

Page 6

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| *   | 1\. The      | 1\. The employee | 1\. The     | 1\. The       |
| *Em | employee is  | is entitled to a | employee is | employee is   |
| plo | entitled to  | reasonable time  | entitled to | entitled to a |
| yee | a reasonable | to respond, but  | a           | reasonable    |
| R   | time to      | not less than 7  | reasonable  | time to       |
| esp | respond to   | days.            | time to     | respond, but  |
| ons | the          |                  | respond,    | not less than |
| e** | proposal,    | 2\. The employee | but not     | 7 days.       |
|     | but not less | may furnish      | less than   |               |
|     | than 7 days. | affidavits and   | 24 hours.   | 2\. The       |
|     |              | other            |             | employee may  |
|     | 2\. The      | documentary      | 2\. The     | furnish       |
|     | employee may | evidence.        | employee    | affidavits    |
|     | furnish      |                  | may furnish | and other     |
|     | affidavits   | 3\. The          | affidavits  | documentary   |
|     | and other    | employee's       | and other   | evidence.     |
|     | documentary  | response, when   | documentary |               |
|     | evidence.    | in writing, and  | evidence.   | 3\. The       |
|     |              | a summary of any |             | answer, when  |
|     | 3\. The      | oral response    | 3\. The     | in writing,   |
|     | employee's   | are to be made a | employee's  | and a summary |
|     | response,    | part of the      | response,   | of any oral   |
|     | when in      | record.          | when in     | response are  |
|     | writing, and |                  | writing,    | to be made a  |
|     | a summary of |                  | and a       | part of the   |
|     | any oral     |                  | summary of  | record.       |
|     | response are |                  | any oral    |               |
|     | to be made a |                  | response    | 4\. The       |
|     | part of the  |                  | are to be   | deciding      |
|     | record.      |                  | made a part | official may  |
|     |              |                  | of the      | designate an  |
|     |              |                  | record.     | official to   |
|     |              |                  |             | hear the      |
|     |              |                  |             | employee's    |
|     |              |                  |             | response who  |
|     |              |                  |             | has authority |
|     |              |                  |             | to recommend  |
|     |              |                  |             | a final       |
|     |              |                  |             | decision.     |
+-----+--------------+------------------+-------------+---------------+

RD Instruction 2045-GG

Exhibit A

Page 7

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| **  | The deciding | The deciding     | The         | The deciding  |
| Mit | official may | official may     | deciding    | official may  |
| iga | mitigate,    | mitigate,        | official    | mitigate,     |
| tio | sustain, or  | sustain, or      | may         | sustain, or   |
| n** | reverse the  | reverse the      | mitigate,   | reverse the   |
|     | action.      | action.          | sustain, or | action.       |
|     |              |                  | reverse the |               |
|     |              |                  | action.     |               |
+-----+--------------+------------------+-------------+---------------+
| **  | 1\. A        | 1\. A written    | 1\. A       | 1\. A written |
| Not | decision to  | decision should  | written     | decision      |
| ice | reduce in    | be provided to   | decision    | should be     |
| of  | grade or     | the employee at  | should be   | provided to   |
| D   | remove may   | the earliest     | provided to | the employee  |
| eci | be made only | practical date.  | the         | at the        |
| sio | after the    |                  | employee at | earliest      |
| n** | employee has | 2\. The decision | the         | practical     |
|     | had an       | should be        | earliest    | date.         |
|     | opportunity  | delivered to the | practical   |               |
|     | to           | employee at or   | date.       | 2\. The       |
|     | demonstrate  | before the time  |             | decision      |
|     | acceptable   | the action will  | 2\. The     | should be     |
|     | performance. | be effective.    | decision    | delivered to  |
|     |              |                  | should be   | the employee  |
|     | 2\. A        | 3\. The decision | delivered   | at or before  |
|     | written      | should state the | to the      | the time the  |
|     | decision     | specific         | employee at | action will   |
|     | should be    | instances of     | or before   | be effective. |
|     | issued       | unacceptable     | the time    |               |
|     | within 30    | performance upon | the action  | 3\. The       |
|     | days after   | which the action | will be     | decision      |
|     | the date of  | is based (which  | effective.  | should state  |
|     | expiration   | were also        |             | the specific  |
|     | of the       | specified in the | 3\. The     | reasons       |
|     | notice       | notice of        | decision    | relied upon   |
|     | period.      | proposed         | should      | (which were   |
|     |              | action).         | state the   | also          |
|     | 3\. The      |                  | specific    | specified in  |
|     | decision     | 4\. The decision | reasons     | the notice of |
|     | should       | must inform the  | relied upon | proposed      |
|     | specify the  | employee of      | (which were | action.)      |
|     | instances of | applicable       | also        |               |
|     | unacceptable | appeal/grievance | specified   | 4\. The       |
|     | performance  | rights.          | in the      | decision must |
|     | on which the |                  | notice of   | inform the    |
|     | action is    |                  | proposed    | employee of   |
|     | based (which |                  | action.)    | applicable    |
|     | were also    |                  |             | app           |
|     | specified in |                  | 4\. The     | eal/grievance |
|     | the notice   |                  | decision    | rights.       |
|     | of proposed  |                  | must inform |               |
|     | action).     |                  | the         |               |
|     |              |                  | employee of |               |
|     |              |                  | applicable  |               |
|     |              |                  | appea       |               |
|     |              |                  | l/grievance |               |
|     |              |                  | rights.     |               |
+-----+--------------+------------------+-------------+---------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit A

Page 8

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| **  | 4\. The      | 5\. The decision |             | 5\. The       |
| Not | decision to  | must be          |             | decision must |
| ice | remove or    | concurred in by  |             | be concurred  |
| of  | demote the   | an agency        |             | in by an      |
| De  | employee may | official that is |             | agency        |
| cis | be based     | in a higher      |             | official that |
| ion | only on      | position than    |             | is in a       |
| (c  | those        | the individual   |             | higher        |
| on. | instances of | who proposed the |             | position than |
| )** | unacceptable | action, unless   |             | the           |
|     | performance  | it was proposed  |             | individual    |
|     | that         | by the head of   |             | who proposed  |
|     | occurred     | the agency.      |             | the action,   |
|     | during the   |                  |             | unless it was |
|     | 1-year       |                  |             | proposed by   |
|     | period       |                  |             | the head of   |
|     | ending on    |                  |             | the agency.   |
|     | the date of  |                  |             |               |
|     | issuance of  |                  |             |               |
|     | the notice   |                  |             |               |
|     | (proposal).  |                  |             |               |
|     |              |                  |             |               |
|     | 5\. The      |                  |             |               |
|     | decision     |                  |             |               |
|     | must be      |                  |             |               |
|     | issued on or |                  |             |               |
|     | before the   |                  |             |               |
|     | effective    |                  |             |               |
|     | date.        |                  |             |               |
|     |              |                  |             |               |
|     | 6\. The      |                  |             |               |
|     | decision     |                  |             |               |
|     | must inform  |                  |             |               |
|     | employee of  |                  |             |               |
|     | applicable   |                  |             |               |
|     | appe         |                  |             |               |
|     | al/grievance |                  |             |               |
|     | rights.      |                  |             |               |
|     |              |                  |             |               |
|     | 7\. The      |                  |             |               |
|     | decision     |                  |             |               |
|     | must be      |                  |             |               |
|     | concurred in |                  |             |               |
|     | by an agency |                  |             |               |
|     | official     |                  |             |               |
|     | that is in a |                  |             |               |
|     | higher       |                  |             |               |
|     | position     |                  |             |               |
|     | than the     |                  |             |               |
|     | individual   |                  |             |               |
|     | who proposed |                  |             |               |
|     | the action,  |                  |             |               |
|     | unless it    |                  |             |               |
|     | was proposed |                  |             |               |
|     | by the head  |                  |             |               |
|     | of the       |                  |             |               |
|     | agency.      |                  |             |               |
+-----+--------------+------------------+-------------+---------------+

RD Instruction 2045-GG

Exhibit A

Page 9

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| **  | 1\. A        | 1\. A            | 1\.         | 1\. A         |
| App | no           | non-bargaining   | Employees   | n             |
| eal | n-bargaining | unit employee    | may grieve  | on-bargaining |
| and | unit         | who has been     | the action  | unit employee |
| Gri | employee who | demoted or       | under the   | who has been  |
| eva | has been     | removed may      | appropriate | suspended     |
| nce | demoted or   | appeal to the    | grievance   | beyond 14     |
| Ri  | removed may  | MSPB.            | system:     | days,         |
| ght | appeal to    |                  |             | demoted, or   |
| s** | MSPB.        | 2\. A bargaining | \(a\)       | removed may   |
|     |              | unit employee is | agency      | appeal to the |
|     | 2\. A        | bound by the     | adm         | Merit Systems |
|     | bargaining   | terms of the     | inistrative | Protection    |
|     | unit         | collective       | grievance   | Board (MSPB). |
|     | employee is  | bargaining       | system.     |               |
|     | bound by the | agreement. The   |             | 2\. A         |
|     | terms of the | agreement may    | \(b\)       | bargaining    |
|     | collective   | require the      | negotiated  | unit employee |
|     | bargaining   | employee to use  | grievance   | is bound by   |
|     | agreement.   | the negotiated   | system.     | the terms of  |
|     | The          | procedure, file  |             | the           |
|     | agreement    | an MSPB appeal,  |             | collective    |
|     | may require  | or choose one or |             | bargaining    |
|     | the employee | the other.       |             | agreement.    |
|     | to use the   |                  |             | The agreement |
|     | negotiated   |                  |             | may require   |
|     | procedure,   |                  |             | the employee  |
|     | file an MSPB |                  |             | to use the    |
|     | appeal, or   |                  |             | negotiated    |
|     | choose one   |                  |             | procedure,    |
|     | or the       |                  |             | file an MSPB  |
|     | other.       |                  |             | appeal, or    |
|     |              |                  |             | choose one or |
|     |              |                  |             | the other.    |
+-----+--------------+------------------+-------------+---------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit A

Page 10

**Title 5 Parts 432 and 752 Requirements**

+-----+--------------+------------------+-------------+---------------+
|     | **           | **UNACCEPTABLE   | **ADVERSE   | **ADVERSE     |
|     | UNACCEPTABLE | PERFORMANCE**    | ACTION**    | ACTION**      |
|     | P            |                  |             |               |
|     | ERFORMANCE** | **PART 752**     | **PART      | **PART 752,** |
|     |              |                  | 752,**      |               |
|     | **PART 432** |                  |             | **SUBPARTS    |
|     |              |                  | **SUBPARTS  | C&D**         |
|     |              |                  | A&B**       |               |
+-----+--------------+------------------+-------------+---------------+
| *   | Upon appeal, | The action must  | Not         | Upon appeal,  |
| *St | the action   | be proven by a   | addressed   | the action    |
| and | must be      | "preponderance   | in law or   | must be       |
| ard | supported by | of the evidence" | regulation. | supported by  |
| of  | substantial  | (higher standard |             | a             |
| P   | evidence     | than part 432).  |             | preponderance |
| roo | (lower       |                  |             | of the        |
| f** | standard     |                  |             | evidence.     |
|     | than part    |                  |             |               |
|     | 752).        |                  |             |               |
+-----+--------------+------------------+-------------+---------------+
| **  | 1\. The      | The agency shall | The agency  | The agency    |
| Age | agency shall | maintain copies  | shall       | shall         |
| ncy | maintain     | of all           | maintain    | maintain      |
| Rec | copies of    | documentation    | copies of   | copies of all |
| ord | all relevant | relating to the  | all         | documentation |
| s** | d            | action,          | do          | relating to   |
|     | ocumentation | including:       | cumentation | the action,   |
|     | relating to  |                  | relating to | including:    |
|     | the removal  | \(a\) proposal,  | the         |               |
|     | or demotion, |                  | suspension, | \(a\)         |
|     | including a  | \(b\) employee's | including:  | proposal,     |
|     | copy of:     | written          |             |               |
|     |              | response,        | \(a\)       | \(b\)         |
|     | \(a\)        |                  | proposal,   | employee's    |
|     | proposal,    | \(c\) oral reply |             | written       |
|     |              | summary,         | \(b\)       | response,     |
|     | \(b\)        |                  | employee's  |               |
|     | employee's   | \(d\) decision   | written     | \(c\) oral    |
|     | written      | letter,          | response,   | reply         |
|     | response,    |                  |             | summary,      |
|     |              | \(e\) supporting | \(c\) oral  |               |
|     | \(c\) oral   | material, and    | reply       | \(d\)         |
|     | reply        |                  | summary,    | decision      |
|     | summary,     | \(f\) any        |             | letter,       |
|     |              | documentation    | \(d\)       |               |
|     | \(d\)        | effecting an     | decision    | \(e\)         |
|     | decision     | action under     | letter,     | supporting    |
|     | letter,      | this subpart.    |             | material, and |
|     |              |                  | \(e\)       |               |
|     | \(e\)        |                  | supporting  | \(f\) any     |
|     | supporting   |                  | material,   | documentation |
|     | material,    |                  | and         | effecting an  |
|     | and          |                  |             | action under  |
|     |              |                  | \(f\) any   | this subpart. |
|     | \(f\)        |                  | do          |               |
|     | d            |                  | cumentation |               |
|     | ocumentation |                  | effecting   |               |
|     | regarding    |                  | the         |               |
|     | opportunity  |                  | suspension. |               |
|     | afforded     |                  |             |               |
|     | employee to  |                  |             |               |
|     | demonstrate  |                  |             |               |
|     | acceptable   |                  |             |               |
|     | performance. |                  |             |               |
+-----+--------------+------------------+-------------+---------------+

oOo

RD Instruction 2045-GG

Exhibit B

Page 1

**Title 5 Part 315 Requirements**

+--------+-------------------------------------------------------------+
| #####  | -   Probationary Terminations for unsatisfactory            |
|        |     performance or conduct.                                 |
| ###    |                                                             |
| ## Act | ```{=html}                                                  |
| ion co | <!-- -->                                                    |
| verage | ```                                                         |
|        | -   Probationary Terminations for conditions arising before |
|        |     appointment.                                            |
+--------+-------------------------------------------------------------+
| #####  | -   Action is taken when current performance and/or conduct |
|        |     of probationary/trial employees fail to demonstrate     |
| ####   |     their fitness or qualifications for continued           |
| # Basi |     employment.                                             |
| s for  |                                                             |
| action | -   Action is taken when conditions arising prior to the    |
|        |     appointment of probationary/trial employees warrant the |
|        |     termination.                                            |
+--------+-------------------------------------------------------------+
| **     | -   The agency shall notify the employee in writing.        |
| Notice |                                                             |
| for    | -   Proposals and decision letters are not issued for these |
| termin |     types of probationary terminations. Employees only      |
| ations |     receive a notice.                                       |
| based  |                                                             |
| upon   |                                                             |
| c      |                                                             |
| urrent |                                                             |
| perfo  |                                                             |
| rmance |                                                             |
| and/or |                                                             |
| con    |                                                             |
| duct** |                                                             |
+--------+-------------------------------------------------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit B

Page 2

**Title 5 Part 315 Requirements**

+--------+-------------------------------------------------------------+
| **Pr   | -   The employee is entitled to an advance written notice   |
| oposal |     (proposal).                                             |
| notice |                                                             |
| for    | -   Proposals are only issued when terminations are based   |
| termin |     in whole or in part on conditions arising before the    |
| ations |     employee's appointment.                                 |
| based  |                                                             |
| upon   |                                                             |
| cond   |                                                             |
| itions |                                                             |
| a      |                                                             |
| rising |                                                             |
| prior  |                                                             |
| to     |                                                             |
| empl   |                                                             |
| oyees' |                                                             |
| a      |                                                             |
| ppoint |                                                             |
| ment** |                                                             |
+--------+-------------------------------------------------------------+
| **C    | -   The agency shall specify the reasons for the            |
| ontent |     termination and the effective date.                     |
| of     |                                                             |
| w      | -   The information in the notice shall, at a minimum,      |
| ritten |     consist of the agency's conclusions as to the           |
| notice |     performance or conduct inadequacies.                    |
| for    |                                                             |
| termin |                                                             |
| ations |                                                             |
| based  |                                                             |
| upon   |                                                             |
| c      |                                                             |
| urrent |                                                             |
| perfo  |                                                             |
| rmance |                                                             |
| and/or |                                                             |
| con    |                                                             |
| duct** |                                                             |
+--------+-------------------------------------------------------------+
| **C    | The proposal must:                                          |
| ontent |                                                             |
| of     | -   State the specific reasons for the proposed action.     |
| pr     |                                                             |
| oposal | -   Provide a detailed account of the conditions arising    |
| notice |     before the employee's appointment that serve as the     |
| for    |     basis for the termination.                              |
| termin |                                                             |
| ations | -   Give the employee a reasonable amount of time to reply  |
| based  |     to the charges (usually no less than 7 days.)           |
| upon   |                                                             |
| cond   |                                                             |
| itions |                                                             |
| a      |                                                             |
| rising |                                                             |
| prior  |                                                             |
| to     |                                                             |
| empl   |                                                             |
| oyees' |                                                             |
| a      |                                                             |
| ppoint |                                                             |
| ment** |                                                             |
+--------+-------------------------------------------------------------+

RD Instruction 2045-GG

Exhibit B

Page 3

**Title 5 Part 315 Requirements**

+--------+-------------------------------------------------------------+
| **     | -   Notify the employee of the decision as early as         |
| Notice |     practicable.                                            |
| of     |                                                             |
| a      | -   A written decision should be delivered to the employee  |
| dverse |     on or before the effective date.                        |
| de     |                                                             |
| cision | -   The decision should also specify the reasons for the    |
| for    |     action.                                                 |
| termin |                                                             |
| ations | -   The decision must inform the employee of his/her        |
| based  |     limited Merit Systems Protection Board (MSPB) appeal    |
| upon   |     rights and EEO complaint rights.                        |
| cond   |                                                             |
| itions | -   The decision must be concurred in by an agency official |
| a      |     that is in a higher position than the proposing         |
| rising |     official, unless the head of the agency proposed the    |
| prior  |     action.                                                 |
| to     |                                                             |
| empl   |                                                             |
| oyees' |                                                             |
| a      |                                                             |
| ppoint |                                                             |
| ment** |                                                             |
+--------+-------------------------------------------------------------+
| **     | -   Employees terminated based upon misconduct or           |
| Probat |     performance during their probationary period may only   |
| ionary |     appeal to MSPB if:                                      |
| and**  |                                                             |
|        | > a\. They claim discrimination based upon partisan         |
| *      | > political reasons or marital status; or                   |
| *trial |                                                             |
| empl   | a.                                                          |
| oyees' |                                                             |
| appeal | > b\. They claim discrimination based on race, color,       |
| ri     | > religion, sex, or national origin, or age (40 or older),  |
| ghts** | > or handicapping condition if the individual meets the     |
|        | > Equal Employment Opportunity Commission's definition of   |
|        | > "handicapped person." An appeal alleging a discriminatory |
|        | > termination may be filed under this subsection only if it |
|        | > is raised in addition to paragraph (a) above.             |
|        |                                                             |
|        | -   Employees terminated based upon conditions arising      |
|        |     prior to employment with RD may appeal to MSPB if:      |
|        |                                                             |
|        | a.  They claim discrimination based upon partisan political |
|        |     reasons or marital status;                              |
|        |                                                             |
|        | b.  They allege the termination was not effected in         |
|        |     accordance with procedural requirements contained       |
|        |     herein; and                                             |
|        |                                                             |
|        | c.  They claim discrimination based on race, color,         |
|        |     religion, sex, national origin, age (40 or older), or   |
|        |     handicapping condition. An appeal alleging a            |
|        |     discriminatory termination may be filed under this      |
|        |     subsection only if it is raised in addition to          |
|        |     paragraph (a) or (b) above.                             |
+--------+-------------------------------------------------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit B

Page 4

**Title 5 Part 315 Requirements**

+--------+-------------------------------------------------------------+
| **     | > Employees who claim discrimination based solely on race,  |
| Probat | > color, religion, sex, national origin, age (40 or older), |
| ionary | > or handicapping condition may file EEO complaints.        |
| and    |                                                             |
| trial  |                                                             |
| empl   |                                                             |
| oyees' |                                                             |
| Equal  |                                                             |
| Empl   |                                                             |
| oyment |                                                             |
| Oppor  |                                                             |
| tunity |                                                             |
| ri     |                                                             |
| ghts** |                                                             |
+--------+-------------------------------------------------------------+
| #      | The agency shall maintain copies of all relevant            |
| #####  | documentation relating to the termination, including a copy |
|        | of:                                                         |
| ###    |                                                             |
| ### Ag | -   the written notice or proposal                          |
| ency r |                                                             |
| ecords | -   employee's written response                             |
|        |                                                             |
|        | ```{=html}                                                  |
|        | <!-- -->                                                    |
|        | ```                                                         |
|        | -   decision letter                                         |
|        |                                                             |
|        | ```{=html}                                                  |
|        | <!-- -->                                                    |
|        | ```                                                         |
|        | -   supporting material                                     |
+--------+-------------------------------------------------------------+

oOo

RD Instruction 2045-GG

Exhibit C

Page 1

**MASTER SAMPLE \-\-- LETTER OF REPRIMAND**

**\[Employee's full name\]**

**\[Employee's official job title\]**

USDA Rural Development

**\[Organization\]**

**\[Street address\]**

**\[City, state, and zip code\]**

Dear \[**Ms. or Mr.** \],

This is a formal Letter of Reprimand for the offense of **\[insert
chosen or constructed conduct charge from the USDA Guide for
Disciplinary Penalties\]**, **\[give number\]** instances
**(specifications)**.

Specifically, the following facts are cited to support this Letter of
Reprimand:

**\[Background paragraph: Explain the events leading up to the
employee's being charged with misconduct, identifying all individuals by
their full names and titles/relation to the charged employee, exact
dates, and exact titles for any forms or regulations named. If the
employee has been previously counseled regarding his/her infractions,
explain that here.\]**

[Specification 1]{.underline}: **\[Describe the first instance of
misconduct, giving the full names and titles of newly-named individuals,
spelling out all acronyms when first used, and using the full names of
any forms or regulations. Give as much who, what, when, where, and how
information as you can so that the specificity requirement can be met
and so that the employee is clear about exactly what he/she did wrong.
For example, if the charge is AWOL, it is not enough to say, "Last week
you came in late and were charged AWOL." A better, more specific charge
would be, "On Tuesday, June 3, 2001, you arrived at work at 8:45 a.m.,
which is 15 minutes past your tour of duty starting time. As you did not
comply with your leave restriction letter discussed in the foregoing
paragraph and failed to call me \[the supervisor\] to inform me that you
would be late, I charged you 15 minutes AWOL for June 3, 2001."\]**

[Specification 2]{.underline}: **\[Describe the second separate instance
of misconduct, if there is one, with the same specificity as the first
specification.\]**

[Specification 3]{.underline}: **\[Describe the third separate instance
of misconduct, continuing these paragraphs until all instances of
misconduct have been described.\]**

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 2

I cannot condone your **\[name the overall misconduct that has caused
this reprimand to be issued.\]** Such conduct **\[describe the negative
effect the misconduct has had on the reputation of the agency or its
negative impact on the employee's office or co-workers morale or ability
to meet the mission. Describe any other harm the misconduct has caused.
If the employee has a high grade or many years in his current position
or has had ample training or counseling regarding the reason for the
reprimand, include a sentence about how the supervisor is disappointed
to have to issue this reprimand since the employee should know better
that to have committed the infraction.\]**

The USDA Guide for Disciplinary Penalties, DPM-731, Chapter 751,
Appendix A, provides for the penalty of a letter of reprimand to **\[the
maximum penalty\]** for a \[**first\]** offense of **"\[give charge as
written in the Disciplinary Guide\]" \[If your charge is worded
differently, add the phrase "the charge most similar to the charges in
this letter."\]** Clearly, a Letter of Reprimand is the most lenient
formal discipline I can take. I have chosen a disciplinary action that
will not be made a permanent record in your Official Personnel Folder
(OPF) because I believe that you will be willing and able to correct
your misconduct. Nevertheless, I hope that this reprimand will impress
upon you your responsibility to **\[do whatever the employee should have
done in the first place\]** in the future, thereby promoting the
efficiency of the Federal service. Any future incidents of misconduct
for which you are charged may result in more severe formal disciplinary
action up to and including removal, if warranted.

A copy of this Letter of Reprimand will be filed on the temporary (left)
side of your OPF for a period of two years from the date of this letter.

**\[If the employee is [not in a bargaining unit]{.underline} say:\]**
In accordance with RD Instruction 2063-L, Administrative Grievance
Procedure, you have the right to grieve this Letter of Reprimand within
15 calendar days of receipt if you believe that it is unwarranted. Your
grievance should clearly state the issue(s) and desired remedial action
and should be addressed to me **\[whoever is signing the reprimand\].**
If an extension of time is needed under the provisions of this
paragraph, you should request it from me **\[whoever is hearing the
informal grievance\]**. You have the right to be accompanied,
represented, and advised at any stage of the grievance by a
representative of your choice. Please refer to Rural Development
Instruction 2063-L for further guidance on filing a grievance.

**\[If the employee is [in a bargaining unit]{.underline}, say:\]** In
accordance with the negotiated Labor-Management Relations Agreement,
Article **\[give title of article\],** you have the right to grieve this
Letter of Reprimand within **\[number of calendar or work\]** days of
receipt if you believe that it is unwarranted. You have the right to be
represented and advised by a union representative. Please refer to
Article **\[ \]** for further guidance on filing a grievance.

RD Instruction 2045-GG

Exhibit C

Page 3

You also have the right to pursue an Equal Employment Opportunity (EEO)
complaint if you believe that this reprimand was issued based on
discriminatory reasons (race, color, religion, national origin, sex,
age, or physical or mental handicap). You should contact an EEO
Counselor in the Civil Rights Office in Washington, D.C. at
1-800-787-8821 if you wish to pursue this option. An EEO complaint must
be filed within 45 calendar days from your receipt of this reprimand.

Work-related problems can be the result of personal situations. It may
be helpful to consider all of the factors contributing to your conduct
and take appropriate action to deal with them. The Employee Assistance
Program (EAP) is available if you wish to seek assistance. **\[If a
State Office, say:\]** The EAP Coordinator for the State is **\[name,
(if there is a state coordinator), who may be contacted at (telephone
number)\].** You may also call the national EAP Helpline at
1-888-243-5744. Trained counselors at that number are available to help
you. All information you provide is strictly confidential. I encourage
you to consider seeking such assistance.

If you have questions regarding the grievance procedure or if you need
access to regulations or records related to your Letter of Reprimand,
you may contact **\[name, address, and telephone number of Human
Resources Manager/Specialist, or management official\]**.

Sincerely,

**\[Full name\]**

**\[Title of Management Official\]**

I acknowledge receipt of this Letter of Reprimand.

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

\[Employee's name\] Date

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 4

**MASTER SAMPLE\-\--PROPOSED SHORT SUSPENSION (1-14 DAYS)**

**\[Employee's full name\]**

**\[Employee's official job title\]**

USDA Rural Development

**\[Organization\]**

**\[Street address\]**

**\[City, state, and zip code\]**

Dear **\[Ms. or Mr. \]**,

This is notice of a proposal to suspend you from duty without pay from
your position of **\[official job title, pay plan, series, and grade\]**
for **\[give number\]** workdays, no sooner than seven calendar days
**\[If there is a Labor-Management Agreement, it may specify a different
number of days\]** from the date you receive this notice. During this
advance notice period, you will remain in an active duty status in your
current position. This action is being proposed under Title 5, U.S.
Code, Chapter 75, to promote the efficiency of the Federal service. The
reason**(s)** for this proposed action **\[is/are\]** as follows:

**[REASON: FAILURE TO COMPLY WITH WRITTEN SUPERVISORY INSTRUCTIONS (or:
the first specific charge in this particular case)\]]{.underline}**

**\[Background paragraph (optional if the specification paragraphs below
contain the background information): Explain the events leading up to
the employee's misconduct. Identify all individuals by their full names,
official titles, and relation to the charged employee (co-worker,
supervisor, security officer, witness, etc.). Include exact dates and
exact titles of any forms or regulations referenced.\]**

[Specification 1]{.underline}: **\[Describe the first instance of
misconduct and any background information needed to make the description
understandable to an outside party: Give full names and titles of
newly-named individuals, spell out all acronyms when first used, and use
the correct names of any forms or regulations. So that the employee can
clearly understand the infraction(s) for which he/she is being
disciplined, give as much "who, what, when, where, and how" information
as you can. For example, if the charge is failure to follow written
supervisory instructions, the specification would contain language
similar to the following: "On Saturday, April 7, 2001, your supervisor,
Mr. John Jones, stopped by the Smithtown Area Office at 7:10 p.m. to
pick up some briefing papers. He discovered that you were in the office
at your desk in clear violation of his Direct Order, dated April 2,
2001, that you were not to be in the office on a non-work day beyond
your tour of duty hours of 8:30 a.m. to 5:00 p.m."\]**

RD Instruction 2045-GG

Exhibit C

Page 5

**Describe any additional reasons and instances (specifications) of
misconduct using the same level of detail as the first reason and
specification until all instances of misconduct have been cited. Number
each reason and specification as a separate paragraph as shown
above.\]**

I have considered the following in proposing this suspension **\[or I
have decided that this action is necessary because\] \[Review the 12
Douglas factors and elaborate on those most applicable to this case.
They may be mitigating factors which support a lesser penalty than could
have been proposed, or they may be aggravating factors which support a
greater penalty than the maximum found in the USDA Guide for
Disciplinary Penalties. If the employee has been previously counseled,
issued a letter of warning, issued a direct order, or formally
disciplined regarding the infraction(s), include that here. If the
employee has several years of federal service or years in the current
position, has had ample training, or is in a team leader, senior level,
or higher-graded position, include these factors here to establish that
the employee is well aware of agency and office policies and procedures
regarding (whatever the infraction is)\].**

I cannot condone your **\[failure to follow written supervisory
instructions (or whatever the infraction is)\] because such
conduct...\[Complete this sentence with a summary statement of why the
conduct is harmful---it harms the reputation of the agency, it
negatively impacts the agency mission, it adversely affects the morale
of co-workers, other employees had to perform the charged employee's
work, supervisory trust was violated, etc.\]** The USDA Guide for
Disciplinary Penalties, DPM 751, Chapter 751, Appendix A, provides for
the penalty of **\[insert minimum penalty\]** to **\[insert maximum
penalty\]** for a **\[insert "first" or "subsequent"\]** offense of
**"\[give charge as written in the Disciplinary Penalties Guide\]." \[If
your charge is worded differently, add the phrase "the charge that is
most similar to the charge in this proposed suspension."\] \[If imposing
a lesser or greater penalty than that recommended in the Disciplinary
Penalties Guide, identify the factors you considered in selecting the
lesser or greater penalty.\]** Since you are being charged with **\[give
number\]** separate specifications of such misconduct following a
written direct order and other counselings **\[or whatever the
supervisor did to try to get the employee to conform to acceptable
standards of behavior\],** this proposed **\[give number\]-**day
suspension is well within USDA guidelines.

This letter is only a proposal; no decision has been made on what
action, if any, will be taken. If you believe that this proposed
suspension is not justified, you have the right to make an oral and/or a
written reply and to review the material used to support this proposal.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 6

If you wish to review the supporting material, please contact \[**name,
title, and telephone number of Human Resources Manager/Specialist or
management official**\].

If you wish to submit a written reply, it must be addressed to
\[**whoever is the deciding official, name, and location (room,
building, street address, city/town, and zip code), and telephone
number**\], since \[**name of deciding official**\] is the deciding
official in this case. You must submit your written reply within seven
calendar days from your receipt of this proposal.

If you wish to make an oral reply in addition to or instead of a written
reply, you must submit a written request for an oral conference to
\[**the deciding official\'s name**\] within the seven-day timeframe.
**Mr./Ms**. \[**name of deciding official**\] will notify you in writing
of the date and time for the oral conference. Consideration will be
given to extending the time to reply if you provide **him/her** a
written request for an extension within the seven-day timeframe and
explain why additional time is needed. An extension will only be granted
for good cause.

**\[For bargaining unit employees, use the following representation
rights:\]** In accordance with the Labor-Management Agreement, you have
the right to represent yourself or to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed
suspension by a representative of \[**the specific union local**\]. You
will be allowed up to \[**give number from the contract**\] hours of
official time to review the material used to support this proposed
suspension, to prepare a written reply, and to prepare and present an
oral reply. Arrangements for the use of official time must be made with
your immediate supervisor. Consideration will be given to extending the
number of hours of official time if you submit a written request to your
supervisor stating your reasons for the request.

**\[For non-bargaining unit employees, use the following representation
rights:\]** You have the right to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed
suspension by a representative of your choice. You will be allowed up to
eight hours of official time to review the material used to support this
proposed suspension, to prepare a written reply, and to prepare and
present an oral reply. Arrangements for the use of official time must be
made with your immediate supervisor. Consideration will be given to
extending the number of hours of official time if you submit a written
request to your supervisor stating your reasons for the request.

Full consideration will be given to any reply and any evidence that you
submit in your defense. As soon as possible after your oral and/or
written reply is received, or after expiration of the seven-day limit if
you do not reply, \[**name of the deciding official**\] will issue a
written decision to you regarding this proposed suspension.

RD Instruction 2045-GG

Exhibit C

Page 7

Work-related problems can be the result of personal situations. It may
be helpful to consider all of the factors contributing to your conduct
and take appropriate action to deal with them. The Employee Assistance
Program (EAP) is available if you wish to seek assistance. **\[If a
State Office, say:\]** The EAP Coordinator for the State is **\[name,
(if there is a state coordinator), who may be contacted at (telephone
number)\].** You may also call the national EAP Helpline at
1-888-243-5744. Trained counselors at that number are available to help
you. All information you provide is strictly confidential. I encourage
you to consider seeking such assistance.

If you have questions regarding your rights or if you need access to
regulations or records related to your proposed suspension, you may
contact \[**name, address, and telephone number of Human Resources
Manager/Specialist, or management official**\].

Sincerely,

**\[Full name\]**

**\[Title of Management Official\]**

I acknowledge receipt of this proposed suspension.

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

\[Employee's name\] Date

\*If this letter is mailed to the employee, it should be sent certified,
return receipt requested, so that the acknowledgement is documented on
the "green slip." The letter should also be sent by regular, first-class
mail as a back-up in case the employee refuses to sign for the certified
mail. When an employee personally presented with this letter refuses to
sign and date it, the presenter of the letter should write "Employee
refused/declined to sign" on the employee's signature line and should
write the date of presentation on the date line so that there is proof
that the employee received the letter.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 8

**MASTER SAMPLE\-\--SHORT SUSPENSION DECISION (1 to 14 Days)**

**\[Employee's full name\]**

**\[Employee's official job title\]**

USDA Rural Development

**\[Organization\]**

**\[Street address\]**

**\[City, state, and zip code\]**

Dear **\[Ms. or Mr. \],**

This is a decision regarding the proposal, dated **\[give date\]**, to
suspend you for **\[give number\] \[work or calendar\]** days for
**\[state the misconduct charge(s) here exactly as worded in the
proposed suspension letter\]**. In the referenced proposal, you were
informed of your right to reply to **this/these** charge**(s)** both
orally and in writing. You submitted a written reply by **\[letter, fax,
etc.\]** on **\[date\]** and made an oral reply on **\[date\]. \[or: You
made no oral or written reply.\] \[or: You made \[an oral or written\]
reply on \[date\] but made no \[oral or written\] reply.\] \[If there
were any extensions to the reply time granted, reference them here.\]**

I have carefully considered the documentation leading to your proposed
**\[give number\]**-day suspension and your oral **and** written
replies. My analyses and conclusions regarding the charge**(s)** against
you and the main points of your reply are as follows:

You claim that **\[give a one- or two-sentence summary of the employee's
first main point\]**. **\[In this same paragraph, provide an analysis of
the employee's claim and draw a written conclusion regarding it---it is
either a supportable defense or it isn't.\]**

You maintain that**...\[Continue the format of the preceding paragraph
until you have addressed all of the main points of the employee's reply,
each in a separate paragraph.\]**

I have considered the following in arriving at my decision:

Mitigating factors: **\[List the pertinent Douglas factors and parts of
the employee's reply that weighed in the employee's favor, such as
"Prior to the current proposed discipline, you did not have an official
disciplinary record," "You have 23 years of Federal service," and/or
"You were experiencing unusual stress in your personal life due to the
death of your mother."\]**

RD Instruction 2045-GG

Exhibit C

Page 9

Aggravating factors: **\[List the pertinent Douglas factors and parts of
the employee's reply that weighed against the employee, such as "The
conduct expected of you was clearly outlined by your supervisor in his
counseling memorandum to you dated \[give date\], yet you deliberately
disregarded his instructions and \[committed the misconduct at issue\]"
or "Based on your lack of remorse for the \[describe the misconduct\]
that you admit you committed, I see no evidence that absent formal
discipline, you will correct you behavior in the future."\]**

In conclusion, I have decided that reasons and specifications **\[list
the numbers of all of the reasons and specifications being sustained\]**
as described in the proposal letter are supported by the evidence, are
sustained, and warrant your suspension from duty. Your written and oral
replies do not refute the charge**(s)** of **\[name the specific
charge(s)/reasons again\]** or present acceptable extenuating
circumstances to justify withdrawing or reducing the proposed penalty.
**\[If the number of reasons and/or specifications *not* sustained
warrants a reduction of the proposed penalty, discuss that here. For
example, "In your oral reply, you state that you did not process the
erroneous loan. You maintain that although the loan would normally have
been your responsibility, the former contract (temporary) employee, Ms.
Mary Jones, processed it. You subsequently provided me a copy of a
printout containing her initials. Upon investigation, I discovered that
Ms. Jones had logged onto that screen and had annotated her initials as
the action officer. Therefore, I dismiss this specification. Because
this was a very serious offense and carried considerable weight in
determining the appropriate penalty to propose, I have also decided to
reduce your proposed 5-day suspension to a 3-day suspension.\]
Accordingly, you will be suspended from duty without pay for \[give
number\] \[work or calendar\] days effective \[day of the week, month,
day, and year\] through \[day of the week, month, day, and year\]. You
will return to duty at your regularly scheduled start time on \[day of
the week, month, day, and year\].**

It is my hope that this suspension will be corrective and preclude
future incidents of misconduct, thereby promoting the efficiency of the
Federal service. Future occurrences of misconduct for which you are
charged may result in more severe disciplinary action up to and
including removal from the Federal service, if warranted.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 10

a\. **\[If the employee is [not in a bargaining unit]{.underline} use
the following grievance rights:\]** In accordance with RD Instruction
2063-L, Administrative Grievance Procedure, you have the right to file a
formal written grievance regarding this suspension. The grievance must
be filed within 15 calendar days of receipt of this letter and should
clearly state the issue(s) and desired remedial action. The grievance
must be addressed to Mr. William Fleming, Assistant Administrator for
Human Resources (AAHR), c/o Ms. Marie L. Carver, Chief, Field Services
Branch, 1520 Market Street, FC-61, USDA Rural Development, St. Louis,
Missouri 63103-2614. If an extension of time to file your grievance is
needed, you should request it from the AAHR through

Ms. Carver. You have the right to be accompanied, represented, and
advised at any stage of the grievance by a representative of your
choice. Please refer to the Instruction for further guidance on filing a
grievance.

**\[If the employee is [in a bargaining unit]{.underline}, use the
following grievance rights:\]** In accordance with the negotiated
Labor-Management Agreement, Article \[**give title of article**\], you
have the right to grieve this suspension decision within \[**state
number of calendar or work**\] days of receipt if you believe that it is
unwarranted. You have the right to be represented and advised by a union
representative or you may represent yourself. Please refer to Article\
\[ \] for further guidance on filing a grievance.

b\. You have the right to pursue an Equal Employment Opportunity (EEO)
complaint if you believe that this suspension is based on discriminatory
reasons (race, color, religion, national origin, gender, age, marital
status, or physical or mental handicap). You should contact an EEO
Counselor in the Civil Rights Office in Washington, D.C. at
1-(800)-787-8821 if you wish to pursue this option. An EEO complaint
must be filed within 45 calendar days from your receipt of this
suspension decision.

If you file both a grievance and an EEO complaint over the same matter,
the formal grievance will not be processed simultaneously with the EEO
complaint. Your grievance will be returned and you may resubmit it
within 10 calendar days following the decision on the EEO complaint. If
the merits of the grievance issue are not addressed in the EEO complaint
decision, review of the grievance will resume following the final
Department decision on the EEO complaint if you resubmit the grievance.
If the findings on the EEO complaint do address the merits of the
grievance issue, the grievance will be rejected.

RD Instruction 2045-GG

Exhibit C

Page 11

Work-related problems can be the result of personal situations. It may
be helpful to consider all of the factors contributing to your conduct
and take appropriate action to deal with them. The Employee Assistance
Program (EAP) is available if you wish to seek assistance. **\[If a
State Office, say:\]** The EAP Coordinator for the State is **\[name,
(if there is a state coordinator), who may be contacted at (telephone
number)\].** You may also call the national EAP Helpline at
1-888-243-5744. Trained counselors at that number are available to help
you. All information you provide is strictly confidential. I encourage
you to consider seeking such assistance.

If you have questions regarding the grievance procedure or if you need
access to regulations or records related to your suspension, you may
contact \[**name, address, and telephone number of Human Resources
Manager/Specialist, or management official**\].

Sincerely,

**\[Full name\]**

**\[Title of Management Official\]**

I acknowledge receipt of this suspension decision.\*

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

\[Employee's name\] Date

\* If this letter is mailed to the employee, it should be sent by both
regular, first class mail and certified, return receipt requested, so
that the acknowledgement is documented on the "green slip." When an
employee personally presented with this letter refuses to sign and date
it, the presenter of the letter should write "Employee refused/declined
to sign" on the employee's signature line and should write the date of
presentation on the date line so that there is proof that the employee
received the letter.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 12

**MASTER SAMPLE\-\--PROPOSED LONG SUSPENSION (15 OR MORE DAYS)**

\[**Employee's full name**\]

\[**Employee's official job title**\]

USDA Rural Development

\[**Organization**\]

\[**Street address**\]

\[**City, state, and zip code**\]

Dear \[**Ms. or Mr.** \],

This is notice of a proposal to suspend you from duty without pay from
your position of \[**official job title, pay plan, series, and grade**\]
for \[**give number, such as 30**\] calendar days no sooner than 30
calendar days \[**If there is a Labor-Management Agreement, it may
specify a different number of days and you must cite that number rather
than 30**\] from the date you receive this notice. During this advance
notice period, you will remain in an active duty status in your current
position. This action is being proposed under Title 5 U.S. Code, Chapter
75, to promote the efficiency of the Federal service. The reason**(s)**
for this proposed action **is/are** as follows:

[REASON: UNAUTHORIZED USE OF A GOVERNMENT VEHICLE **(or: the first
specific charge in this particular case. If there is more than one
charge, number them "REASON 1," "REASON 2," etc.)**\]]{.underline}

**\[Background paragraph (optional if the specification paragraphs below
contain the background information): Explain the events leading up to
the employee's misconduct. Identify all individuals by their full names,
official titles, and relation to the charged employee (co-worker,
supervisor, security officer, witness, etc.). Include exact dates and
exact titles of any forms or regulations referenced.\]**

[Specification 1]{.underline}: **\[Describe the first instance of
misconduct and any background information needed to make the description
understandable to an outside party: Give full names and titles of
newly-named individuals, spell out all acronyms when first used, and use
the correct names of any forms or regulations. So that the employee can
clearly understand the infraction(s) for which he/she is being
disciplined, give as much "who, what, when, where, and how" information
as you can. For example, if the charge is "unauthorized use of a
Government vehicle", the specification would contain language similar to
the following: "On June 22, 2001, you signed out a 1999 Jeep Cherokee
belonging to this state office, Government Plate Number G11-14972,
(State) Plate Number 712-EGT. The sign-out log in the Motor Vehicle
Building documents that you took the vehicle at 9:20 a.m. The Director
of Administrative Programs for the State, Mr. John Long, personally
witnessed your return of this vehicle at 1:15 p.m. that same**

RD Instruction 2045-GG

Exhibit C

Page 13

**day. When Mr. Long questioned you regarding your use of the vehicle,
you told him that your mother, who was home alone, had fallen that
morning and had called you from her cell phone concerned that her hip
might be broken. Since you had ridden to work that day with a friend
named Joe Curtis, who works at the Texaco Plant in Albertville, 50 miles
away, you responded to the emergency with the quickest means possible,
transportation via the Government vehicle. You explained that you had
taken your mother to check in at the United Memorial Hospital on Sadie
Lane and returned to duty with the vehicle as soon as you possibly
could. Mr. Long told you that your use of the Government vehicle was
unauthorized and improper. You acknowledged that this was true, but
stated that you would do the same thing again if your mother sustained
another injury."\]**

**\[Describe any additional reasons and instances (specifications) of
misconduct using the same level of detail as the first reason and
specification until all instances of misconduct have been cited. Number
each reason and specification as a separate paragraph as shown
above.\]**

I have considered the following in proposing this suspension **\[or: I
have decided that this action is necessary because...\] \[Review the 12
Douglas factors and elaborate on those most applicable to this case.
They may be mitigating factors which support a lesser penalty than could
have been proposed, or they may be aggravating factors which support a
greater penalty than the maximum found in the USDA Guide for
Disciplinary Penalties. If the employee has been previously counseled,
issued a letter of warning, issued a direct order, or formally
disciplined regarding the infraction(s), include that here. If the
employee has several years of Federal service or years in the current
position, has had training or instruction on the subject at issue, or is
in a team leader, senior level, or higher-graded position, include these
factors here to establish that the employee is well aware of agency and
office policies and procedures regarding (whatever the infraction
is)\].**

I cannot condone your **\[unauthorized use of a Government vehicle (or
whatever the infraction is)\]** because such conduct**...\[Complete this
sentence with a summary statement of why the conduct is harmful---it
violates Government or Rural Development regulations or policies, it
harms the reputation of the agency, it negatively impacts the agency
mission, it adversely affects the morale of co-workers, it caused other
employees to have to perform the charged employee's work, supervisory
trust was violated, etc.\]** The USDA Guide for Disciplinary Penalties,
DPM 751, Chapter 751, Appendix A, provides for the penalty of \[**insert
minimum penalty**\] to \[**insert maximum penalty**\] for a \[**insert
"first" or "subsequent"**\] offense of "**\[give charge as written in
the Disciplinary Penalties Guide\]." \[If your charge is worded
differently, add the phrase "the charge that is most similar to the
charge in this proposed suspension."\]**

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 14

**\[If proposing a lesser or greater penalty than that recommended in
the Disciplinary Penalties Guide, identify the factors you considered in
selecting the lesser or greater penalty.\]** Since you are being charged
with **\[give number\]** separate specifications of such misconduct
following a written direct order and other counselings \[**or whatever
the supervisor did to try to get the employee to conform to acceptable
standards of behavior\],** this proposed **\[give number\]-**day
suspension is well within USDA guidelines.

This letter is only a proposal; no decision has been made on what
action, if any, will be taken. A final decision will not be effected for
at least 30 calendar days **\[or the length of time negotiated in the
Labor-Management Relations contract in states with bargaining units\]**.
In the interim, if you believe that this proposed suspension is not
justified, you have the right to review the material relied upon to
support this proposal and to make oral and/or written replies to the
deciding official.

If you wish to review the supporting material, please contact **\[name,
title, and telephone number of Human Resources Manager/Specialist, or
management official\].**

If you wish to submit a written reply, it must be addressed to the
deciding official in this case, as follows:

> Ms. Sherie Hinton Henry
>
> Deputy Administrator for

Operations and Management

> c/o Ms. Marie L. Carver
>
> Chief, Field Services Branch
>
> USDA/Rural Development
>
> 1520 Market Street, FC-61
>
> St. Louis, Missouri 63103-2614

You must submit your written reply within 10 calendar days from your
receipt of this proposal. **\[In states with bargaining units, consult
the Labor-Management Agreement; the negotiated reply time may be
different.\]** You may submit affidavits and/or any other evidence or
information you wish to have considered in support of your reply. If you
wish to make an oral reply, in addition to or instead of a written
reply, you must submit a written request for an oral conference to Ms.
Henry, c/o of Ms. Carver, at the address above, within the 10-day **\[or
negotiated number of days\]** timeframe. You will be notified of the
date and time for the oral conference and the name of the official who
is authorized to hear your oral reply and to make a recommendation to
Ms. Henry. This oral conference, if requested, may be

RD Instruction 2045-GG

Exhibit C

Page 15

conducted over the telephone at the option of the agency. Your right to
an oral reply does not include a right to a formal pre-decisional
hearing with the examination of witnesses. If you are subsequently
suspended, you will be given additional appeal rights, including the
right to a hearing, at that time.

Consideration will be given to extending the time to reply either orally
and/or in writing if you provide Ms. Henry c/o Ms. Carver, a written
request for an extension within the 10-day timeframe **\[or negotiated
time frame\]** and explain why additional time is needed. An extension
will only be granted for good cause.

**\[For bargaining unit employees, use the following representation
rights:\]** In accordance with the Labor-Management Agreement, you have
the right to represent yourself or to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed
suspension by a representative of **\[the specific union local\].** You
will be allowed up to **\[give number from the contract\]** hours of
official time to review the material used to support this proposed
suspension, to prepare a written reply, and to prepare and present an
oral reply. Arrangements for the use of official time must be made with
your immediate supervisor. Consideration will be given to extending the
number of hours of official time if you submit a written request to your
supervisor stating your reasons for the request.

**\[For non-bargaining unit employees, use the following representation
rights:\]** You have the right to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed
suspension by a representative of your choice. You will be allowed up to
eight hours of official time to review the material used to support this
proposed suspension, to prepare a written reply, and to prepare and
present an oral reply. Arrangements for the use of official time must be
made with your immediate supervisor before using it. Consideration will
be given to extending the number of hours of official time if you submit
a written request to your supervisor stating your reasons for the
request.

Full consideration will be given to any reply and any evidence that you
submit in your defense. As soon as possible after your oral and/or
written reply is received, or after expiration of the 30 calendar day
limit **\[see contract in states with bargaining units\]** if you do not
reply, Ms. Henry will issue a final written decision to you regarding
this proposed suspension.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 16

Work-related problems can be the result of personal situations. It may
be helpful to consider all of the factors contributing to your conduct
and take appropriate action to deal with them. The Employee Assistance
Program (EAP) is available if you wish to seek assistance. **\[If a
State Office, say:\]** The EAP Coordinator for the State is **\[name,
(if there is a state coordinator), who may be contacted at (telephone
number)\].** You may also call the national EAP Helpline at
1-888-243-5744. Trained counselors at that number are available to help
you. All information you provide is strictly confidential. I encourage
you to consider seeking such assistance.

If you have questions regarding your rights or if you need access to
regulations or records related to your proposed suspension, you may
contact **\[name, address, and telephone number of Human Resources
Manager/Specialist, or management official\].**

Sincerely,

**\[Full name\]**

**\[Title of Management Official\]**

cc: DAOM-Henry

AAHR-Fleming

AAHR/FSB-Carver

I acknowledge receipt of this proposed suspension.

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

\[Employee's name\] Date

\*If this letter is mailed to the employee, it should be sent certified,
return receipt requested, so that the acknowledgement is documented on
the "green slip." The letter should also be sent by regular, first-class
mail as a back-up in case the employee refuses to sign for the certified
mail. When an employee personally presented with this letter refuses to
sign and date it, the presenter of the letter should write "Employee
refused/declined to sign" on the employee's signature line and should
write the date of presentation on the date line so that there is proof
that the employee received the letter.

RD Instruction 2045-GG

Exhibit C

Page 17

**MASTER SAMPLE\-\--PROPOSED REMOVAL UNDER 5 CFR 752 (CONDUCT)**

\[**Employee's full name**\]

\[**Employee's official job title**\]

USDA Rural Development

\[**Organization**\]

\[**Street address**\]

\[**City, state, and zip code**\]

Dear \[**Ms. or Mr.** \],

This is notice of a proposal to remove you from your position of
**\[official job title, pay plan, series, and grade\]** and from the
Federal service no sooner than 30 calendar days from the date you
receive this notice. **\[If there is a Labor-Management Agreement, it
may specify a greater number of days and you must cite that number
rather than 30.\]** During this advance notice period, you will remain
in an active duty status in your current position. This action is being
proposed under Title 5, U.S. Code, Chapter 75, to promote the efficiency
of the Federal service. The reason**(s)** for this proposed removal
**is/are** as follows:

[REASON: CONDUCT UNBECOMING A FEDERAL EMPLOYEE]{.underline} **(or: the
first specific charge in this particular case. If there is more than one
charge/reason, number them "REASON 1," "REASON 2," etc.) Refer to
DPM-751, Chapter 751---Discipline, Appendix A---USDA Guide for
Disciplinary Penalties, for assistance in titling charges.\]**

**\[Background paragraph (optional if the specification paragraphs below
contain the background information): Explain the events leading up to
the employee's misconduct. Identify all individuals by their full names,
official titles, and relation to the charged employee (co-worker,
supervisor, security officer, witness, etc.). Include exact dates and
exact titles of any forms or regulations referenced.\]**

[Specification 1]{.underline}: **\[Describe the first instance of
misconduct and any background information needed to make the description
understandable to an outside party: Give full names and titles of
newly-named individuals, spell out all acronyms when first used, and use
the correct names of any forms or regulations. So that the employee can
clearly understand the infraction(s) for which he/she is being removed,
give as much "who, what, when, where, and how" information as you can.
For example, if the charge is "conduct unbecoming a Federal employee,"
the specification would contain language similar to the following: "On
Monday, July 16, 2001, at approximately 8:30 a.m., Ms. Sally Smith,
Secretary for the Operations Branch, went to the elevator outside her
office**

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 18

**on the second floor of the Arch Building on her way to take a FEDEX
package to the mailroom on the fourth floor. Although you work on the
sixth floor and have no business reason to go to the second floor, you
suddenly appeared next to Ms. Smith at the second floor elevator and
began asking her if she would go out with you. Even though she had told
you several times before that she is happily married and is not
interested in dating you, you got very close to her face and kept asking
the same question. Ms. Smith told you repeatedly and in increasingly
louder tones to leave her alone. You refused to stop questioning her or
to go away until you saw Ms. Joan Brown, a co-worker of Ms. Smith's,
coming down the hall toward the two of you. When you saw Ms. Brown
approaching, you turned and walked quickly down the hall in the opposite
direction. In her witness statement, Ms. Brown says that she saw you
approach Ms. Smith at the second floor elevators, saw you speaking to
Ms. Smith, and saw Ms. Smith's agitated efforts to move away from you.
Ms. Brown states that Ms. Smith was visibly shaken and quite upset. She
encouraged Ms. Smith to immediately report this incident to her
supervisor, Mr. James Jones, which Ms. Smith did that same day. Since
Ms. Smith was still upset over the incident with you, Ms. Brown
accompanied Ms. Smith to Mr. Jones' office. In a written statement that
Ms. Smith prepared on July 16, 2001, she explained to Mr. Jones that as
a result of your unwelcome behavior toward her at the elevator, she was
unable to concentrate on her job duties the rest of the day due to an
upset stomach and the fear that you would again approach her. At 1 p.m.
on July 17, 2001, Mr. Jones counseled you about the elevator incident
with Ms. Smith. You admitted that you had approached her and asked her
to go out with you. Mr. Jones reminded you that this was the third time
this week that he had had to caution you about unwelcome behavior toward
female employees of this agency and that you had already been suspended
twice for similar misconduct. He also informed you that additional
formal disciplinary action would be proposed based on this incident and
several other similar incidents that had recently occurred. Your
approaching and questioning Ms. Smith at the elevator on July 16, 2001
is considered conduct unbecoming because it was an unwelcome intrusion
into Ms. Smith's privacy, it had a negative effect on her ability to do
her job, and it disrupted another employee, Ms. Brown, at work."**

**\[Describe any additional reasons and instances (specifications) of
misconduct using the same level of detail as the first reason and
specification until all instances of misconduct have been cited. Number
each reason and specification as a separate paragraph as shown
above.\]**

RD Instruction 2045-GG

Exhibit C

Page 19

I have considered the following in proposing this removal **\[or: I have
decided that this removal is necessary because...\] \[Review the 12
Douglas factors and elaborate on those most applicable to this case. If
the employee has been previously counseled, issued a letter of warning,
issued a direct order, or formally disciplined regarding the
infraction(s), include that here. (Note: If any of the employee's
previous disciplines are still being challenged by the employee through
an avenue of redress such as the grievance procedure, consult one of the
Employee Relations Specialists in the St. Louis Human Resources
Office.**

**The Federal Circuit Court cases of Gregory v. U.S. Postal Service, May
15, 2000, and Blank v. DA, April 19, 2001, may impact how the past
discipline is used in the proposed removal letter.) If the employee has
several years of Federal service or years in the current position, has
had training or instruction on the subject at issue, or is in a team
leader, senior level, or higher-graded position, include these factors
here to establish that the employee is well aware of agency and office
policies and procedures regarding (whatever the infraction is). Also
include, if applicable, a statement regarding the employee's lack of
rehabilitation potential based on the failure of previous corrective
actions to prevent the employee's current misconduct.\]**

I cannot condone your **\[unbecoming conduct (or whatever the infraction
is)\] because such conduct...\[Complete this sentence with a summary
statement of why the conduct is harmful---it violates Government or
Rural Development regulations or policies, it harms the reputation of
the agency, it negatively impacts the agency mission, it adversely
affects the morale of co-workers, it caused other employees to have to
perform the charged employee's work, supervisory trust was violated,
etc.\]** The USDA Guide for Disciplinary Penalties, DPM 751, Chapter
751, Appendix A, provides for the penalty of **\[insert minimum
penalty\] to \[insert maximum penalty\]** for a **\[insert "first" or
"subsequent"\]** offense of **"\[give charge as written in the
Disciplinary Penalties Guide\]." \[If your charge is worded differently,
add the phrase "the charge that is most similar to the charge in this
proposed removal."\] \[If proposing a greater penalty than that
recommended in the Disciplinary Penalties Guide, identify the factors
you considered in selecting the greater penalty.\]** Since you are being
charged with **\[give number\]** separate specifications of such
misconduct following a written direct order and other counselings **\[or
whatever the supervisor did to try to get the employee to conform to
acceptable standards of behavior\]**, this proposed removal is well
within USDA guidelines.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 20

This letter is only a proposal; no decision has been made on what
action, if any, will be taken. A final decision will not be effected for
at least 30 calendar days **\[or the length of time negotiated in the
Labor-Management Relations contract in states with bargaining units\]**.
In the interim, if you believe that this proposed removal is not
justified, you have the right to review the material relied upon to
support this proposal and to make oral and/or written replies to the
deciding official.

If you wish to review the supporting material, please contact **\[name,
title, and telephone number of the Human Resources Manager/Specialist,
or management official\]**.

If you wish to submit a written reply, it must be addressed to the
following deciding official:

> Ms. Sherie Hinton Henry
>
> Deputy Administrator for

Operations and Management

> c/o Ms. Marie L. Carver
>
> Chief, Field Services Branch
>
> 1520 Market Street, FC-61
>
> St. Louis, Missouri 63103-2614

You must submit your written reply within 10 calendar days from your
receipt of this proposal. **\[In states with bargaining units, consult
the Labor-Management Agreement; the negotiated reply time may be
different\]**. You may submit affidavits and/or any other evidence or
information you wish to have considered in support of your reply.

If you wish to make an oral reply, in addition to or instead of a
written reply, you must submit a written request for an oral conference
to Ms. Henry, c/o of Ms. Carver at the address above, within the 10-day
**\[or negotiated number of days\]** time frame. You will be notified of
the date and time for the oral conference and the name of the official
who is authorized to hear your oral reply and to make a recommendation
to Ms. Henry. This oral conference, if requested, may be conducted over
the telephone at the option of the agency. Your right to an oral reply
does not include a right to a formal pre-decisional hearing with the
examination of witnesses. If you are subsequently removed, you will be
given additional appeal rights, including the right to a hearing, at
that time.

RD Instruction 2045-GG

Exhibit C

Page 21

Consideration will be given to extending the time to reply either orally
and/or in writing if you provide Ms. Henry, c/o Ms. Carver, a written
request for an extension within the 10-day time frame **\[or negotiated
time frame\]** and explain why additional time is needed. An extension
will only be granted for good cause.

**\[For bargaining unit employees, use the following representation
rights:\]** In accordance with the Labor-Management Agreement, you have
the right to represent yourself or to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed removal
by a representative of **\[the specific union local\]**. You will be
allowed up to **\[give number from the contract\]** hours of official
time to review the material used to support this proposed removal, to
prepare a written reply, and to prepare and present an oral reply.
Arrangements for the use of official time must be made with your
immediate supervisor. Consideration will be given to extending the
number of hours of official time if you submit a written request to your
supervisor stating your reasons for the request.

**\[For non-bargaining unit employees, use the following representation
rights:\]** You have the right to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed removal
by a representative of your choice. You will be allowed up to eight
hours of official time to review the material used to support this
proposed removal, to prepare a written reply, and to prepare and present
an oral reply. Arrangements for the use of official time must be made
with your immediate supervisor. Consideration will be given to extending
the number of hours of official time if you submit a written request to
your supervisor stating your reasons for the request.

Full consideration will be given to any reply and any evidence that you
submit in your defense. As soon as possible after your oral and/or
written reply is received, or after expiration of the 30 calendar day
limit \[**or negotiated time limit\]** if you do not reply, Ms. Henry
will issue a final written decision to you regarding this proposed
removal.

Work-related problems can be the result of personal situations. It may
be helpful to consider all of the factors contributing to your conduct
and take appropriate action to deal with them. The Employee Assistance
Program (EAP) is available if you wish to seek assistance. **\[If a
State Office, say:\]** The EAP Coordinator for the State is **\[name,
(if there is a state coordinator), who may be contacted at (telephone
number)\].** You may also call the national EAP Helpline at
1-888-243-5744. Trained counselors at that number are available to help
you. All information you provide is strictly confidential. I encourage
you to consider seeking such assistance.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 22

If you have questions regarding your rights or if you need access to
regulations or records related to your proposed removal, you may contact
**\[name, address, and telephone number of the Human Resources
Manager/Specialist, or management official\]**.

Sincerely,

**\[Full name\]**

**\[Title of Management Official\]**

cc: DAOM-Henry

AAHR-Fleming

AAHR/FSB-Carver

I acknowledge receipt of this proposed removal.

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

\[Employee's name\] Date

\*If this letter is mailed to the employee, it should be sent certified,
return receipt requested, so that the acknowledgement is documented on
the "green slip." The letter should also be sent by regular, first-class
mail as a back-up in case the employee refuses to sign for the certified
mail. When an employee personally presented with this letter refuses to
sign and date it, the presenter should write "Employee refused/declined
to sign" on the employee's signature line and the date of presentation
on the date line. This will establish proof that the employee received
the letter.

RD Instruction 2045-GG

Exhibit C

Page 23

**MASTER SAMPLE\-\--PROPOSED REMOVAL UNDER 5 CFR 432 (PERFORMANCE)**

**\[Employee's full name\]**

**\[Employee's official job title\]**

USDA/Rural Development

**\[State Office---Identify state\]**

**\[Street address\]**

**\[City, state, and zip code\]**

Dear **\[Ms. or Mr. \_\_\_\_\_\_\_\_\]**:

This is notice of a proposal to remove you from your position of
**\[official job title, pay plan, series, and grade\]** and from the
Federal service no sooner than 30 calendar days from the date you
receive this notice. **\[If there is a Labor-Management Agreement, it
may specify a greater number of days and you must cite that number
rather than 30.\]** During this advance notice period, you will remain
in an active duty status in your current position. This action is being
proposed under Title 5, U.S. Code, Chapter 43. The reason for this
proposed removal is as follows:

**[REASON: UNACCEPTABLE WORK PERFORMANCE]{.underline}**

You were placed on a \_\_\_\_-day **\[state number of days; usually 90
or 120. If the state has a bargaining unit, consult the Labor-Management
Agreement for any mandated number of days\]** Opportunity-to-Improve
(OTI) period on **\[date\]** due to your unacceptable performance in the
following \_\_ **\[state number; can be any number from one to all of
the employee's critical elements\]** critical elements of your
performance plan:

1)  Critical element \# \_\_ ,
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**\[state the number and title of
    this element [exactly as it is written]{.underline} in the
    employee's performance plan, which is the document that lists the
    employee's performance elements and standards. For example,
    "Critical element \# 5, Customer Service."\]**

2)  Critical element \# \_\_ , \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
    **\[state the number and title of any additional unacceptable
    critical elements [exactly as they are written]{.underline} in the
    performance plan.\]**

Details of your unacceptable performance on the foregoing elements were
provided to you in the OTI letter of **\[date\].**

During the OTI period, your supervisor, **\[full name and title\]**,
took the following actions to assist you in meeting the standards of the
**\[state number\]** critical elements that you had not performed
acceptably:

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 24

**\[State a recap of the major actions that the supervisor and/or others
took to assist the employee [during the OTI period]{.underline}, such as
periodic counseling sessions, meetings, or office visits (give total
number and dates of each; for example, "You were counseled on the
following three dates: July 10, 2001, July 20, 2001, and July 25, 2001);
work product reviews; oral and written reminders or checklists; examples
of acceptable work products; reassignment of duties away from the
employee to allow him/her to concentrate on more important duties;
assignment of additional employees to assist with the work; additional
formal or informal training, etc.\]**

Despite the foregoing assistance, you did not improve your performance
to the acceptable level during the OTI period or in the period since
that time expired. Therefore, your removal is now being proposed based
on the unacceptable performance detailed below:

[Critical Element #\_\_, **\[**]{.underline}**State number and title
exactly as shown in the performance plan. The unacceptable elements
supporting the removal must be one or more of the unacceptable elements
documented in the OTI letter.\]**

[Standard]{.underline}: **\[Copy the standard supporting this critical
element [verbatim]{.underline} from the performance plan. If some part,
but not all, of the standard was failed, make sure that the
documentation shows that the overall critical element was failed.\]**

[Actual Performance]{.underline}:

[Specification 1]{.underline}: \[**Describe the first example of
unacceptable performance in as much detail as possible; identify all
newly-named individuals by their full names, titles, and relation to the
employee; spell out all acronyms when first used; give complete dates;
and use exact titles and numbers for any forms or regulations
referenced. So that the employee can clearly understand why he/she
failed to meet the standard(s) and why this warrants removal, state as
much "who, what, when, where, and how" information as you can in each
specification. For example, if the critical element is "Program
Management" and the failed standard is "Manages and monitors all aspects
of assigned programs for quality, timeliness, and effectiveness,"
Specification 1 might read, "In the Loan Program area, supervised bank
account number 67398 for Mr. John Smart remained open until September 5,
2001. Mr. Smart was one of this agency's clients whose case was assigned
to you on January 1, 2001. Mr. Smart passed away on March 10, 2001.
Rural Development (RD) Regulation XXX, Housing Loan Program, requires in
chapter 3, paragraph 7(b), that all bank accounts of decedents be closed
within three months of the date of death. You have a personal copy of RD
Regulation XXX on your desk where it is available for your daily use.
You were notified of Mr. Smart's death by a letter from Mrs. Smart,
dated March 15, 2001, which you received on March 16, 2001. The date
that you took action to close the account was almost 3 months past the**

RD Instruction 2045-GG

Exhibit C

Page 25

**required deadline. When your supervisor discussed this delay with you,
your explanation was that 'you had forgotten that the case was in your
desk drawer.' This is an example of a clear failure on your part to meet
your timeliness and effectiveness standard for the Loan Program."**

**\[Describe any additional examples (specifications) of unacceptable
performance that relate to this particular critical element using the
same level of detail as the first specification until all examples have
been cited. Number each specification as a separate paragraph as shown
above.\]**

**\[If there are other critical elements that were failed, list them as
shown above, cite the applicable standards that describe acceptable
performance under each element, and cite and number all of the
examples/specifications of unacceptable performance of that element\].**

In proposing this removal, I have considered **...\[If the employee has
several years of Federal service or years in the current position, has
had training or instruction on the tasks/projects/programs at issue, or
is in a team leader, senior level, or higher-graded position, include
these factors here to establish that the employee has sufficient reason
to know how to perform his/her job acceptably.\]**

I cannot condone your continued unacceptable performance. **\[Add a
summary statement of why the unacceptable performance is
harmful---Government or Rural Development regulations or policies have
been violated, the reputation of the agency has been harmed by customer
complaints or the employee's egregious errors, the agency mission is not
being met, the morale of co-workers has been negatively affected, other
employees have had to perform the unacceptable employee's work,
supervisory trust was violated, etc.\]** Title 5, U.S. Code, Chapter 43,
paragraph 4303(a), provides that an agency may remove an employee from
Federal service for unacceptable performance. In view of the performance
deficiencies documented in this letter, which have continued despite all
of the documented efforts to assist you in reaching an acceptable level
of performance, I believe that I am left with no other option but to
propose your removal.

This letter is only a proposal; no decision has been made on what
action, if any, will be taken. A final decision will not be effected for
at least 30 calendar days **\[or the length of time negotiated in the
Labor-Management Agreement in states with bargaining units\].** In the
interim, if you believe that this proposed removal is not justified, you
have the right to review the material relied upon to support this
proposal and to make oral and/or written replies to the deciding
official.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 26

If you wish to review the supporting material, please contact **\[name,
title, and telephone number of the Human Resources Manager/Specialist,
or management official\].**

If you wish to submit a written reply, it must be addressed to the
following deciding official:

> Ms. Sherie Hinton Henry
>
> Acting Deputy Administrator for
>
> Operations and Management
>
> c/o Ms. Marie L. Carver
>
> Chief, Field Services Branch
>
> USDA/Rural Development
>
> 1520 Market Street, FC-61
>
> St. Louis, Missouri 63103-2614

You must submit your written reply within 10 calendar days from your
receipt of this proposal. **\[In states with bargaining units, consult
the Labor-Management Agreement; the negotiated reply time may be
different\].** You may submit affidavits and/or any other evidence or
information you wish to have considered in support of your reply.

If you wish to make an oral reply, in addition to or instead of a
written reply, you must submit a written request for an oral conference
to Ms. Henry, c/o of Ms. Carver at the address above, within the 10-day
**\[or negotiated number of days\]** time frame. You will be notified of
the date and time for the oral conference and the name of the official
who is authorized to hear your oral reply and to make a recommendation
to Ms. Henry. This oral conference, if requested, may be conducted over
the telephone at the option of the agency. Your right to an oral reply
does not include a right to a formal pre-decisional hearing with the
examination of witnesses. If you are subsequently removed, you will be
given additional appeal rights, including the right to a hearing, at
that time.

Consideration will be given to extending the time to reply either orally
and/or in writing if you provide Ms. Henry, c/o Ms. Carver, a written
request for an extension within the 10-day time frame **\[or negotiated
time frame\]** and explain why additional time is needed. An extension
will only be granted for good cause.

**\[For bargaining unit employees, use the following representation
rights:\]** In accordance with the Labor-Management Agreement, you have
the right to represent yourself or to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed removal
by a representative of **\[the specific union local\].** You will be
allowed up to **\[give number from the contract\]** hours of official
time to review the material used to support this

RD Instruction 2045-GG

Exhibit C

Page 27

proposed removal, to prepare a written reply, and to prepare and present
an oral reply. Arrangements for the use of official time must be made
with your immediate supervisor. Consideration will be given to extending
the number of hours of official time if you submit a written request to
your supervisor stating your reasons for the request.

**\[For non-bargaining unit employees, use the following representation
rights:\]** You have the right to be accompanied, represented, and
advised at any stage of the proceedings regarding your proposed removal
by a representative of your choice. You will be allowed up to eight
hours of official time to review the material used to support this
proposed removal, to prepare a written reply, and to prepare and present
an oral reply. Arrangements for the use of official time must be made
with your immediate supervisor. Consideration will be given to extending
the number of hours of official time if you submit a written request to
your supervisor stating your reasons for the request.

Full consideration will be given to any reply and any evidence that you
submit in your defense. As soon as possible after your oral and/or
written reply is received, or after expiration of the 30 calendar day
limit **\[or negotiated time limit\]** if you do not reply, Ms. Henry
will issue a final written decision to you regarding this proposed
removal.

Work-related problems can be the result of personal situations. It may
be helpful to consider all of the factors contributing to your
unacceptable performance and take appropriate action to deal with them.
The Employee Assistance Program (EAP) is available if you wish to seek
assistance. **\[If a State Office, say:\]** The EAP Coordinator for the
State is **\[name, (if there is a state coordinator), who may be
contacted at (telephone number)\].** You may also call the national EAP
Helpline at 1-888-243-5744. Trained counselors at that number are
available to help you. All information you provide is strictly
confidential. I encourage you to consider seeking such assistance.

If you have questions regarding your rights or if you need access to
regulations or records related to your proposed removal, you may contact
**\[name, address, and telephone** **number of the Human Resources
Manager/Specialist, or management official\]**.

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit C

Page 28

Sincerely,

**\[Full Name\]**

**\[Title of Management Official\]**

cc: DAOM-Henry

AAHR-Fleming

AAHR/FSB-Carver

I acknowledge receipt of this proposed removal.

[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

\[Employee's name\] Date

\*If this letter is mailed to the employee, it should be sent certified,
return receipt requested, so that the acknowledgement is documented on
the "green slip." The letter should also be sent by regular, first-class
mail as a back-up in case the employee refuses to sign for the certified
mail. When an employee personally presented with this letter refuses to
sign and date it, the presenter should write "Employee refused/declined
to sign" on the employee's signature line and the date of presentation
on the date line. This will establish proof that the employee received
the letter.

oOo

RD Instruction 2045-GG

Exhibit D

Page 1

### Douglas Factors

### 

Managers should consider the factors below prior to proposing or
deciding penalties. All of the factors may not be relevant in every
case; some may weigh in the employee's favor (mitigating factors),
others against the employee (aggravating factors). It is only
recommended that managers consider these factors during the proposal
stage; however, consideration must be given to them during the decision
stage. These factors will assist management to determine if mitigating
the penalty to a lesser offense is appropriate or if the proposed
penalty should be sustained. Deciding officials cannot impose more
severe penalties than those proposed. They may only sustain, reduce, or
cancel the action. Penalty selection requires weighing the relevant
factors in the individual case.

1\. The nature and seriousness of the offense, and its relation to the
employee's 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;

2\. The employee's job level and type of employment, including
supervisory or fiduciary role, contacts with the public, and prominence
of the position;

3\. The employee's past disciplinary record;

4\. The employee's past work record, including length of service,
performance on the job, ability to get along with fellow workers, and
dependability;

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;

6\. Consistency of the penalty with those imposed upon other employees
for the same or similar offenses;

7\. Consistency of the penalty with the USDA Guide for Disciplinary
Penalties;

8\. The notoriety of the offense or its impact upon the reputation of
the agency;

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;

10\. Potential for the employee's rehabilitation;

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit D

Page 2

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; and

12\. The adequacy and effectiveness of alternative sanctions to deter
such conduct in the future by the employee or others.

oOo

RD Instruction 2045-GG

Exhibit E

Page 1

**Table of Penalties**

In determining an appropriate penalty managers should consult the USDA
Guide for Disciplinary Penalties as reflected below. The Guide is a
useful tool for ensuring that employees are treated equitably. Rural
Development Managers should normally use the penalties contained within
the guide unless there is substantial justification for deviating. While
the Guide does not cover every possible offense, it does provide the
more common types of offenses and the penalties usually assessed.
Opportunities for the appropriate use of *alternative discipline* (see
Departmental Personnel Bulletin 751-3) may also be considered.
Alternative discipline is available in appropriate circumstances in all
cases, except when the penalty to be proposed is removal from the
service or dictated by statute. Alternative discipline may also be
considered when mitigating circumstances serve to reduce a proposed
penalty of removal to a lesser penalty, including a suspension of letter
of reprimand. Although each case must be evaluated on its own merits,
the Guide does provide a framework to assure consistent application of
disciplinary penalties throughout the Department.

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  **1. FISCAL IRREGULARITIES**                                
  (Penalty depends on the                                     
  monetary value, position                                    
  held, personal benefit,                                     
  and/or other pertinent                                      
  factors.)                                                   

  a\. Submission of (or causing Letter of Reprimand to        Removal.
  or allowing the submission    Removal, if for               
  of) falsely stated time logs, administrative convenience or 
  leave forms, travel or        to avoid following required   
  purchase vouchers, payroll,   procedures.                   
  loan, or other fiscal                                       
  document(s).                                                

                                14-Day Suspension, if it      Removal.
                                results in personal benefit   
                                to another.                   

                                Removal, if it results in     
                                personal benefit.             

  b\. Unauthorized and/or       14-Day Suspension to Removal. Removal.
  improper use of property,                                   
  Government or other funds, or                               
  any other thing of value                                    
  coming into an employee's                                   
  custody as a result of                                      
  employment.                                                 
  ----------------------------- ----------------------------- ------------

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit E

Page 2

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

+----------------------------+----------------------------+-----------+
| **TYPE OF MISCONDUCT**     | **PENALTY FOR FIRST        | **PENALTY |
|                            | OFFENSE**                  | FOR       |
|                            |                            | S         |
|                            |                            | UBSEQUENT |
|                            |                            | OFFENSE** |
+----------------------------+----------------------------+-----------+
| c\. Failure to properly    | Letter of Reprimand to     | Removal.  |
| account for or make proper | Removal.                   |           |
| distribution of any        |                            |           |
| property, Government or    |                            |           |
| other funds, or any other  |                            |           |
| thing of value coming into |                            |           |
| an employee's custody as a |                            |           |
| result of employment.      |                            |           |
+----------------------------+----------------------------+-----------+
| d\. Concealment of (or     | Letter of Reprimand to     | 14-Day    |
| failing to report)         | Removal.                   | S         |
| missing, lost, or          |                            | uspension |
| misappropriated funds, or  |                            | to        |
| other fiscal               |                            | Removal.  |
| irregularities.            |                            |           |
+----------------------------+----------------------------+-----------+
| **2. FALSE                 |                            |           |
| STATEMENT(S)/INCORRECT     |                            |           |
| OFFICIAL DOCUMENTS**       |                            |           |
| (False statements or       |                            |           |
| entries in connection with |                            |           |
| fiscal matters and         |                            |           |
| documents are covered in 1 |                            |           |
| above.)                    |                            |           |
+----------------------------+----------------------------+-----------+
| a\. Deliberate             | Removal, if it would have  |           |
| falsification of an        | adversely affected         |           |
| application for employment | selection for appointment  |           |
| (SF-171) or other personal | or promotion.              |           |
| history record by omission |                            |           |
| or by making a false       |                            |           |
| entry.                     |                            |           |
|                            |                            |           |
| Note: If an incorrect or   |                            |           |
| inaccurate entry or        |                            |           |
| statement is determined to |                            |           |
| be unintentional, other    |                            |           |
| (non-disciplinary) action  |                            |           |
| should be taken.           |                            |           |
+----------------------------+----------------------------+-----------+
|                            | Letter of Reprimand to     | 14-Day    |
|                            | 14-Day Suspension, if it   | S         |
|                            | would not have adversely   | uspension |
|                            | affected selection for     | to        |
|                            | appointment or promotion.  | Removal.  |
+----------------------------+----------------------------+-----------+
| b\. Misrepresentation,     | Letter of Reprimand to     | Removal.  |
| falsification, or          | Removal.                   |           |
| concealment of material    |                            |           |
| facts or documents in      |                            |           |
| connection with an         |                            |           |
| official matter, including |                            |           |
| an investigation.          |                            |           |
+----------------------------+----------------------------+-----------+
| c\. Knowingly and          | Letter of Reprimand to     | 14-Day    |
| willfully making an        | Removal.                   | S         |
| incorrect entry on an      |                            | uspension |
| official document or       |                            | to        |
| approving an incorrect     |                            | Removal.  |
| official document.         |                            |           |
+----------------------------+----------------------------+-----------+

RD Instruction 2045-GG

Exhibit E

Page 3

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  **3. CONDUCT PREJUDICIAL TO                                 
  THE BEST INTERESTS OF THE                                   
  SERVICE**                                                   

  a\. Conduct that causes the   Indefinite Suspension (Until  
  employee to be indicted or    the outcome of the legal      
  charged with a criminal       action is known and/or until  
  offense which is related      the completion of appropriate 
  directly to the duties of the administrative action.)       
  employee's position or the                                  
  mission of the Agency and for                               
  which a sentence of                                         
  imprisonment may be imposed.                                

  b\. Conduct which causes the  Removal.                      
  employee to be convicted of a                               
  criminal charge which is                                    
  related directly to the                                     
  duties of the employee's                                    
  position or the mission of                                  
  the Agency.                                                 

  c\. Off duty conduct which    Letter of Reprimand to        Removal.
  adversely affects the         Removal.                      
  employee's job performance or                               
  trustworthiness, or adversely                               
  affects the ability of the                                  
  Agency to accomplish its                                    
  mission.                                                    

  d\. Infamous or notoriously   Removal.                      
  disgraceful conduct.                                        

  e\. Concealing, removing,     Letter of Reprimand to        14-Day
  mutilating, altering or       Removal.                      Suspension
  destroying Government                                       to Removal.
  records.                                                    

  f\. Malicious or intentional  Letter of Reprimand to        14-Day
  damage or loss of             Removal.                      Suspension
  Government-owned or                                         to Removal.
  Government-leased property.                                 

  g\. Using public office for   14-Day Suspension to Removal. Removal.
  private gain.                                               

  h\. Unethical or improper use Letter of Reprimand to        Removal.
  of official authority or      Removal.                      
  credentials.                                                
  ----------------------------- ----------------------------- ------------

> (07-13-05) PN 387

RD Instruction 2045-GG

Exhibit E

Page 4

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  i\. Unauthorized disclosure   Letter of Reprimand to        Removal.
  or use of (or failure to      Removal.                      
  safeguard) information                                      
  protected by the Privacy Act                                
  or other official, sensitive,                               
  or confidential information.                                

  j\. Having a direct or        Letter of Reprimand to        Removal.
  indirect financial interest   Removal.                      
  that an employee could                                      
  reasonably expect to be in                                  
  conflict or appear to be in                                 
  conflict with his or her                                    
  official duties and                                         
  responsibilities. (When a                                   
  conflict of financial                                       
  interest occurs that is                                     
  inadvertent and that could                                  
  not be reasonably anticipated                               
  by the employee, the                                        
  situation would normally be                                 
  handled by divestiture or                                   
  recusation rather than                                      
  disciplinary action.)                                       

  k\. Engaging in outside       Letter of Reprimand to 5-Day  14-Day
  employment or other           Suspension.                   Suspension
  activities without required                                 to Removal.
  prior approval.                                             

  l\. Improperly soliciting or  5-Day Suspension to Removal.  Removal.
  accepting, directly or                                      
  indirectly, a gift from any                                 
  individual or establishment                                 
  seeking or having a                                         
  contractual or business                                     
  relationship with the                                       
  Department.                                                 

  m\. Improperly soliciting a   Letter of Reprimand to        Removal.
  contribution from another     Removal.                      
  employee for a gift to an                                   
  official superior, making a                                 
  donation as a gift to an                                    
  official superior, or                                       
  accepting a gift from an                                    
  employee receiving less pay.                                
  ----------------------------- ----------------------------- ------------

RD Instruction 2045-GG

Exhibit E

Page 5

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  n\. Borrowing money from a    Letter of Reprimand to        Removal.
  subordinate employee,         Removal.                      
  securing a subordinate's                                    
  endorsement on a loan, or                                   
  otherwise having a                                          
  subordinate assume the                                      
  financial responsibility of a                               
  superior.                                                   

  o\. Use of (or authorizing    Letter of Reprimand to        5-Day
  the use of) employees, or     Removal.                      Suspension
  Government owned, leased or                                 to Removal.
  provided property,                                          
  facilities, services or                                     
  credit cards, for                                           
  inappropriate or non-official                               
  purposes.                                                   

  p\. Willful use of (or        30-Day Suspension to Removal. Removal.
  authorizing the use of) any   (31 U.S.C. 1349(b) mandates a 
  Government-owned or           [minimum]{.underline} penalty 
  Government-leased passenger   of a one month suspension for 
  vehicles or aircraft for      unofficial use of Government  
  other than official purposes. passenger carrying vehicles   
                                or aircraft.)                 

  q\. Use of (or authorizing    30-Day Suspension to Removal. Removal.
  the use of) other                                           
  Government-owned or                                         
  Government-leased vehicles                                  
  such as trucks, aircraft,                                   
  boats or other motor vehicles                               
  for other than official                                     
  purposes.                                                   

  r\. Carrying of unauthorized  Letter of Reprimand to 14-Day 14-Day
  passengers in                 Suspension.                   Suspension
  Government-owned or                                         to Removal.
  Government-leased vehicles                                  
  such as trucks, aircraft,                                   
  boats or other motor vehicles                               
  for other than official                                     
  purposes.                                                   

  s\. Unauthorized use, removal Letter of Reprimand to        Removal.
  or possession of a thing of   Removal.                      
  value belonging to another                                  
  employee or private citizen.                                
  ----------------------------- ----------------------------- ------------

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit E

Page 6

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  t\. Fighting, threatening,    5-Day Suspension to Removal.  14-Day
  attempting to inflict or                                    Suspension
  inflicting bodily harm while                                to Removal.
  on Government premises and/or                               
  when in a duty status.                                      

  u\. Use of abusive,           Letter of Reprimand to 14-Day 5-Day
  offensive, unprofessional,    Suspension.                   Suspension
  distracting, or incitory                                    to Removal.
  (goading) language, gestures,                               
  or other conduct; quarreling,                               
  creating a disturbance or                                   
  disruption; or horseplay.                                   

  v\. Use of slanderous,        Letter of Reprimand to        5-Day
  malicious, derogatory,        Removal.                      Suspension
  discourteous, or otherwise                                  to Removal.
  inappropriate language,                                     
  gestures, or other conduct                                  
  toward employees,                                           
  supervisors, or the public.                                 

  w\. Failure to pay just debts Letter of Reprimand to 14-Day 1-Day
  in a timely and proper        Suspension.                   Suspension
  manner.                                                     to Removal.

  x\. Gambling on duty or in    Letter of Reprimand to        Removal.
  work areas.                   Removal.                      

  y\. Participating in a        Removal.                      
  strike, work stoppage,                                      
  slowdown, sickout, or similar                               
  activity.                                                   

  **4. FAILURE/REFUSAL TO                                     
  FOLLOW INSTRUCTION**                                        

  a\. Negligence, including the Letter of Reprimand to 14-Day 5-Day
  careless failure to comply    Suspension.                   Suspension
  with rules, regulations,                                    to Removal.
  written procedures, or proper                               
  supervisory instructions.                                   

  b\. Deliberate or malicious   Letter of Reprimand to        14-Day
  refusal to comply with rules, Removal.                      Suspension
  regulations, written                                        to Removal.
  procedures, or proper                                       
  supervisory instructions.                                   
  ----------------------------- ----------------------------- ------------

RD Instruction 2045-GG

Exhibit E

Page 7

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  c\. Refusal to provide        Letter of Reprimand to        Removal.
  information to authorized     Removal.                      
  representatives of the                                      
  Department or other                                         
  Government Agencies when                                    
  called upon, when the inquiry                               
  relates to official matters                                 
  and the information is                                      
  obtained in the course of                                   
  employment or as the result                                 
  of relationships incident to                                
  such employment.                                            

  d\. Failure to report for     Removal.                      
  duty as detailed,                                           
  transferred, or reassigned.                                 

  e\. Failure to submit         Letter of Reprimand to 3-Day  5-Day
  required statements of        Suspension.                   Suspension
  financial interests and                                     to Removal.
  outside employment.                                         

  **5. NEGLECT OF DUTY**                                      

  Careless/negligent work,      Letter of Reprimand to        5-Day
  loafing, sleeping on duty,    Removal.                      Suspension
  wasting time, and conducting                                to Removal.
  personal business while on                                  
  duty.                                                       

  **6. ATTENDANCE-RELATED                                     
  OFFENSES** (Penalty will                                    
  depend on the circumstances,                                
  including length, frequency,                                
  and nature of position. To                                  
  support disciplinary action,                                
  tardiness and unauthorized                                  
  absences from the work place                                
  must be charged to AWOL on                                  
  the employee's Time and                                     
  Attendance Report.)                                         

  a\. Unexcused tardiness,      Letter of Reprimand to 1-Day  5-Day
  including delay in: (1)       Suspension.                   Suspension
  reporting at the scheduled                                  to Removal.
  starting time, (2) returning                                
  from lunch or break periods,                                
  and (3) returning from an                                   
  authorized absence from the                                 
  work station.                                               
  ----------------------------- ----------------------------- ------------

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit E

Page 8

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- -------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  b\. Unauthorized absence,     Letter of Reprimand to 5-Day  5-Day
  including leaving the         Suspension.                   Suspension to
  workstation without                                         Removal.
  permission or before the end                                
  of the workday. \[Time                                      
  periods at right refer to the                               
  accumulated total amount of                                 
  AWOL for each offense (i.e.,                                
  disciplinary action proposed)                               
  rather than for each instance                               
  or occurrence of unauthorized                               
  absence. For example, if an                                 
  employee is AWOL on three                                   
  separate occasions and the                                  
  total amount of AWOL shown on                               
  the T&As is more than 8 hours                               
  but less than 5 workdays, the                               
  proposed penalty for a first                                
  offense would normally be a                                 
  suspension of from 1 to 14                                  
  days.\]                                                     

  Absences of More Than 8 Hours 1-Day Suspension to 14-Day    14-Day
  But Less Than 5 Workdays.     Suspension.                   Suspension to
                                                              Removal.

  Absences of 5 Workdays or     14-Day Suspension to Removal. Removal.
  More.                                                       

  **7. INTOXICANTS** - Alcohol                                
  and Spirits (Agencies must                                  
  assure the requirements of                                  
  alcohol abuse programs are                                  
  met before taking action.)                                  

  a\. Unauthorized use of       Letter of Reprimand to 14-Day 30-Day
  intoxicants while on duty, on Suspension.                   Suspension.
  Government property or                                      to Removal
  Government-controlled                                       
  property or premises where                                  
  official duties are                                         
  performed.                                                  

  b\. Reporting to or being on  Letter of Reprimand to 30-Day 30-Day
  duty while under the          Suspension.                   Suspension to
  influence of intoxicants.                                   Removal.
  ----------------------------- ----------------------------- -------------

RD Instruction 2045-GG

Exhibit E

Page 9

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  c\. Operating a               Removal \[If a penalty of     
  Government-owned or           less than removal is          
  Government-leased vehicle (or determined to be appropriate, 
  privately-owned vehicle on    agencies should (at a         
  official business) while      minimum) suspend the          
  under the influence of        employee's official driving   
  intoxicants.                  privileges for a period of    
                                one year.\]                   

  **8. ILLEGAL DRUGS/DRUG                                     
  PARAPHERNALIA/CONTROLLED                                    
  SUBSTANCES** \[See DPM                                      
  Supplement 792-3, Subchapter                                
  8. USDA will not initiate                                   
  disciplinary action when an                                 
  employee -- (1) Voluntarily                                 
  admits drug use to                                          
  appropriate supervisors or                                  
  management officials before                                 
  being identified through                                    
  other means. (2) Obtains and                                
  completes counseling and                                    
  rehabilitation through                                      
  Employee Counseling Services                                
  Program (ECSP). (3)                                         
  Thereafter refrains from                                    
  illegal drug use. In all                                    
  other circumstances, agencies                               
  must make appropriate                                       
  referrals to the ECSP and                                   
  initiate appropriate                                        
  disciplinary action.\]                                      

  a\. Possession of an illegal  5-Day Suspension to Removal.  Removal.
  drug, drug paraphernalia, or                                
  unauthorized controlled                                     
  substance while on duty, on                                 
  Government property or                                      
  Government-controlled                                       
  property, or on premises                                    
  where official duties are                                   
  performed.                                                  

  b\. Use of an illegal drug or 14-Day Suspension to Removal. Removal.
  unauthorized controlled                                     
  substance while on duty, on                                 
  Government property or                                      
  Government-controlled                                       
  property, or on premises                                    
  where official duties are                                   
  performed.                                                  

  c\. Reporting to or being on  14-Day Suspension to Removal. Removal.
  duty while under the                                        
  influence of an illegal drug                                
  or unauthorized controlled                                  
  substance.                                                  

  d\. Sale or distribution of   Removal.                      
  an illegal drug or controlled                               
  substance.                                                  
  ----------------------------- ----------------------------- ------------

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit E

Page 10

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  e\. Operating a               Removal.                      
  Government-owned or                                         
  Government-leased vehicle (or                               
  privately-owned vehicle on                                  
  official business) while                                    
  under the influence of an                                   
  illegal drug.                                               

  f\. Interfering with, or      Removal.                      
  refusing or failing to submit                               
  to a properly ordered or                                    
  authorized drug test,                                       
  including substituting,                                     
  adulterating, or otherwise                                  
  tampering with a urine                                      
  sample.                                                     

  g\. Use of an illegal drug or Letter of Reprimand to        Removal.
  unauthorized controlled       Removal.                      
  substance during non-duty                                   
  hours and on non-work                                       
  premises.                                                   

  **9. PROHIBITED POLITICAL                                   
  ACTIVITY**                                                  

  Engaging in the types of      Letter of Reprimand to        14-Day
  political activity prohibited Removal.                      Suspension
  by law or by Office of                                      to Removal.
  Personnel Management                                        
  regulations.                                                

  **10. SAFETY AND HEALTH                                     
  VIOLATIONS** (Penalty should                                
  take into consideration                                     
  whether danger to persons or                                
  property is involved.)                                      

  a\. Failure to report an      Letter of Reprimand to 14-Day 14-Day
  accident and/or injury as     Suspension.                   Suspension
  required.                                                   to Removal.

  b\. Failure or refusal to     Letter of Reprimand to 14-Day 14-Day
  wear/use required protective  Suspension.                   Suspension
  equipment (e.g., seat belts,                                to Removal.
  earplugs, eye protection,                                   
  etc.).                                                      

  c\. Operation of a            5-Day Suspension to Removal.  Removal.
  Government-owned or                                         
  Government-leased vehicle (or                               
  privately-owned vehicle while                               
  on official business) without                               
  an appropriate State driver's                               
  license.                                                    
  ----------------------------- ----------------------------- ------------

RD Instruction 2045-GG

Exhibit E

Page 11

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  d\. Failure or refusal to     Letter of Reprimand to        5-Day
  observe and/or enforce Safety Removal.                      Suspension
  and Health regulations or to                                to Removal.
  perform duties in a safe                                    
  manner.                                                     

  **11. DISCRIMINATORY                                        
  PRACTICES** (Penalty should                                 
  take into consideration                                     
  whether violation is                                        
  willful/deliberate, or                                      
  careless/negligent.)                                        

  a\. Acting or failing to act  5-Day Suspension to Removal.  Removal.
  on an official matter                                       
  (including a personnel                                      
  action) in a manner which                                   
  improperly takes into                                       
  consideration an individual's                               
  political affiliation, race,                                
  color, religion, national                                   
  origin, sex, marital status,                                
  age, or handicapping                                        
  condition. \[This includes                                  
  discrimination for or against                               
  any employee or applicant for                               
  employment prohibited by 42                                 
  U.S.C. 2000e-16; 29 U.S.C.                                  
  631 or 633a; 29 U.S.C.                                      
  206(d); 29 U.S.C. 791; or any                               
  other law, rule, or                                         
  regulation.\]                                               

  b\. Any reprisal or           5-Day Suspension to Removal.  Removal.
  retaliation action against an                               
  individual involved in the                                  
  EEO complaint process.                                      

  c\. Use of remarks which      Letter of Reprimand to 30-Day 14-Day
  relate to and insult or       Suspension.                   Suspension
  denigrate an individual's                                   to Removal.
  race, color, religion,                                      
  national origin, sex, marital                               
  status, age, or handicapping                                
  condition.                                                  
  ----------------------------- ----------------------------- ------------

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit E

Page 12

**USDA GUIDE FOR DISCIPLINARY PENALTIES**

  ----------------------------- ----------------------------- ------------
  **TYPE OF MISCONDUCT**        **PENALTY FOR FIRST OFFENSE** **PENALTY
                                                              FOR
                                                              SUBSEQUENT
                                                              OFFENSE**

  d\. Negligence or             Letter of Reprimand to 5-Day  5-Day
  insensitivity to an           Suspension.                   Suspension
  individual's race, color,                                   to Removal.
  religion, national origin,                                  
  sex, marital status, age, or                                
  handicapping condition which                                
  is determined to be                                         
  discriminatory and where                                    
  there is no other finding of                                
  overt discrimination.                                       

  e\. Failure to take           5-Day Suspension to Removal.  Removal.
  appropriate action regarding                                
  allegations or findings of                                  
  discriminatory practices.                                   

  **12. SEXUAL MISCONDUCT**                                   

  a\. Actual or attempted       Removal                       
  sexual assault (e.g., rape)                                 

  b\. Inappropriate and/or      14-Day Suspension to Removal. 30-Day
  unwelcome touching or other                                 Suspension
  physical contact.                                           to Removal.

  c\. Pressure for (or official 30-Day Suspension to Removal. Removal.
  action based on) sexual                                     
  favors, including taking                                    
  action favorable to an                                      
  employee because of the                                     
  granting of a sexual favor or                               
  denying an action favorable                                 
  to an employee because of the                               
  withholding of a sexual                                     
  favor.                                                      

  d\. Inappropriate and/or      Letter of Reprimand to 30-Day 14-Day
  unwelcome teasing, jokes,     Suspension.                   Suspension
  actions, gestures, display of                               to Removal.
  visual material of a sexual                                 
  nature or remarks of a sexual                               
  nature.                                                     

  **13. PROHIBITED PERSONNEL                                  
  PRACTICES** (Not elsewhere                                  
  covered.)                                                   

  Abuse of authority and        Letter of Reprimand to        Removal.
  commission of a prohibited    Removal.                      
  personnel practice covered by                               
  5 U.S.C. 2302.                                              
  ----------------------------- ----------------------------- ------------

oOo

RD Instruction 2045-GG

Exhibit F

Page 1

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+------+--------+---------------+------+------+----------------------+
| **   | **     | **Ad          | *    | **F  | ##### Remarks        |
| Empl | Deputy | ministrators, | *Sec | irst |                      |
| oyee | A      | Assistant     | tion | and  |                      |
| R    | dminis | Ad            | He   | Se   |                      |
| elat | trator | ministrators, | ads, | cond |                      |
| ions | for    | Chief         | Br   | Line |                      |
| Ac   | Oper   | Financial     | anch | S    |                      |
| tivi | ations | Officer,**    | Chi  | uper |                      |
| ty** | and    |               | efs, | viso |                      |
|      | Mana   | **Deputy      | and  | rs** |                      |
|      | gement | Chief         | abo  |      |                      |
|      | (D     | Financial     | ve** | **(  |                      |
|      | AOM)** | Officer,**    |      | D.C. |                      |
|      |        |               | **   | p    |                      |
|      |        | **Chief       | (St. | erso |                      |
|      |        | Information** | L    | nnel |                      |
|      |        |               | ouis | onl  |                      |
|      |        | **Officer,**  | p    | y)** |                      |
|      |        |               | erso |      |                      |
|      |        | **Deputy      | nnel |      |                      |
|      |        | Chief**       | onl  |      |                      |
|      |        |               | y)** |      |                      |
|      |        | **Information |      |      |                      |
|      |        | Officer,      |      |      |                      |
|      |        | and**         |      |      |                      |
|      |        |               |      |      |                      |
|      |        | **Director of |      |      |                      |
|      |        | Centralized   |      |      |                      |
|      |        | Servicing     |      |      |                      |
|      |        | Center**      |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **   |       |              |     |     | Supervisors at any   |
| Coun |        |               |      |      | level are authorized |
| seli |        |               |      |      | to provide           |
| ng** |        |               |      |      | performance and      |
| (wri |        |               |      |      | disciplinary         |
| tten |        |               |      |      | counseling.          |
| or   |        |               |      |      |                      |
| o    |        |               |      |      | Field Services       |
| ral) |        |               |      |      | Branch (FSB) and     |
|      |        |               |      |      | Headquarters         |
|      |        |               |      |      | Personnel Services   |
|      |        |               |      |      | Branch (HPSB) staff  |
|      |        |               |      |      | may assist in the    |
|      |        |               |      |      | preparation of a     |
|      |        |               |      |      | written counseling.  |
+------+--------+---------------+------+------+----------------------+
| *    |       |              |     |     | Supervisors at any   |
| *Rep |        |               |      |      | level are authorized |
| rima |        |               |      |      | to issue reprimands. |
| nd** |        |               |      |      |                      |
|      |        |               |      |      | FSB and HPSB staff   |
|      |        |               |      |      | [must]{.underline}   |
|      |        |               |      |      | assist in the        |
|      |        |               |      |      | preparation of       |
|      |        |               |      |      | written reprimands.  |
+------+--------+---------------+------+------+----------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit F

Page 2

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+------+--------+---------------+------+------+----------------------+
| **Em | **De   | **Ad          | *    | **F  | ##### Remarks        |
| ploy | puty** | ministrators, | *Sec | irst |                      |
| ee** |        | Assistant     | tion | and  |                      |
|      | **Adm  | Ad            | He   | Se   |                      |
| *    | inistr | ministrators, | ads, | cond |                      |
| *Rel | ator** | Chief         | Br   | Line |                      |
| atio |        | Financial     | anch | S    |                      |
| ns** | *      | Officer,**    | Chi  | uper |                      |
|      | *For** |               | efs, | viso |                      |
| **Ac |        | **Deputy      | and  | rs** |                      |
| tivi | **Oper | Chief         | abo  |      |                      |
| ty** | ations | Financial     | ve** | **(  |                      |
|      | and    | Officer,**    |      | D.C. |                      |
|      | Manage |               | **   | p    |                      |
|      | ment** | **Chief       | (St. | erso |                      |
|      |        | Information** | L    | nnel |                      |
|      | **(D   |               | ouis | onl  |                      |
|      | AOM)** | **Officer,**  | p    | y)** |                      |
|      |        |               | erso |      |                      |
|      |        | **Deputy      | nnel |      |                      |
|      |        | Chief**       | onl  |      |                      |
|      |        |               | y)** |      |                      |
|      |        | **Information |      |      |                      |
|      |        | Officer,      |      |      |                      |
|      |        | and**         |      |      |                      |
|      |        |               |      |      |                      |
|      |        | **Director of |      |      |                      |
|      |        | Centralized   |      |      |                      |
|      |        | Servicing     |      |      |                      |
|      |        | Center**      |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **   |       |              |     |     | Supervisors at any   |
| Susp |        |               |      |      | level may be         |
| ensi |        |               |      |      | redelegated          |
| on** |        |               |      |      | authority to propose |
| (Pre |        |               |      |      | suspensions of 14    |
| para |        |               |      |      | days or less.        |
| tion |        |               |      |      |                      |
| and  |        |               |      |      | FSB and HPSB staff   |
| issu |        |               |      |      | [must]{.underline}   |
| ance |        |               |      |      | assist in the        |
| of   |        |               |      |      | preparation of       |
| p    |        |               |      |      | proposals.           |
| ropo |        |               |      |      |                      |
| sals |        |               |      |      |                      |
| for  |        |               |      |      |                      |
| 14   |        |               |      |      |                      |
| days |        |               |      |      |                      |
| or   |        |               |      |      |                      |
| le   |        |               |      |      |                      |
| ss.) |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **   |       |              | \*  |     | \*Only Branch Chiefs |
| Susp |        |               |      | \*\* | and above may render |
| ensi |        |               |      |      | decisions in St.     |
| on** |        |               |      |      | Louis offices.       |
| (Pre |        |               |      |      |                      |
| para |        |               |      |      | \*\*Normally, 2^nd^  |
| tion |        |               |      |      | line supervisors and |
| and  |        |               |      |      | above render         |
| issu |        |               |      |      | decisions for        |
| ance |        |               |      |      | National Office      |
| of   |        |               |      |      | staff. The deciding  |
| d    |        |               |      |      | official must be a   |
| ecis |        |               |      |      | GS-13 or above.      |
| ions |        |               |      |      |                      |
| for  |        |               |      |      | FSB and HPSB staff   |
| 14   |        |               |      |      | [must]{.underline}   |
| days |        |               |      |      | assist in the        |
| or   |        |               |      |      | preparation of       |
| le   |        |               |      |      | decision letters.    |
| ss.) |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+

RD Instruction 2045-GG

Exhibit F

Page 3

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+------+--------+---------------+------+------+----------------------+
| **Em | **De   | **Ad          | *    | **F  | ##### Remarks        |
| ploy | puty** | ministrators, | *Sec | irst |                      |
| ee** |        | Assistant     | tion | and  |                      |
|      | **Adm  | Ad            | He   | Se   |                      |
| *    | inistr | ministrators, | ads, | cond |                      |
| *Rel | ator** | Chief         | Br   | Line |                      |
| atio |        | Financial     | anch | S    |                      |
| ns** | *      | Officer,**    | Chi  | uper |                      |
|      | *For** |               | efs, | viso |                      |
| **Ac |        | **Deputy      | and  | rs** |                      |
| tivi | **Oper | Chief         | abo  |      |                      |
| ty** | ations | Financial     | ve** | **(  |                      |
|      | and    | Officer,**    |      | D.C. |                      |
|      | Manage |               | **   | p    |                      |
|      | ment** | **Chief       | (St. | erso |                      |
|      |        | Information** | L    | nnel |                      |
|      | **(D   |               | ouis | onl  |                      |
|      | AOM)** | **Officer,**  | p    | y)** |                      |
|      |        |               | erso |      |                      |
|      |        | **Deputy      | nnel |      |                      |
|      |        | Chief**       | onl  |      |                      |
|      |        |               | y)** |      |                      |
|      |        | **Information |      |      |                      |
|      |        | Officer,      |      |      |                      |
|      |        | and**         |      |      |                      |
|      |        |               |      |      |                      |
|      |        | **Director of |      |      |                      |
|      |        | Centralized   |      |      |                      |
|      |        | Servicing     |      |      |                      |
|      |        | Center**      |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **   |       |              |     |     | Supervisors at any   |
| Susp |        |               |      |      | level may be         |
| ensi |        |               |      |      | redelegated          |
| on** |        |               |      |      | authority to propose |
| (Pre |        |               |      |      | suspensions of more  |
| para |        |               |      |      | than 14 days.        |
| tion |        |               |      |      |                      |
| and  |        |               |      |      | Normally the         |
| issu |        |               |      |      | immediate supervisor |
| ance |        |               |      |      | proposes the         |
| of   |        |               |      |      | suspension for       |
| p    |        |               |      |      | headquarters         |
| ropo |        |               |      |      | personnel.           |
| sals |        |               |      |      |                      |
| for  |        |               |      |      | FSB and HPSB staff   |
| more |        |               |      |      | [must]{.underline}   |
| than |        |               |      |      | assist in the        |
| 14   |        |               |      |      | preparation of       |
| da   |        |               |      |      | decision letters.    |
| ys.) |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **   |       |               |      |      | DAOM serves as the   |
| Susp |        |               |      |      | deciding official    |
| ensi |        |               |      |      | for all suspensions  |
| on** |        |               |      |      | of more than 14      |
| (Pre |        |               |      |      | days.                |
| para |        |               |      |      |                      |
| tion |        |               |      |      | Prior to issuance of |
| and  |        |               |      |      | a decision for       |
| issu |        |               |      |      | suspensions          |
| ance |        |               |      |      | exceeding 14 days,   |
| of   |        |               |      |      | FSB and HPSB will    |
| d    |        |               |      |      | prepare an analysis  |
| ecis |        |               |      |      | and recommendation   |
| ions |        |               |      |      | for the deciding     |
| for  |        |               |      |      | official's           |
| more |        |               |      |      | consideration.       |
| than |        |               |      |      |                      |
| 14   |        |               |      |      |                      |
| da   |        |               |      |      |                      |
| ys.) |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit F

Page 4

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+------+--------+---------------+------+------+----------------------+
| **Em | **De   | **Ad          | *    | **F  | **Remarks**          |
| ploy | puty** | ministrators, | *Sec | irst |                      |
| ee** |        | Assistant     | tion | and  |                      |
|      | **Adm  | Ad            | He   | Se   |                      |
| *    | inistr | ministrators, | ads, | cond |                      |
| *Rel | ator** | Chief         | Br   | Line |                      |
| atio |        | Financial     | anch | S    |                      |
| ns** | *      | Officer,**    | Chi  | uper |                      |
|      | *For** |               | efs, | viso |                      |
| **Ac |        | **Deputy      | and  | rs** |                      |
| tivi | **Oper | Chief         | abo  |      |                      |
| ty** | ations | Financial     | ve** | **(  |                      |
|      | and    | Officer,**    |      | D.C. |                      |
|      | Manage |               | **   | p    |                      |
|      | ment** | **Chief       | (St. | erso |                      |
|      |        | Information** | L    | nnel |                      |
|      | **(D   |               | ouis | onl  |                      |
|      | AOM)** | **Officer,**  | p    | y)** |                      |
|      |        |               | erso |      |                      |
|      |        | **Deputy      | nnel |      |                      |
|      |        | Chief**       | onl  |      |                      |
|      |        |               | y)** |      |                      |
|      |        | **Information |      |      |                      |
|      |        | Officer,      |      |      |                      |
|      |        | and**         |      |      |                      |
|      |        |               |      |      |                      |
|      |        | **Director of |      |      |                      |
|      |        | Centralized   |      |      |                      |
|      |        | Servicing     |      |      |                      |
|      |        | Center**      |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **R  |       |              |      | \*  | \*Normally the       |
| educ |        |               |      |      | immediate supervisor |
| tion |        |               |      |      | proposes a reduction |
| in   |        |               |      |      | in grade at the NO   |
| gra  |        |               |      |      | level. The proposing |
| de** |        |               |      |      | official must be a   |
| (Pre |        |               |      |      | GS-13 or above.      |
| para |        |               |      |      |                      |
| tion |        |               |      |      | FSB and HPSB staff   |
| and  |        |               |      |      | [must]{.underline}   |
| issu |        |               |      |      | assist in the        |
| ance |        |               |      |      | preparation of a     |
| of   |        |               |      |      | proposal to reduce   |
| pr   |        |               |      |      | an employee in       |
| opos |        |               |      |      | grade.               |
| al.) |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| R    |       |               |      |      | Only the DAOM serves |
| educ |        |               |      |      | as the deciding      |
| tion |        |               |      |      | official for         |
| in   |        |               |      |      | reductions in grade. |
| g    |        |               |      |      |                      |
| rade |        |               |      |      | Prior to issuance of |
|      |        |               |      |      | a decision to reduce |
| (Pre |        |               |      |      | an employee in       |
| para |        |               |      |      | grade, FSB and HPSB  |
| tion |        |               |      |      | staff will prepare   |
| and  |        |               |      |      | an analysis and      |
| issu |        |               |      |      | recommendation for   |
| ance |        |               |      |      | the deciding         |
| of   |        |               |      |      | official's           |
| dec  |        |               |      |      | consideration.       |
| isio |        |               |      |      |                      |
| ns.) |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+

RD Instruction 2045-GG

Exhibit F

Page 5

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+------+--------+---------------+------+------+----------------------+
| **   | **     | **Ad          | *    | **F  | **Remarks**          |
| Empl | Deputy | ministrators, | *Sec | irst |                      |
| oyee | A      | Assistant     | tion | and  |                      |
| R    | dminis | Ad            | He   | Se   |                      |
| elat | trator | ministrators, | ads, | cond |                      |
| ions | for    | Chief         | Br   | Line |                      |
| Ac   | Oper   | Financial     | anch | S    |                      |
| tivi | ations | Officer,**    | Chi  | uper |                      |
| ty** | and    |               | efs, | viso |                      |
|      | Mana   | **Deputy      | and  | rs** |                      |
|      | gement | Chief         | abo  |      |                      |
|      | (D     | Financial     | ve** | **(  |                      |
|      | AOM)** | Officer,**    |      | D.C. |                      |
|      |        |               | **   | p    |                      |
|      |        | **Chief       | (St. | erso |                      |
|      |        | Information** | L    | nnel |                      |
|      |        |               | ouis | onl  |                      |
|      |        | **Officer,**  | p    | y)** |                      |
|      |        |               | erso |      |                      |
|      |        | **Deputy      | nnel |      |                      |
|      |        | Chief**       | onl  |      |                      |
|      |        |               | y)** |      |                      |
|      |        | **Information |      |      |                      |
|      |        | Officer,      |      |      |                      |
|      |        | and**         |      |      |                      |
|      |        |               |      |      |                      |
|      |        | **Director of |      |      |                      |
|      |        | Centralized   |      |      |                      |
|      |        | Servicing     |      |      |                      |
|      |        | Center**      |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **R  | -      | -             |      | \*  | \*Normally the       |
| emov |        |               |      |      | immediate supervisor |
| al** |        |               |      |      | proposes removal at  |
|      |        |               |      |      | the NO level.        |
| **   |        |               |      |      | However, the         |
| (Per |        |               |      |      | proposing official   |
| mane |        |               |      |      | must be a GS-13 or   |
| nt** |        |               |      |      | above.               |
|      |        |               |      |      |                      |
| *    |        |               |      |      | FSB and HPSB staff   |
| *Emp |        |               |      |      | [must]{.underline}   |
| loye |        |               |      |      | assist in the        |
| e)** |        |               |      |      | preparation of a     |
|      |        |               |      |      | proposal to remove   |
| Pre  |        |               |      |      | an employee.         |
| para |        |               |      |      |                      |
| tion |        |               |      |      |                      |
| and  |        |               |      |      |                      |
| issu |        |               |      |      |                      |
| ance |        |               |      |      |                      |
| of   |        |               |      |      |                      |
| pr   |        |               |      |      |                      |
| opos |        |               |      |      |                      |
| als. |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **R  |       |               |      |      | Only the DAOM serves |
| emov |        |               |      |      | as the deciding      |
| al** |        |               |      |      | official for         |
| **(P |        |               |      |      | removals.            |
| erma |        |               |      |      |                      |
| nent |        |               |      |      | Prior to issuance of |
| Emp  |        |               |      |      | a decision for       |
| loye |        |               |      |      | removal, FSB and     |
| e)** |        |               |      |      | HPSB will prepare an |
|      |        |               |      |      | analysis and         |
| Pre  |        |               |      |      | recommendation for   |
| para |        |               |      |      | the deciding         |
| tion |        |               |      |      | official's           |
| and  |        |               |      |      | consideration.       |
| issu |        |               |      |      |                      |
| ance |        |               |      |      |                      |
| of   |        |               |      |      |                      |
| d    |        |               |      |      |                      |
| ecis |        |               |      |      |                      |
| ion. |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit F

Page 6

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+------+--------+---------------+------+------+----------------------+
| **   | **     | **Ad          | *    | **F  | ##### Remarks        |
| Empl | Deputy | ministrators, | *Sec | irst |                      |
| oyee | A      | Assistant     | tion | and  |                      |
| R    | dminis | Ad            | He   | Se   |                      |
| elat | trator | ministrators, | ads, | cond |                      |
| ions | for    | Chief         | Br   | Line |                      |
| Ac   | Oper   | Financial     | anch | S    |                      |
| tivi | ations | Officer,**    | Chi  | uper |                      |
| ty** | and    |               | efs, | viso |                      |
|      | Mana   | **Deputy      | and  | rs** |                      |
|      | gement | Chief         | abo  |      |                      |
|      | (D     | Financial     | ve** | **(  |                      |
|      | AOM)** | Officer,**    |      | D.C. |                      |
|      |        |               | **   | p    |                      |
|      |        | **Chief       | (St. | erso |                      |
|      |        | Information** | L    | nnel |                      |
|      |        |               | ouis | onl  |                      |
|      |        | **Officer,**  | p    | y)** |                      |
|      |        |               | erso |      |                      |
|      |        | **Deputy      | nnel |      |                      |
|      |        | Chief**       | onl  |      |                      |
|      |        |               | y)** |      |                      |
|      |        | **Information |      |      |                      |
|      |        | Officer,      |      |      |                      |
|      |        | and**         |      |      |                      |
|      |        |               |      |      |                      |
|      |        | **Director of |      |      |                      |
|      |        | Centralized   |      |      |                      |
|      |        | Servicing     |      |      |                      |
|      |        | Center**      |      |      |                      |
+------+--------+---------------+------+------+----------------------+
| **T  |       |              |     |     | *\***Proposals are   |
| ermi |        |               |      |      | only issued when     |
| nati |        |               |      |      | terminations are     |
| on** |        |               |      |      | based in part or     |
|      |        |               |      |      | whole on conditions  |
| *    |        |               |      |      | arising              |
| *(Pr |        |               |      |      | [before]{.underline} |
| obat |        |               |      |      | the employee's       |
| ione |        |               |      |      | appointment.***      |
| r)** |        |               |      |      |                      |
|      |        |               |      |      | Branch Chiefs and    |
| Pre  |        |               |      |      | above prepare the    |
| para |        |               |      |      | proposal of          |
| tion |        |               |      |      | termination in St.   |
|      |        |               |      |      | Louis.               |
| and  |        |               |      |      |                      |
| issu |        |               |      |      | Normally the         |
| ance |        |               |      |      | immediate supervisor |
| of   |        |               |      |      | prepares the         |
| wri  |        |               |      |      | proposal of          |
| tten |        |               |      |      | termination in D.C.  |
| pro  |        |               |      |      |                      |
| posa |        |               |      |      | Supervisors at all   |
| ls\* |        |               |      |      | levels               |
| for  |        |               |      |      | [must]{.underline}   |
|      |        |               |      |      | seek review by FSB   |
| E    |        |               |      |      | and HPSB prior to    |
| mplo |        |               |      |      | issuance of          |
| yees |        |               |      |      | proposals to         |
| ser  |        |               |      |      | employees.           |
| ving |        |               |      |      |                      |
| prob |        |               |      |      |                      |
| atio |        |               |      |      |                      |
| nary |        |               |      |      |                      |
| or   |        |               |      |      |                      |
| t    |        |               |      |      |                      |
| rial |        |               |      |      |                      |
| peri |        |               |      |      |                      |
| ods. |        |               |      |      |                      |
+------+--------+---------------+------+------+----------------------+

RD Instruction 2045-GG

Exhibit F

Page 7

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+-------+-------+---------------+------+------+----------------------+
| **Emp | **D   | **Ad          | *    | **F  | **Remarks**          |
| loyee | eputy | ministrators, | *Sec | irst |                      |
| Rela  | Adm   | Assistant     | tion | and  |                      |
| tions | inist | Ad            | He   | Se   |                      |
| Activ | rator | ministrators, | ads, | cond |                      |
| ity** | for   | Chief         | Br   | Line |                      |
|       | Opera | Financial     | anch | S    |                      |
|       | tions | Officer,**    | Chi  | uper |                      |
|       | and   |               | efs, | viso |                      |
|       | Manag | **Deputy      | and  | rs** |                      |
|       | ement | Chief         | abo  |      |                      |
|       | (DA   | Financial     | ve** | **(  |                      |
|       | OM)** | Officer,**    |      | D.C. |                      |
|       |       |               | **   | p    |                      |
|       |       | **Chief       | (St. | erso |                      |
|       |       | Information** | L    | nnel |                      |
|       |       |               | ouis | onl  |                      |
|       |       | **Officer,**  | p    | y)** |                      |
|       |       |               | erso |      |                      |
|       |       | **Deputy      | nnel |      |                      |
|       |       | Chief**       | onl  |      |                      |
|       |       |               | y)** |      |                      |
|       |       | **Information |      |      |                      |
|       |       | Officer,      |      |      |                      |
|       |       | and**         |      |      |                      |
|       |       |               |      |      |                      |
|       |       | **Director of |      |      |                      |
|       |       | Centralized   |      |      |                      |
|       |       | Servicing     |      |      |                      |
|       |       | Center**      |      |      |                      |
+-------+-------+---------------+------+------+----------------------+
| **Ter |      |               |      |      | \****Decision        |
| minat |       |               |      |      | letters are only     |
| ion** |       |               |      |      | issued when          |
|       |       |               |      |      | proposals are given  |
| **c   |       |               |      |      | to employees.***     |
| ontin |       |               |      |      |                      |
| ued** |       |               |      |      | Only the DAOM serves |
|       |       |               |      |      | as the Deciding      |
| **    |       |               |      |      | Official for         |
| (Prob |       |               |      |      | terminations when    |
| ation |       |               |      |      | proposals are        |
| er)** |       |               |      |      | issued.              |
|       |       |               |      |      |                      |
| P     |       |               |      |      | Prior to issuance of |
| repar |       |               |      |      | a decision for all   |
| ation |       |               |      |      | proposed             |
| and   |       |               |      |      | terminations, HPSB   |
| iss   |       |               |      |      | and FSB prepare and  |
| uance |       |               |      |      | submit an analysis   |
| of    |       |               |      |      | and recommendation   |
| d     |       |               |      |      | through the AAHR for |
| ecisi |       |               |      |      | the deciding         |
| ons\* |       |               |      |      | official's           |
| for   |       |               |      |      | consideration.       |
|       |       |               |      |      |                      |
| empl  |       |               |      |      |                      |
| oyees |       |               |      |      |                      |
| se    |       |               |      |      |                      |
| rving |       |               |      |      |                      |
| pr    |       |               |      |      |                      |
| obati |       |               |      |      |                      |
| onary |       |               |      |      |                      |
| or    |       |               |      |      |                      |
| trial |       |               |      |      |                      |
| per   |       |               |      |      |                      |
| iods. |       |               |      |      |                      |
+-------+-------+---------------+------+------+----------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit F

Page 8

National Office Delegations Chart

DELEGATIONS OF ATHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY AND TRIAL PERIOD
TERMINATIONS

+-------+-------+---------------+------+------+----------------------+
| **Emp | **D   | **Ad          | *    | **F  | **Remarks**          |
| loyee | eputy | ministrators, | *Sec | irst |                      |
| Rela  | Adm   | Assistant     | tion | and  |                      |
| tions | inist | Ad            | He   | Se   |                      |
| Activ | rator | ministrators, | ads, | cond |                      |
| ity** | for   | Chief         | Br   | Line |                      |
|       | Opera | Financial     | anch | S    |                      |
|       | tions | Officer,**    | Chi  | uper |                      |
|       | and   |               | efs, | viso |                      |
|       | Manag | **Deputy      | and  | rs** |                      |
|       | ement | Chief         | abo  |      |                      |
|       | (DA   | Financial     | ve** | **(  |                      |
|       | OM)** | Officer,**    |      | D.C. |                      |
|       |       |               | **   | p    |                      |
|       |       | **Chief       | (St. | erso |                      |
|       |       | Information** | L    | nnel |                      |
|       |       |               | ouis | onl  |                      |
|       |       | **Officer,**  | p    | y)** |                      |
|       |       |               | erso |      |                      |
|       |       | **Deputy      | nnel |      |                      |
|       |       | Chief**       | onl  |      |                      |
|       |       |               | y)** |      |                      |
|       |       | **Information |      |      |                      |
|       |       | Officer,      |      |      |                      |
|       |       | and**         |      |      |                      |
|       |       |               |      |      |                      |
|       |       | **Director of |      |      |                      |
|       |       | Centralized   |      |      |                      |
|       |       | Servicing     |      |      |                      |
|       |       | Center**      |      |      |                      |
+-------+-------+---------------+------+------+----------------------+
| **Ter |       |              |     |     | \****Notices, rather |
| minat |       |               |      |      | than proposals, are  |
| ion** |       |               |      |      | issued when          |
|       |       |               |      |      | terminations are     |
| **    |       |               |      |      | based upon deficient |
| (Prob |       |               |      |      | performance or       |
| ation |       |               |      |      | misconduct arising   |
| er)** |       |               |      |      | [during]{.underline} |
|       |       |               |      |      | an employee's        |
| P     |       |               |      |      | current              |
| repar |       |               |      |      | appointment***       |
| ation |       |               |      |      |                      |
|       |       |               |      |      | Decision letters are |
| and   |       |               |      |      | not issued to        |
| iss   |       |               |      |      | employees when       |
| uance |       |               |      |      | notices are given.   |
| of    |       |               |      |      |                      |
| wr    |       |               |      |      | Supervisors at all   |
| itten |       |               |      |      | levels               |
| noti  |       |               |      |      | [must]{.underline}   |
| ces\* |       |               |      |      | seek review by HPSB  |
|       |       |               |      |      | and FSB prior to     |
| for   |       |               |      |      | issuance of          |
|       |       |               |      |      | proposals to         |
| empl  |       |               |      |      | employee.            |
| oyees |       |               |      |      |                      |
| se    |       |               |      |      |                      |
| rving |       |               |      |      |                      |
| pr    |       |               |      |      |                      |
| obati |       |               |      |      |                      |
| onary |       |               |      |      |                      |
| or    |       |               |      |      |                      |
| trial |       |               |      |      |                      |
| per   |       |               |      |      |                      |
| iods. |       |               |      |      |                      |
+-------+-------+---------------+------+------+----------------------+

The Under Secretary for Rural Development has delegated authority for
administering disciplinary and adverse actions.

The Under Secretary has redelegated much of this authority to the
positions annotated in this chart.

oOo

RD Instruction 2045-GG

Exhibit G

Page 1

**State Office Delegations Chart**

**DELEGATIONS OF AUTHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY**

**AND TRIAL PERIOD TERMINATIONS**

+-------+--------+--------+-----+------+------+---------------------+
| **EMP | **     | **ASS  | *   | **SE | **F  | # REMARKS           |
| LOYEE | DEPUTY | ISTANT | *ST | COND | IRST |                     |
| RELA  | A      | A      | ATE | LINE | LINE |                     |
| TIONS | DMINIS | DMINIS | DI  | SUPE | SUPE |                     |
| ACTIV | TRATOR | TRATOR | REC | RVIS | RVIS |                     |
| ITY** | for    | for    | TOR | OR** | OR** |                     |
|       | OPER   | HUMAN  | (SD |      |      |                     |
|       | ATIONS | RES    | )** |      |      |                     |
|       | and    | OURCES |     |      |      |                     |
|       | MANA   | (A     |     |      |      |                     |
|       | GEMENT | AHR)** |     |      |      |                     |
|       | (D     |        |     |      |      |                     |
|       | AOM)** |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| **Co  |        |        |    |     |     | Supervisors at any  |
| unsel |        |        |     |      |      | level are           |
| ing** |        |        |     |      |      | authorized to       |
| (wr   |        |        |     |      |      | provide             |
| itten |        |        |     |      |      | perform-ance and    |
| or    |        |        |     |      |      | disciplinary        |
| oral) |        |        |     |      |      | counseling.         |
|       |        |        |     |      |      |                     |
|       |        |        |     |      |      | FSB staff may       |
|       |        |        |     |      |      | assist in the       |
|       |        |        |     |      |      | preparation of      |
|       |        |        |     |      |      | counselings.        |
+-------+--------+--------+-----+------+------+---------------------+
| **R   |        |        |    |      |      | SDs may redelegate  |
| eprim |        |        |     |      |      | this authority to   |
| and** |        |        |     |      |      | supervisors at any  |
|       |        |        |     |      |      | level.              |
|       |        |        |     |      |      |                     |
|       |        |        |     |      |      | FSB staff           |
|       |        |        |     |      |      | [must]{.underline}  |
|       |        |        |     |      |      | assist in the       |
|       |        |        |     |      |      | preparation of a    |
|       |        |        |     |      |      | reprimand.          |
+-------+--------+--------+-----+------+------+---------------------+
| **Su  |        |        |    |      |      | SDs may redelegate  |
| spens |        |        |     |      |      | this authority to   |
| ion** |        |        |     |      |      | supervisors at any  |
| (P    |        |        |     |      |      | level.              |
| repar |        |        |     |      |      |                     |
| ation |        |        |     |      |      | Supervisors at all  |
| and   |        |        |     |      |      | levels              |
| iss   |        |        |     |      |      | [must]{.underline}  |
| uance |        |        |     |      |      | seek review by FSB  |
| of    |        |        |     |      |      | prior to issuance   |
| prop  |        |        |     |      |      | to employee.        |
| osals |        |        |     |      |      |                     |
| for   |        |        |     |      |      |                     |
| 14    |        |        |     |      |      |                     |
| days  |        |        |     |      |      |                     |
| or    |        |        |     |      |      |                     |
| l     |        |        |     |      |      |                     |
| ess.) |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit G

Page 2

**State Office Delegations Chart**

**DELEGATIONS OF AUTHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY**

**AND TRIAL PERIOD TERMINATIONS**

+-------+--------+--------+-----+------+------+---------------------+
| **EMP | **     | **ASS  | *   | **SE | **F  | **REMARKS**         |
| LOYEE | DEPUTY | ISTANT | *ST | COND | IRST |                     |
| RELA  | A      | A      | ATE | LINE | LINE |                     |
| TIONS | DMINIS | DMINIS | DI  | SUPE | SUPE |                     |
| ACTIV | TRATOR | TRATOR | REC | RVIS | RVIS |                     |
| ITY** | for    | for    | TOR | OR** | OR** |                     |
|       | OPER   | HUMAN  | (SD |      |      |                     |
|       | ATIONS | RES    | )** |      |      |                     |
|       | and    | OURCES |     |      |      |                     |
|       | MANA   | (A     |     |      |      |                     |
|       | GEMENT | AHR)** |     |      |      |                     |
|       | (D     |        |     |      |      |                     |
|       | AOM)** |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| **Su  |        |        |    |      |      | SDs may redelegate  |
| spens |        |        |     |      |      | this authority to   |
| ion** |        |        |     |      |      | supervisors at any  |
| (P    |        |        |     |      |      | level.              |
| repar |        |        |     |      |      |                     |
| ation |        |        |     |      |      | Supervisors at all  |
| and   |        |        |     |      |      | levels              |
| iss   |        |        |     |      |      | [must]{.underline}  |
| uance |        |        |     |      |      | seek review by FSB  |
| of    |        |        |     |      |      | prior to issuance   |
| deci  |        |        |     |      |      | to employee.        |
| sions |        |        |     |      |      |                     |
| for   |        |        |     |      |      |                     |
| 14    |        |        |     |      |      |                     |
| days  |        |        |     |      |      |                     |
| or    |        |        |     |      |      |                     |
| l     |        |        |     |      |      |                     |
| ess.) |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| **Su  |        |        |    |      |      | SDs may redelegate  |
| spens |        |        |     |      |      | this authority to   |
| ion** |        |        |     |      |      | supervisors at any  |
| (P    |        |        |     |      |      | level.              |
| repar |        |        |     |      |      |                     |
| ation |        |        |     |      |      | Supervisors at all  |
| and   |        |        |     |      |      | levels              |
| iss   |        |        |     |      |      | [must]{.underline}  |
| uance |        |        |     |      |      | seek review by FSB  |
| of    |        |        |     |      |      | prior to issuance   |
| prop  |        |        |     |      |      | to employee.        |
| osals |        |        |     |      |      |                     |
| for   |        |        |     |      |      |                     |
| more  |        |        |     |      |      |                     |
| than  |        |        |     |      |      |                     |
| 14    |        |        |     |      |      |                     |
| d     |        |        |     |      |      |                     |
| ays.) |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| **Su  |       |        |     |      |      | Prior to issuance   |
| spens |        |        |     |      |      | of a decision for   |
| ion** |        |        |     |      |      | all proposed        |
| (P    |        |        |     |      |      | suspensions         |
| repar |        |        |     |      |      | exceeding 14 days,  |
| ation |        |        |     |      |      | FSB prepares and    |
| and   |        |        |     |      |      | submits an analysis |
| iss   |        |        |     |      |      | and recommendation  |
| uance |        |        |     |      |      | through the AAHR    |
| of    |        |        |     |      |      | for the deciding    |
| deci  |        |        |     |      |      | official's          |
| sions |        |        |     |      |      | consideration.      |
| for   |        |        |     |      |      |                     |
| more  |        |        |     |      |      |                     |
| than  |        |        |     |      |      |                     |
| 14    |        |        |     |      |      |                     |
| d     |        |        |     |      |      |                     |
| ays.) |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+

RD Instruction 2045-GG

Exhibit G

Page 3

**State Office Delegations Chart**

**DELEGATIONS OF AUTHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY**

**AND TRIAL PERIOD TERMINATIONS**

+-------+--------+--------+-----+------+------+---------------------+
| **EMP | **     | **ASS  | *   | **SE | **F  | **REMARKS**         |
| LOYEE | DEPUTY | ISTANT | *ST | COND | IRST |                     |
| RELA  | A      | A      | ATE | LINE | LINE |                     |
| TIONS | DMINIS | DMINIS | DI  | SUPE | SUPE |                     |
| ACTIV | TRATOR | TRATOR | REC | RVIS | RVIS |                     |
| ITY** | for    | for    | TOR | OR** | OR** |                     |
|       | OPER   | HUMAN  | (SD |      |      |                     |
|       | ATIONS | RES    | )** |      |      |                     |
|       | and    | OURCES |     |      |      |                     |
|       | MANA   | (A     |     |      |      |                     |
|       | GEMENT | AHR)** |     |      |      |                     |
|       | (D     |        |     |      |      |                     |
|       | AOM)** |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| *     |        |        |    |      |      | SDs may redelegate  |
| *Redu |        |        |     |      |      | this authority to   |
| ction |        |        |     |      |      | supervisors at any  |
| in    |        |        |     |      |      | level.              |
| gr    |        |        |     |      |      |                     |
| ade** |        |        |     |      |      | Supervisors at all  |
| (P    |        |        |     |      |      | levels              |
| repar |        |        |     |      |      | [must]{.underline}  |
| ation |        |        |     |      |      | seek review by FSB  |
| and   |        |        |     |      |      | prior to issuance   |
| iss   |        |        |     |      |      | to employee.        |
| uance |        |        |     |      |      |                     |
| of    |        |        |     |      |      |                     |
| p     |        |        |     |      |      |                     |
| ropos |        |        |     |      |      |                     |
| als.) |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| *     |       |        |     |      |      | Prior to issuance   |
| *Redu |        |        |     |      |      | of a decision for   |
| ction |        |        |     |      |      | all proposed        |
| in    |        |        |     |      |      | reductions in       |
| gr    |        |        |     |      |      | grade, FSB prepares |
| ade** |        |        |     |      |      | and submits an      |
| (P    |        |        |     |      |      | analysis and        |
| repar |        |        |     |      |      | recommendation      |
| ation |        |        |     |      |      | through the AAHR    |
| and   |        |        |     |      |      | for the deciding    |
| iss   |        |        |     |      |      | official's          |
| uance |        |        |     |      |      | consideration.      |
| of    |        |        |     |      |      |                     |
| d     |        |        |     |      |      |                     |
| ecisi |        |        |     |      |      |                     |
| ons.) |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| *     |        |        |    |      |      | SDs may redelegate  |
| *Remo |        |        |     |      |      | this authority to   |
| val** |        |        |     |      |      | supervisors at any  |
|       |        |        |     |      |      | level.              |
| **    |        |        |     |      |      |                     |
| (Perm |        |        |     |      |      | Supervisors at all  |
| anent |        |        |     |      |      | levels              |
| E     |        |        |     |      |      | [must]{.underline}  |
| mploy |        |        |     |      |      | seek review by FSB  |
| ee)** |        |        |     |      |      | prior to issuance   |
|       |        |        |     |      |      | to employee.        |
| P     |        |        |     |      |      |                     |
| repar |        |        |     |      |      |                     |
| ation |        |        |     |      |      |                     |
| and   |        |        |     |      |      |                     |
| iss   |        |        |     |      |      |                     |
| uance |        |        |     |      |      |                     |
| of    |        |        |     |      |      |                     |
| propo |        |        |     |      |      |                     |
| sals. |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit G

Page 4

**State Office Delegations Chart**

**DELEGATIONS OF AUTHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY**

**AND TRIAL PERIOD TERMINATIONS**

+-------+--------+--------+-----+------+------+---------------------+
| **EMP | **     | **ASS  | *   | **SE | **F  | **REMARKS**         |
| LOYEE | DEPUTY | ISTANT | *ST | COND | IRST |                     |
| RELA  | A      | A      | ATE | LINE | LINE |                     |
| TIONS | DMINIS | DMINIS | DI  | SUPE | SUPE |                     |
| ACTIV | TRATOR | TRATOR | REC | RVIS | RVIS |                     |
| ITY** | for    | for    | TOR | OR** | OR** |                     |
|       | OPER   | HUMAN  | (SD |      |      |                     |
|       | ATIONS | RES    | )** |      |      |                     |
|       | and    | OURCES |     |      |      |                     |
|       | MANA   | (A     |     |      |      |                     |
|       | GEMENT | AHR)** |     |      |      |                     |
|       | (D     |        |     |      |      |                     |
|       | AOM)** |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| *     |       |        |     |      |      | Prior to issuance   |
| *Remo |        |        |     |      |      | of a decision for   |
| val** |        |        |     |      |      | all proposed        |
| **    |        |        |     |      |      | removals, FSB       |
| (Perm |        |        |     |      |      | prepares and        |
| anent |        |        |     |      |      | submits an analysis |
| E     |        |        |     |      |      | and recommendation  |
| mploy |        |        |     |      |      | through the AAHR    |
| ee)** |        |        |     |      |      | for the deciding    |
|       |        |        |     |      |      | official's          |
| P     |        |        |     |      |      | consideration.      |
| repar |        |        |     |      |      |                     |
| ation |        |        |     |      |      |                     |
| and   |        |        |     |      |      |                     |
| iss   |        |        |     |      |      |                     |
| uance |        |        |     |      |      |                     |
| of    |        |        |     |      |      |                     |
| deci  |        |        |     |      |      |                     |
| sion. |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| **Ter |        |        |    |      |      | **\**Proposals are  |
| minat |        |        |     |      |      | only issued when    |
| ion** |        |        |     |      |      | terminations are    |
| **    |        |        |     |      |      | based in part or    |
| (Prob |        |        |     |      |      | whole on conditions |
| ation |        |        |     |      |      | arising             |
| er)** |        |        |     |      |      | [                   |
|       |        |        |     |      |      | before]{.underline} |
| P     |        |        |     |      |      | the employee's      |
| repar |        |        |     |      |      | appointment.***     |
| ation |        |        |     |      |      |                     |
| and   |        |        |     |      |      | SD's may redelegate |
| iss   |        |        |     |      |      | this authority to   |
| uance |        |        |     |      |      | supervisors at any  |
| of    |        |        |     |      |      | level.              |
| wr    |        |        |     |      |      |                     |
| itten |        |        |     |      |      | Supervisors at all  |
| propo |        |        |     |      |      | levels              |
| sals* |        |        |     |      |      | [must]{.underline}  |
| *\*** |        |        |     |      |      | seek review by FSB  |
| for   |        |        |     |      |      | prior to issuance   |
|       |        |        |     |      |      | of proposals to     |
| empl  |        |        |     |      |      | employees.          |
| oyees |        |        |     |      |      |                     |
| se    |        |        |     |      |      |                     |
| rving |        |        |     |      |      |                     |
|       |        |        |     |      |      |                     |
| pr    |        |        |     |      |      |                     |
| obati |        |        |     |      |      |                     |
| onary |        |        |     |      |      |                     |
| or    |        |        |     |      |      |                     |
| trial |        |        |     |      |      |                     |
| per   |        |        |     |      |      |                     |
| iods. |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+

RD Instruction 2045-GG

Exhibit G

Page 5

**State Office Delegations Chart**

**DELEGATIONS OF AUTHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY**

+-------+--------+--------+-----+------+------+---------------------+
| **EMP | **     | **ASS  | *   | **SE | **F  | **REMARKS**         |
| LOYEE | DEPUTY | ISTANT | *ST | COND | IRST |                     |
| RELA  | A      | A      | ATE | LINE | LINE |                     |
| TIONS | DMINIS | DMINIS | DI  | SUPE | SUPE |                     |
| ACTIV | TRATOR | TRATOR | REC | RVIS | RVIS |                     |
| ITY** | for    | for    | TOR | OR** | OR** |                     |
|       | OPER   | HUMAN  | (SD |      |      |                     |
|       | ATIONS | RES    | )** |      |      |                     |
|       | and    | OURCES |     |      |      |                     |
|       | MANA   | (A     |     |      |      |                     |
|       | GEMENT | AHR)** |     |      |      |                     |
|       | (D     |        |     |      |      |                     |
|       | AOM)** |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| **Ter | -      |        |     |      |      | ***\*Decision       |
| minat |        |        |     |      |      | letters are only    |
| ion** |        |        |     |      |      | issued when a       |
|       |        |        |     |      |      | proposal is given   |
| **C   |        |        |     |      |      | to the employee.*** |
| ontin |        |        |     |      |      |                     |
| ued** |        |        |     |      |      | Only the DAOM       |
|       |        |        |     |      |      | serves as the       |
| **    |        |        |     |      |      | Deciding Official   |
| (Prob |        |        |     |      |      | for terminations    |
| ation |        |        |     |      |      | when proposals are  |
| er)** |        |        |     |      |      | issued.             |
|       |        |        |     |      |      |                     |
| P     |        |        |     |      |      | Prior to issuance   |
| repar |        |        |     |      |      | of a decision for   |
| ation |        |        |     |      |      | all proposed        |
| and   |        |        |     |      |      | terminations, FSB   |
| iss   |        |        |     |      |      | prepares and        |
| uance |        |        |     |      |      | submits an analysis |
| of    |        |        |     |      |      | and recommendation  |
| d     |        |        |     |      |      | through the AAHR    |
| ecisi |        |        |     |      |      | for the deciding    |
| ons\* |        |        |     |      |      | official's          |
| for   |        |        |     |      |      | consideration.      |
| empl  |        |        |     |      |      |                     |
| oyees |        |        |     |      |      |                     |
| se    |        |        |     |      |      |                     |
| rving |        |        |     |      |      |                     |
|       |        |        |     |      |      |                     |
| pr    |        |        |     |      |      |                     |
| obati |        |        |     |      |      |                     |
| onary |        |        |     |      |      |                     |
| or    |        |        |     |      |      |                     |
| trial |        |        |     |      |      |                     |
| per   |        |        |     |      |      |                     |
| iods. |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+

(07-13-05) PN 387

RD Instruction 2045-GG

Exhibit G

Page 6

**State Office Delegations Chart**

**DELEGATIONS OF AUTHORITY FOR DISCIPLINARY AND ADVERSE ACTIONS,
PERFORMANCE-BASED ACTIONS, AND PROBATIONARY**

**AND TRIAL PERIOD TERMINATIONS**

+-------+--------+--------+-----+------+------+---------------------+
| **EMP | **     | **ASS  | *   | **SE | **F  | **REMARKS**         |
| LOYEE | DEPUTY | ISTANT | *ST | COND | IRST |                     |
| RELA  | A      | A      | ATE | LINE | LINE |                     |
| TIONS | DMINIS | DMINIS | DI  | SUPE | SUPE |                     |
| ACTIV | TRATOR | TRATOR | REC | RVIS | RVIS |                     |
| ITY** | for    | for    | TOR | OR** | OR** |                     |
|       | OPER   | HUMAN  | (SD |      |      |                     |
|       | ATIONS | RES    | )** |      |      |                     |
|       | and    | OURCES |     |      |      |                     |
|       | MANA   | (A     |     |      |      |                     |
|       | GEMENT | AHR)** |     |      |      |                     |
|       | (D     |        |     |      |      |                     |
|       | AOM)** |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+
| **Ter |        |        | -   |      |      | ***\*Notices,       |
| minat |        |        |     |      |      | rather than         |
| ion** |        |        |     |      |      | proposals, are      |
|       |        |        |     |      |      | issued when         |
| **    |        |        |     |      |      | terminations are    |
| (Prob |        |        |     |      |      | based upon          |
| ation |        |        |     |      |      | deficient           |
| er)** |        |        |     |      |      | performance or      |
|       |        |        |     |      |      | misconduct arising  |
| P     |        |        |     |      |      | [                   |
| repar |        |        |     |      |      | during]{.underline} |
| ation |        |        |     |      |      | an employee's       |
| and   |        |        |     |      |      | current             |
| iss   |        |        |     |      |      | appointment.***     |
| uance |        |        |     |      |      |                     |
| of    |        |        |     |      |      | Decision letters    |
| wr    |        |        |     |      |      | are not issued to   |
| itten |        |        |     |      |      | employees when      |
| noti  |        |        |     |      |      | notices are given.  |
| ces\* |        |        |     |      |      |                     |
| for   |        |        |     |      |      | Supervisors at all  |
| empl  |        |        |     |      |      | levels              |
| oyees |        |        |     |      |      | [must]{.underline}  |
| se    |        |        |     |      |      | seek review by FSB  |
| rving |        |        |     |      |      | prior to issuance   |
|       |        |        |     |      |      | of proposals to     |
| pr    |        |        |     |      |      | employees.          |
| obati |        |        |     |      |      |                     |
| onary |        |        |     |      |      |                     |
| or    |        |        |     |      |      |                     |
| trial |        |        |     |      |      |                     |
| per   |        |        |     |      |      |                     |
| iods. |        |        |     |      |      |                     |
+-------+--------+--------+-----+------+------+---------------------+

The Under Secretary for Rural Development has been delegated authority
for discipline and adverse actions. The Under Secretary has redelegated
much of this authority to the positions identified in this chart.

oOo